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~isPartOf:"The journal of investment compliance"
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The journal of investment compliance
Journal of Investment Compliance
9
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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
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2
SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme
Bondi, Bradley J.
;
Petillo-Décossard, Kimberly C.
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 41-43
Persistent link: https://www.econbiz.de/10011804784
Saved in:
3
SEC approves FINRA's rules to protect seniors from financial exploitation
Kutner, Matthew J.
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 64-66
Persistent link: https://www.econbiz.de/10011804837
Saved in:
4
Cybersecurity enforcement actions : is the SEC bringing strict liability cases?
Rubin, Brian
;
Xu, Amy
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 112-116
Persistent link: https://www.econbiz.de/10011523768
Saved in:
5
The US department of labor's final "fiduciary" rule incorporates concessions to financial service industry but still poses key challenges
Laverierre, Kenneth J.
;
Behrens, Matthew H.
- In:
The journal of investment compliance
17
(
2016
)
4
,
pp. 1-22
Persistent link: https://www.econbiz.de/10011616390
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