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Search: subject:"Financial industry regulatory authority (FINRA)"
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Financial Industry Regulatory Authority (FINRA)
46
Broker-dealer
21
Financial market regulation
21
Finanzmarktregulierung
21
Financial industry regulatory authority (FINRA)
12
US Securities and Exchange Commission (SEC)
12
USA
12
Financial supervision
10
Finanzmarktaufsicht
10
Regulation
10
United States
10
Regulierung
9
Bourse
8
Börse
8
Broker-dealers
6
Cybersecurity
6
Securities and Exchange Commission (SEC)
5
Algorithmic trading
4
Automated trading
4
Data security
4
Datensicherheit
4
Digital communications
4
Electronic trading
4
Elektronisches Handelssystem
4
Financial markets law
4
Kapitalmarktrecht
4
Municipal Securities Rulemaking Board (MSRB)
4
Municipal advisor
4
Policies and procedures
4
Registration
4
Sanctions
4
Securities enforcement
4
Social media
4
IT crime
3
IT-Kriminalität
3
Law enforcement
3
Rechtsdurchsetzung
3
Risk management
3
Securities trading
3
Wertpapierhandel
3
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technical-paper
19
research-article
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English
58
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Nathan, Daniel A.
6
Rubin, Brian
6
Angstadt, Janet M.
4
Foley, Michael T.
4
Pazzol, Ross
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
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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
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Hanusik, Thomas
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Huang, Juliet H.
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Jordan, Jenny
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Kelly, Sean
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Kroll, Amy Natterson
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Kuhlman, Richard
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Lanza, Ernesto
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Marshall, Elizabeth
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Mathews, Nikiforos
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Matta, Kevin
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McCormick, Andrew M.
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McLaughlin, Robert M.
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Mitchell, David S.
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Morton, Jennifer
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Journal of Investment Compliance
29
The journal of investment compliance
28
Journal of securities operations & custody
1
Source
All
ECONIS (ZBW)
29
Other ZBW resources
29
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Practical tips for satisfying FINRA's "culture" concerns
Nathan, Daniel A.
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 8-14
Persistent link: https://www.econbiz.de/10011662040
Saved in:
2
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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3
The municipal advisor regulatory framework : where we are and where to next
Lanza, Ernesto
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 53-57
Persistent link: https://www.econbiz.de/10011662083
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4
Are your customer accounts in order? : SEC announces sweep of broker-dealers and implementation of the customer protection rule initiative
Beck Mitchum, Melissa
;
Xiong, Bob
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 68-74
Persistent link: https://www.econbiz.de/10011662150
Saved in:
5
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:
6
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
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7
An overview of the FINRA Rule 4210 margin amendments
Mathews, Nikiforos
;
Robison, Jonas
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 31-35
Persistent link: https://www.econbiz.de/10011808462
Saved in:
8
FINRA issues interpretive guidance on related performance in institutional communications
Caccese, Michael S.
;
Pagnano, Clair
;
Rohrer, Eden
; …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 36-39
Persistent link: https://www.econbiz.de/10011808470
Saved in:
9
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:
10
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
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