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subject:"Finanzmarktregulierung"
~isPartOf:"The journal of investment compliance"
~subject:"Financial supervision"
~subject:"Theory"
~type_genre:"Aufsatz in Zeitschrift"
~type_genre:"Graue Literatur"
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Search: subject_exact:"Financial governance"
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Finanzmarktregulierung
Financial supervision
Theory
Financial market regulation
108
Finanzmarktaufsicht
84
USA
55
United States
55
Financial markets law
34
Kapitalmarktrecht
34
Securities and Exchange Commission (SEC)
34
Regulation
20
Regulierung
20
US Securities and Exchange Commission (SEC)
19
Securities law
18
Wertpapierrecht
18
Broker-dealer
16
Financial Industry Regulatory Authority (FINRA)
15
Law enforcement
12
Rechtsdurchsetzung
12
Bourse
11
Börse
11
Investment Fund
11
Investmentfonds
11
Securities trading
8
Wertpapierhandel
8
Corporate disclosure
7
Dodd-Frank Act
7
Enforcement
7
Securities and Exchange Commission
7
Unternehmenspublizität
7
Cybersecurity
6
Financial crisis
6
Financial industry regulatory authority (FINRA)
6
Finanzkrise
6
Data security
5
Datensicherheit
5
Policies and procedures
5
Registration
5
Securities and exchange commission (SEC)
5
Ankündigungseffekt
4
Announcement effect
4
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55
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Article
108
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Aufsatz in Zeitschrift
Graue Literatur
Article in journal
108
Language
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English
108
Author
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Nathan, Daniel A.
5
Burns, James
3
Davis, Henry A.
3
Rubin, Brian
3
Bettigole, Bruce
2
Carroll, Brenden
2
Cohen, Stephen
2
Gittleman, Charles S.
2
Greene, Nathan J.
2
Greer, Amy J.
2
Holton, Thomas John
2
Hunnius, Patrick
2
Kempf, Jason
2
Kerr, Richard F.
2
Kruly, Charlie
2
Kuhlman, Richard
2
Murphy, Jack
2
Newell, John
2
Parrino, Richard J.
2
Pershkow, Amy Ward
2
Raymond, Paul B.
2
Sacks, Russell D.
2
Saunders, Kimberly Beattie
2
Stefanak, Curtis
2
Weiner, Perrie Michael
2
Wirig, Matthew T.
2
Adams, Daniel
1
Alexander, Grant
1
Anderson, James E.
1
Anderson, Scott
1
Angstadt, Janet M.
1
Araneo, John T.
1
Asaro, Michael A.
1
Avett, F. Reid
1
Ayanian, John Z.
1
Ball, Melanie F.
1
Bannard, David
1
Bartle, Sarah
1
Bashur, Ashley E.
1
Bayless, David
1
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The journal of investment compliance
Working paper / National Bureau of Economic Research, Inc.
124
Journal of banking & finance
96
Journal of international money and finance
74
IMF working paper
69
Discussion paper / Centre for Economic Policy Research
66
Journal of securities operations & custody
62
Working papers / ADB Institute
62
Applied economics
56
Revue d'économie financière : revue trimestrielle de l'Association Europe finances régulations
56
IMF country report
53
Journal of financial stability
51
Finance research letters
50
Intereconomics : review of European economic policy
48
International review of economics & finance : IREF
48
Policy research working paper : WPS
48
Journal of financial economics
47
Journal of banking regulation
45
IMF working papers
44
Emerging markets finance & trade : a journal of the Society for the Study of Emerging Markets
43
Journal of Asian economics
43
The review of financial studies
43
The journal of finance : the journal of the American Finance Association
42
Savings and development : quarterly review
41
Journal of financial regulation and compliance : an international journal
40
The journal of financial market infrastructures
39
The journal of futures markets
39
Working paper
38
Journal of international financial markets, institutions & money
35
Pacific-Basin finance journal
33
World development : the multi-disciplinary international journal devoted to the study and promotion of world development
33
Discussion papers / CEPR
32
Economic modelling
32
International review of financial analysis
32
Wirtschaftsdienst : Zeitschrift für Wirtschaftspolitik
32
Economic developments in India : quarterly update : analysis, reports, policy documents
31
Journal of development economics
31
CESifo working papers
28
Finance India : the quarterly journal of Indian Institute of Finance
28
The North American journal of economics and finance : a journal of financial economics studies
28
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ECONIS (ZBW)
108
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1
Practical tips for satisfying FINRA's "culture" concerns
Nathan, Daniel A.
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 8-14
Persistent link: https://www.econbiz.de/10011662040
Saved in:
2
Securities regulators' overlapping priorities provide guidance for examination preparation
Nathan, Daniel A.
;
Marshall, Elizabeth
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 15-18
Persistent link: https://www.econbiz.de/10011662048
Saved in:
3
SEC adopts new disclosure and recordkeeping requirements for investment advisers
Greene, Nathan
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 19-24
Persistent link: https://www.econbiz.de/10011662051
Saved in:
4
SEC adopts rules and forms to modernize reporting requirements for registered investment companies
Cohen, Stephen
;
Johnson, Megan
;
Brooks, Gary
;
Higgs, Brooke
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 25-42
Persistent link: https://www.econbiz.de/10011662066
Saved in:
5
The municipal advisor regulatory framework : where we are and where to next
Lanza, Ernesto
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 53-57
Persistent link: https://www.econbiz.de/10011662083
Saved in:
6
SEC requires hedge funds to prevent insider trading despite unsettled legal definition
Morgan, Nicolas
;
Zwickel, Art
;
Zaccaro, Thomas A.
; …
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 63-64
Persistent link: https://www.econbiz.de/10011662110
Saved in:
7
SEC charges private fund administrator with gatekeeping failures
Miller, Keith
;
Lybecker, Martin E.
;
Kanach, Jesse
; …
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 65-67
Persistent link: https://www.econbiz.de/10011662148
Saved in:
8
Are your customer accounts in order? : SEC announces sweep of broker-dealers and implementation of the customer protection rule initiative
Beck Mitchum, Melissa
;
Xiong, Bob
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 68-74
Persistent link: https://www.econbiz.de/10011662150
Saved in:
9
SEC fines non-US entities for unregistered cross-border brokerage and advisory activities
Burns, James
;
Saunders, Kimberly Beattie
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 75-77
Persistent link: https://www.econbiz.de/10011662162
Saved in:
10
An update on the EU securities financing transactions regulation
Yonge, William J. G.
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 78-83
Persistent link: https://www.econbiz.de/10011662166
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