SEC adopts new financial responsibility and reporting requirements for US-registered broker-dealers
Year of publication: |
2013
|
---|---|
Authors: | Curzon, Elliott ; Wingler, Jeanette |
Published in: |
The journal of investment compliance. - Bingley : Emerald, ISSN 1528-5812, ZDB-ID 2278191-2. - Vol. 14.2013, 4, p. 38-43
|
Subject: | United States of America | Securities and Exchange Commission | Broker-dealer custody | Broker-dealer regulation | Broker-dealer reporting | USA | United States | Finanzmarktaufsicht | Financial supervision | Finanzmarktregulierung | Financial market regulation | Kapitalmarktrecht | Financial markets law |
-
Kahn, Henry, (2014)
-
The SEC's Municipal Advisor Rule will prompt new practices for market participants
Bannard, David, (2014)
-
SEC adopts new financial responsibility and reporting requirements for US-registered broker-dealers
Curzon, Elliott, (2013)
- More ...
-
SEC adopts new financial responsibility and reporting requirements for US-registered broker-dealers
Curzon, Elliott, (2013)
-
When a Fund is Sued : An Independent Director’s Guide to Fund Litigation – Part 2
Dodds, William K., (2017)
-
When a Fund is Sued : An Independent Director’s Guide to Fund Litigation - Part 1
Helm, Robert W., (2010)
- More ...