Search Results - person:"Lybecker, Martin E."

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

SEC charges private fund administrator with gatekeeping failures

Miller, Keith; Lybecker, Martin E.; Kanach, Jesse; … - In: Journal of Investment Compliance 18 (2017) 1, pp. 65-67

Purpose To explain a set of recent US Securities and Exchange Commission (SEC) administrative settlements targeting fund administrators and to alert fund administrators and other financial service providers to their growing “gatekeeper” obligations. Design/methodology/approach This article...

Persistent link: https://www.econbiz.de/10014893634

Treasury department's proposed overhaul of the financial regulatory structure: a look at the blueprint and a look ahead

Becker, Brandon; Derbes, Elizabeth K.; Bruemmer, Russell J. - In: Journal of Investment Compliance 9 (2008) 3, pp. 29-40

Purpose – The purpose of this paper is to summarize and provide commentary on the US Department of Treasury's Blueprint for a Modernized Financial Regulatory Structure, issued on March 31, 2008. Design/methodology/approach – The paper summarizes and comments on the short‐, intermediate‐,...

Persistent link: https://www.econbiz.de/10014893272

Insurance companies and the federal securities laws

Jorden, James F. (contributor); … - 1979

Persistent link: https://www.econbiz.de/10003148413

New SEC rules 146 and 147 : the nonpublic and intrastate offering exemptions from registration for the sale of securities

Alberg, Tom A.; Lybecker, Martin E. - In: Columbia law review 74 (1974) 4, pp. 622-654

Persistent link: https://www.econbiz.de/10001818167