//--> //--> //--> //-->
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
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:"FINRA"
Narrow search
Narrow search
Year of publication
From:
To:
Subject
All
Financial Industry Regulatory Authority (FINRA)
46
Broker-dealer
21
Financial market regulation
21
Finanzmarktregulierung
21
USA
14
Financial industry regulatory authority (FINRA)
12
Regulation
12
US Securities and Exchange Commission (SEC)
12
United States
12
Regulierung
11
Financial supervision
10
Finanzmarktaufsicht
10
Bourse
9
Börse
9
FINRA
8
Broker-dealers
6
Cybersecurity
6
Data security
5
Datensicherheit
5
Securities and Exchange Commission (SEC)
5
Algorithmic trading
4
Anlageberatung
4
Automated trading
4
Brokers
4
Consumer Finance
4
Digital communications
4
Electronic trading
4
Elektronisches Handelssystem
4
Financial Advisers
4
Financial Misconduct and Fraud
4
Financial advisors
4
Financial markets law
4
Financial services
4
Kapitalmarktrecht
4
Municipal Securities Rulemaking Board (MSRB)
4
Municipal advisor
4
Policies and procedures
4
Registration
4
Sanctions
4
Securities enforcement
4
more ...
less ...
Online availability
All
Undetermined
55
Free
5
Type of publication
All
Article
65
Book / Working Paper
5
Type of publication (narrower categories)
All
Article in journal
36
Aufsatz in Zeitschrift
36
technical-paper
19
research-article
10
Graue Literatur
3
Non-commercial literature
3
Working Paper
3
Arbeitspapier
1
more ...
less ...
Language
All
English
70
Author
All
Nathan, Daniel A.
6
Rubin, Brian
6
Angstadt, Janet M.
4
Egan, Mark L.
4
Foley, Michael T.
4
Matvos, Gregor
4
Pazzol, Ross
4
Seru, Amit
4
Van De Graaff, James D.
4
Wirig, Matthew T.
3
Bartle, Sarah
2
Blau, Steven
2
Blau, Steven R.
2
Breslin, William J.
2
Burke, Timothy
2
Burr, James C.
2
Caccese, Michael S.
2
Corral, Xiomara
2
Cosgrove, Richard A.
2
Ginter, Justin
2
Golden, Scott I.
2
Grannum, Sandra D.
2
Greene, Carlton
2
Hanusik, Thomas
2
Honigsberg, Colleen
2
Huang, Juliet H.
2
Ignat, Ana-Maria
2
Jacob, Matthew
2
Jordan, Jenny
2
Kelly, Sean
2
Kempf, Jason
2
Kroll, Amy Natterson
2
Kuhlman, Richard
2
Kutner, Matthew J.
2
Lanza, Ernesto
2
Marshall, Elizabeth
2
Mathews, Nikiforos
2
Matta, Kevin
2
Mazgalev, Victoria T.
2
McCormick, Andrew M.
2
more ...
less ...
Published in...
All
Journal of Investment Compliance
29
The journal of investment compliance
29
Journal of financial economics
2
Journal of securities operations & custody
2
New working paper series
2
Working Paper
2
Applied economics letters
1
Journal of financial services marketing
1
Review of accounting studies
1
Working paper
1
more ...
less ...
Source
All
ECONIS (ZBW)
39
Other ZBW resources
29
EconStor
2
Showing
21
-
30
of
70
Sort
relevance
articles prioritized
date (newest first)
date (oldest first)
21
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:
22
Nuts and bolts: securities arbitration
Grannum, Sandra D.
;
Ginter, Justin
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 1-7
Persistent link: https://www.econbiz.de/10011808429
Saved in:
23
FINRA
releases new guidance regarding social media and digital communications
Sacks, Russell
;
Morton, Jennifer
;
Jordan, Jenny
;
Blau, …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 40-44
Persistent link: https://www.econbiz.de/10011808476
Saved in:
24
CFTC modernizes Rule 1.31 recordkeeping requirements
Mitchell, David S.
;
McLaughlin, Robert M.
;
Breslin, …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 45-49
Persistent link: https://www.econbiz.de/10011808535
Saved in:
25
Assessing cybersecurity risks and practices in the broker-dealer industry
Trottman-Adewumi, Yolanda
;
Kelley, David
;
Smuglin, Len
; …
- In:
Journal of securities operations & custody
9
(
2017
)
4
,
pp. 302-312
Persistent link: https://www.econbiz.de/10011796652
Saved in:
26
Distributed ledger technology : implications of blockchain for the securities industry
Workie, Haimera
;
Jain, Kavita
- In:
Journal of securities operations & custody
9
(
2017
)
4
,
pp. 347-355
Persistent link: https://www.econbiz.de/10011796682
Saved in:
27
AML compliance in the age of individual accountability
Greene, Carlton
;
Hanusik, Thomas
;
Stinebower, Cari
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 44-47
Persistent link: https://www.econbiz.de/10011804788
Saved in:
28
FINRA
releases guidance on social media and digital communications
Wiring, Matthew T.
;
Poorbaugh, Kate S.
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 48-51
Persistent link: https://www.econbiz.de/10011804801
Saved in:
29
Selling structured products to retail investors in the US
Sheehan, Margaret
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 59-63
Persistent link: https://www.econbiz.de/10011804835
Saved in:
30
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:
First
Prev
1
2
3
4
5
6
7
Next
Last
Results per page
10
25
50
100
250
A service of the
zbw
×
Loading...
//-->