Search Results - subject:"US Securities and Exchange Commission"

Multiple market asset trading during information arrival : US depository receipts and equity share market response to firm disclosures

Senteney, Michael H.; Senteney, David L. - In: International journal of accounting and finance 10 (2020) 2/3, pp. 143-174

Persistent link: https://www.econbiz.de/10012513916

SEC approves Nasdaq rule change to permit direct listings without an IPO

Banks, Helene R.; Bondi, Bradley J.; Gilman, Charles A.; … - In: Journal of Investment Compliance 20 (2019) 3, pp. 25-27

Purpose To explain the rule changes in Nasdaq’s new Listing Rule IM-5315-1, approved by the US Securities and Exchange … Commission (SEC) on February 15, 2019, that permit direct listings on Nasdaq without an initial public offering, similar to the …

Persistent link: https://www.econbiz.de/10014893757

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

SEC adopts new disclosure and recordkeeping requirements for investment advisers

Greene, Nathan - In: The journal of investment compliance 18 (2017) 1, pp. 19-24

Persistent link: https://www.econbiz.de/10011662051

SEC issues final rule on investment company liquidity risk management

Schwartz, Rachael Leah; Pugliese, Domenick; Bateman, … - In: The journal of investment compliance 18 (2017) 1, pp. 43-52

Persistent link: https://www.econbiz.de/10011662072

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

SEC requires hedge funds to prevent insider trading despite unsettled legal definition

Morgan, Nicolas; Zwickel, Art; Zaccaro, Thomas A.; … - In: The journal of investment compliance 18 (2017) 1, pp. 63-64

Persistent link: https://www.econbiz.de/10011662110

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

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

SEC fines non-US entities for unregistered cross-border brokerage and advisory activities

Burns, James; Saunders, Kimberly Beattie - In: The journal of investment compliance 18 (2017) 1, pp. 75-77

Persistent link: https://www.econbiz.de/10011662162