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Search: subject:"Securities and Exchange Commission SEC"
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Securities and Exchange Commission (SEC)
107
Financial supervision
94
Finanzmarktaufsicht
94
USA
70
Financial market regulation
65
Finanzmarktregulierung
65
United States
64
US Securities and Exchange Commission (SEC)
53
Financial markets law
29
Kapitalmarktrecht
29
Broker-dealer
20
Investment adviser
17
Financial Industry Regulatory Authority (FINRA)
15
Regulation
15
Securities and exchange commission (SEC)
15
Enforcement
14
Securities law
14
Wertpapierrecht
14
Regulierung
13
Cybersecurity
11
Investment Fund
11
Investmentfonds
11
Dodd-Frank Act
10
Investment advisers
10
Bourse
9
Börse
9
Compliance
9
Corporate disclosure
9
Policies and procedures
9
Unternehmenspublizität
9
Disclosure
8
Securities trading
7
U.S. Securities and Exchange Commission (SEC)
7
Wertpapierhandel
7
Broker-dealers
6
Custody Rule
6
Data security
6
Datensicherheit
6
Law enforcement
6
Office of Compliance Inspections and Examinations (OCIE)
6
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Online availability
All
Undetermined
152
Free
6
Type of publication
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Article
188
Book / Working Paper
1
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Article in journal
98
Aufsatz in Zeitschrift
98
technical-paper
52
research-article
35
Article
1
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English
186
Undetermined
2
Czech
1
Author
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Nathan, Daniel A.
6
Newell, John
6
Burns, James
5
Cohen, Stephen
5
Greene, Nathan J.
5
Berman, Kenneth
4
Brady, Andrew
4
Carroll, Brenden
4
Gordon, Kay
4
Harrell, Michael P.
4
Larkin, Gregory
4
McKown, Joan
4
Murphy, Jack
4
Pershkow, Amy Ward
4
Pugliese, Domenick
4
Rosella, Michael
4
Saunders, Kimberly Beattie
4
Woodcock, David
4
Bondi, Bradley J.
3
Gelfond, Stuart
3
Goldberg, Justin
3
Goldberger, M. Norman
3
Greer, Amy J.
3
Grugan, John C.
3
Kramer, Howard
3
Stanley, Tesia N.
3
Adams, Daniel
2
Adelfio, Marco
2
Anderson, James E.
2
Araneo, John T.
2
Bartle, Sarah
2
Bateman, Marguerite
2
Belitsky, Bill
2
Bell, Ivet A.
2
Benjet, Brian H.
2
Bergmann, Larry E.
2
Berthou, Erica
2
Blake, Andrew
2
Blumenstein, Ian B.
2
Bradley, Daniel
2
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Institution
All
Centre for Policy Dialogue (CPD)
1
Palgrave Macmillan
1
Published in...
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The journal of investment compliance
89
Journal of Investment Compliance
87
Acta Oeconomica Pragensia
1
Applied economics letters
1
BRQ Business Research Quarterly
1
Business research quarterly : BRQ
1
CPD Working Paper
1
International journal of accounting information systems
1
Journal of accounting & organizational change : JAOC
1
Journal of business ethics : JOBE
1
Journal of capital markets studies
1
Management science : journal of the Institute for Operations Research and the Management Sciences
1
The Journal of finance and data science : JFDS
1
The New Palgrave Dictionary of Economics
1
The journal of information systems : JIS ; a semiannual journal of the Information Systems Section of the American Accouting Association
1
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ECONIS (ZBW)
98
Other ZBW resources
87
RePEc
3
EconStor
1
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101
US SEC approves sweeping amendments to rules governing money market funds
Murphy, Jack
;
Cohen, Stephen D.
;
Carroll, Brenden
; …
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 25-39
Persistent link: https://www.econbiz.de/10011344588
Saved in:
102
Securities and Exchange Commission announces enforcement initiative directed at reporting violations by public company insiders
Parrino, Richard J.
;
Romeo, Peter
;
Dye, Alan
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 19-24
Persistent link: https://www.econbiz.de/10011344593
Saved in:
103
Recent civil and criminal enforcement action involving high frequency trading
Rossi, Matthew
;
Deis, Greg
;
Roche, Jerome
;
Przywara, …
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 5-12
Persistent link: https://www.econbiz.de/10011344596
Saved in:
104
Not just a compliance program, but an effective compliance program : SEC, DOJ issue strong reminders
Ingerman, Brett
;
Hynes, Michael D.
;
Benjet, Brian H.
; …
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 4-5
Persistent link: https://www.econbiz.de/10011438425
Saved in:
105
No more bullsh*t : securities opinions after Omnicare
Frumento, Aegis
;
Korenman, Stephanie
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 6-13
Persistent link: https://www.econbiz.de/10011438468
Saved in:
106
SEC issues proposed investment company reporting rules
Greene, Nathan J.
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 14-22
Persistent link: https://www.econbiz.de/10011438470
Saved in:
107
SEC issues proposed investment adviser reporting and disclosure rules
Greene, Nathan J.
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 23-29
Persistent link: https://www.econbiz.de/10011438471
Saved in:
108
The SEC’s evolving scrutiny of private equity firms : KKR hit with an unprecedented enforcement action for broken deal expense misallocation
Rendon Callahan, Veronica
;
Fleishhacker, Ellen Kaye
; …
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 39-42
Persistent link: https://www.econbiz.de/10011438478
Saved in:
109
SEC proposes new compensation clawback rules
Brady, Andrew
;
Zaiss, Rolf
;
Persaud, Nyron
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 43-46
Persistent link: https://www.econbiz.de/10011438479
Saved in:
110
SEC staff issues money market fund reform frequently asked questions
Murphy, Jack
;
Carroll, Brenden
;
Cohen, Stephen
;
Katz, Joshua
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 47-54
Persistent link: https://www.econbiz.de/10011438482
Saved in:
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