//--> //--> //-->
Toggle navigation
Logout
Change account settings
EN
DE
ES
FR
A-Z
Beta
About EconBiz
News
Thesaurus (STW)
Research Skills
Help
EN
DE
ES
FR
My account
Logout
Change account settings
Login
Publications
Events
Your search terms
Search
Retain my current filters
~person:"Rubin, Brian"
Search options
All Fields
Title
Exact title
Subject
Author
Institution
ISBN/ISSN
Published in...
Publisher
Open Access only
Advanced
Search history
My EconBiz
Favorites
Loans
Reservations
Fines
You are here:
Home
Search: subject:"Broker-dealers"
Narrow search
Delete all filters
| 1 applied filter
Year of publication
From:
To:
Subject
All
Broker-dealers
2
Cybersecurity
2
Enforcement actions
2
Financial industry regulatory authority (FINRA)
2
Registered investment advisers
2
Securities and Exchange Commission (SEC)
2
Aufsichtsbehörde
1
Bourse
1
Börse
1
Data security
1
Datensicherheit
1
Financial market regulation
1
Financial markets law
1
Financial supervision
1
Finanzmarktaufsicht
1
Finanzmarktregulierung
1
Haftung
1
Kapitalmarktrecht
1
Law enforcement
1
Liability
1
Rechtsdurchsetzung
1
Regulatory agency
1
Securities law
1
Wertpapierrecht
1
more ...
less ...
Online availability
All
Undetermined
2
Type of publication
All
Article
2
Type of publication (narrower categories)
All
Article in journal
1
Aufsatz in Zeitschrift
1
technical-paper
1
Language
All
English
2
Author
All
Rubin, Brian
Behrens, Matthew H.
2
Bondi, Bradley J.
2
Caglio, Cecilia
2
Copeland, Adam
2
Foley-Fisher, Nathan
2
Gissler, Stefan
2
Gupta, Arun
2
Kutner, Matthew J.
2
Laverierre, Kenneth J.
2
Marshall, Elizabeth
2
Martin, Antoine
2
Nathan, Daniel A.
2
Ortiz, Sara
2
Petillo-Décossard, Kimberly C.
2
Schuster, John J.
2
Verani, Stéphane
2
Xu, Amy
2
Baranauskas, Kęstutis
1
Blanc, Roger D.
1
Blankenship, Michael J.
1
Comstock, Matthew B.
1
Cook, Jonathan
1
Davis, Henry A.
1
Gilman, Charles A.
1
Goldberg, Jonathan E.
1
Han, Song
1
Huang, Alan Guoming
1
Istiak, Khandokar
1
Kalimipalli, Madhu
1
Kowaleski, Zachary T.
1
Kramer, Howard L.
1
Lane, Jason
1
Miller, Martin R.
1
Minnis, Michael
1
O'Donoghue, Shawn M.
1
Sacks, Russell D.
1
Schloendorn, Daniel
1
Serletis, Apostolos
1
Sutherland, Andrew
1
more ...
less ...
Published in...
All
Journal of Investment Compliance
1
The journal of investment compliance
1
Source
All
ECONIS (ZBW)
1
Other ZBW resources
1
Showing
1
-
2
of
2
Sort
relevance
articles prioritized
date (newest first)
date (oldest first)
1
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:
2
Cybersecurity enforcement actions: is the SEC bringing strict liability cases?
Rubin, Brian
;
Xu, Amy
- In:
Journal of Investment Compliance
17
(
2016
)
1
,
pp. 112-116
Purpose To analyze how the US Securities and Exchange Commission (SEC) has sanctioned
broker-dealers
(BDs) and …
Persistent link: https://www.econbiz.de/10014893617
Saved in:
Results per page
10
25
50
100
250
A service of the
zbw
×
Loading...
//-->