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Whistleblowing considerations for external auditors under Dodd-Frank : a blueprint for future research
Mintz, Steven - In: Research on professional responsibility and ethics in … 19 (2015), pp. 99-128
Persistent link: https://www.econbiz.de/10011880342
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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
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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
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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
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Centralized trading, transparency, and interest rate swap market liquidity : evidence from the implementation of the Dodd-Frank Act
Benos, Evangelos; Payne, Richard; Vasios, Michalis - In: Journal of financial and quantitative analysis : JFQA 55 (2020) 1, pp. 159-192
Persistent link: https://www.econbiz.de/10012195554
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SEC shortens standard settlement cycle to T+2
Burns, James; Anderson, James E.; Saunders, Kimberly Beattie - In: The journal of investment compliance 18 (2017) 3, pp. 11-15
Persistent link: https://www.econbiz.de/10011804688
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Financial market misconduct and agency conflicts : a synthesis and future directions
Cumminh, Douglas; Dannhauser, Robert; Johan, Sofia Atiqah - In: The journal of corporate finance : contracting, … 34 (2015), pp. 150-168
Persistent link: https://www.econbiz.de/10011420933
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Financial market enforcement in France
Batz, Laure de - In: European journal of law and economics 55 (2023) 3, pp. 409-468
Persistent link: https://www.econbiz.de/10014315651
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Short selling and corporate financial fraud : empirical evidence from China
Lu, Pu; Wang, Yong; Li, Bing - In: International review of economics & finance : IREF 89 (2024) 1, pp. 1569-1582
Persistent link: https://www.econbiz.de/10014446640
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The Luckin Coffee scandal and short selling attacks
Peng, Zhe; Yang, Yahui; Wu, Renshui - In: Journal of behavioral and experimental finance 34 (2022), pp. 1-20
Persistent link: https://www.econbiz.de/10013464769