The municipal advisor regulatory framework – where we are and where to next
Year of publication: |
2017
|
---|---|
Authors: | Lanza, Ernesto |
Published in: |
Journal of Investment Compliance. - Emerald Publishing Limited, ISSN 1758-7476, ZDB-ID 2048718-6. - Vol. 18.2017, 1, p. 53-57
|
Publisher: |
Emerald Publishing Limited |
Subject: | Financial Industry Regulatory Authority (FINRA) | Policies and procedures | Municipal Securities Rulemaking Board (MSRB) | US Securities and Exchange Commission (SEC) | Municipal advisor | Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) |
-
The municipal advisor regulatory framework : where we are and where to next
Lanza, Ernesto, (2017)
-
MSRB and FINRA issue joint notice cautioning broker-dealers and municipal advisors about bank loans
Huang, Juliet H., (2016)
-
MSRB and FINRA issue joint notice cautioning broker-dealers and municipal advisors about bank loans
Huang, Juliet H., (2016)
- More ...
-
The municipal advisor regulatory framework : where we are and where to next
Lanza, Ernesto, (2017)
-
Lanza, Ernesto, (2023)
- More ...