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Complete Issue (December 5, 2018)  Volume 51, Number 21


Author:  Anna T. Pinedo.; Tracey Salmon-Smith (et al.).


Source: Volume 51, Number 21, December 1 2018 , pp.259-269(11)




Review of Securities & Commodities Regulation

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Abstract: 

The complete issue includes both of the articles listed in the table of contents above (Modernizing the Regulatory Framework for BDCs (Pinedo) and Form U-5 Requirements for FINRA Member Firms (Salmon-Smith)).

Keywords: Business Development Companies; Small Business Credit Availability Act; Securities Offering Reform; Uniform Termination Notice for Securities Industry Registration (“Form U-5”)

Affiliations:  1: Mayer Brown LLP; 2: Drinker Biddle & Reath LLP.

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