Industry Publications

The New Merrill Lynch Guidelines

February 1, 2008

Industry Publications

Best Practices to Use During the SEC Examination

August 1, 2007

Due Diligence Counsel

Developments Under NASD Rule 3012 – Supervisory Control Systems

June 1, 2006

Broker-Dealers

Annual Compliance and Supervision Certification: Lessons Learned by Broker-Dealers

May 1, 2006

Annual Reviews & Risk Assessments

Investment Adviser Compliance Programs: What CCOs Learned In the First 18-Months

April 1, 2006

Due Diligence Counsel

Balancing the Roles of CCO and Legal Counsel

February 1, 2005