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~isPartOf:"The journal of investment compliance"
~person:"Cohen, Stephen"
~person:"Davis, Henry A."
~person:"Hunnius, Patrick"
~subject:"Bankenregulierung"
~subject:"Financial market regulation"
~subject:"World"
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Search: ("Discriminating practices" OR "Internet" OR "Network neutrality" OR "Next-generation networks" OR "Product differentiation" OR "Quality of service" OR "Regulation" OR "SMP" OR "Telecommunications") AND NOT isPartOf:Intereconomics
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The journal of investment compliance
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1
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:
2
SEC staff issues money market fund reform frequently asked questions
Murphy, Jack
;
Carroll, Brenden
;
Cohen, Stephen
;
Katz, Joshua
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 47-54
Persistent link: https://www.econbiz.de/10011438482
Saved in:
3
SEC asset management unit’s enforcement priorities for 2015 : conflicts of interest
Weiner, Perrie Michael
;
Hunnius, Patrick
;
Crain, Sean R.
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 22-25
Persistent link: https://www.econbiz.de/10011405515
Saved in:
4
Prepare for the magnifying glass : SEC hikes scrutiny of asset managers ; 4 steps to consider
Weiner, Perrie Michael
;
Hunnius, Patrick
;
Alexander, Grant
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 49-51
Persistent link: https://www.econbiz.de/10011344585
Saved in:
5
Selected FINRA notices and disciplinary actions, October-December 2011
Davis, Henry A.
- In:
The journal of investment compliance
13
(
2012
)
1
,
pp. 49-63
Persistent link: https://www.econbiz.de/10009541836
Saved in:
6
Selected FINRA notices and disciplinary actions, June-August 2012
Davis, Henry A.
- In:
The journal of investment compliance
13
(
2012
)
4
,
pp. 44-64
Persistent link: https://www.econbiz.de/10009699592
Saved in:
7
Selected FINRA notices and disciplinary actions, July-August 2011
Davis, Henry A.
- In:
The journal of investment compliance
12
(
2011
)
4
,
pp. 57-70
Persistent link: https://www.econbiz.de/10009411218
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