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~isPartOf:"The journal of investment compliance"
~subject:"Theory"
~subject:"USA"
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The journal of investment compliance
Working paper / National Bureau of Economic Research, Inc.
46
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ECONIS (ZBW)
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1
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:
2
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:
3
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:
4
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:
5
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:
6
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:
7
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:
8
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:
9
Kokesh v. SEC : the end of a disgorgement era?
Litt, Marc
;
Tomas, Jerome P.
;
Yingling, Elizabeth L.
; …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 13-15
Persistent link: https://www.econbiz.de/10011808435
Saved in:
10
SEC's unwavering focus on disclosure of valuation methods and calculation of IRRs by fund sponsors
Earley, Michael P.
;
Panza, Jessica
;
Thrapp, Katherine
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 29-30
Persistent link: https://www.econbiz.de/10011808459
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