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~isPartOf:"The journal of investment compliance"
~subject:"China"
~subject:"Enforcement"
~type_genre:"Article in journal"
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Goldberger, M. Norman
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Stanley, Tesia N.
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The journal of investment compliance
International review of law and economics
7
Antitrust law journal
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European journal of law and economics
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Journal of environmental economics and management : JEEM ; the official journal of the Association of Environmental and Resource Economists
5
Review of industrial organization : RIO
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The journal of corporate finance : contracting, governance and organization
5
Journal of accounting and public policy
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Journal of economic behavior & organization : JEBO
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China economic review : an international journal
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Ecological economics : the transdisciplinary journal of the International Society for Ecological Economics
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Journal of business ethics : JOBE
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International journal of research in marketing : IJRM ; official journal of the European Marketing Academy
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The British accounting review : the journal of the British Accounting Association
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Asia Pacific journal of management : APJM ; a publication of the Faculty of Business Administration, National University of Singapore
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Asian Pacific economic literature
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China economic journal : the official journal of the China Center for Economic Research (CCER) at Peking University
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ECONIS (ZBW)
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1
2016 FINRA analysis : a record-breaking year for fines
Rubin, Brian
;
Pollet, Adam
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 1-8
Persistent link: https://www.econbiz.de/10011704583
Saved in:
2
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:
3
SEC Muni enforcement chief offers her views on Municipalities Continuing Disclosure Cooperation initiative (MCDC)
Goldberger, M. Norman
;
Grugan, John C.
;
Patterson, …
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 33-34
Persistent link: https://www.econbiz.de/10011405523
Saved in:
4
Parties push to enforce statutory time limits on SEC enforcement actions
Neaderland, Benjamin
;
Cohen, Jared
- In:
The journal of investment compliance
16
(
2015
)
3
,
pp. 30-32
Persistent link: https://www.econbiz.de/10011446036
Saved in:
5
FATCA violation underlies latest US tax and securities fraud charges
Fisher, Miriam
;
McManus, Brian
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 74-76
Persistent link: https://www.econbiz.de/10011344530
Saved in:
6
SEC announces first investment adviser "pay-to-play" enforcement action
Goldberger, M. Norman
;
Grugan, John C.
;
O'Neil, Christine
; …
- In:
The journal of investment compliance
15
(
2014
)
3
,
pp. 35-37
Persistent link: https://www.econbiz.de/10010428108
Saved in:
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