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The new supervisory rules regime: a practical look at areas of exposure for broker‐dealers and senior personnel
Hiler, Bruce; Kuczajda, Thomas; Rabie, Aseel - In: Journal of Investment Compliance 7 (2006) 1, pp. 34-42
Purpose – The purpose of this paper is to describe the exposure and the responsibilities of a broker‐dealer's senior management under NASD's and the NYSE's new rules, emphasizing a regular review of supervisory and compliance systems. Design/methodology/approach – Describes new rules,...
Persistent link: https://www.econbiz.de/10014893182
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Banks, non-bank companies and stock exchange : do we know the relationship
Ghimire, Binam; Gautam, Rishi; Karki, Dipesh; Sharma, … - In: Economics and business review 1 (2015) 4, pp. 25-45
Persistent link: https://www.econbiz.de/10011433411
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Private regulation versus government regulation : the example of financial markets
Booth, P. - In: Economic affairs : journal of the Institute of Economic … 42 (2022) 1, pp. 30-49
Persistent link: https://www.econbiz.de/10013165975
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Bourses, banks, and boers : Johannesburg's French connections and the Paris Krach of 1895
Lukasiewicz, Mariusz - In: Economic history of developing regions 36 (2021) 2, pp. 124-148
Persistent link: https://www.econbiz.de/10012622854
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Do geopolitical tensions instigate mindless following in stock markets? : an empirical enquiry into the indices of CNX Nifty HFT
Krishna T. A.; Suresha B. - In: Investment management and financial innovations 18 (2021) 2, pp. 335-349
Persistent link: https://www.econbiz.de/10012698634
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Review of top five financial markets during the pandemic times
Awan, Tahir Mumtaz; Maqsood, Jamal - In: International journal of financial engineering 8 (2021) 4, pp. 1-18
Persistent link: https://www.econbiz.de/10012815125
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United we stand, divided we fall : a PANICCA test evidence for stock exchanges in OECD
Salisu, Afees A. - In: Finance research letters 28 (2019), pp. 343-347
Persistent link: https://www.econbiz.de/10012388342
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Equity trading and the allocation of market data revenue
Caglio, Cecilia; Mayhew, Stewart - In: Journal of banking & finance 62 (2016), pp. 97-111
Persistent link: https://www.econbiz.de/10011634071
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Changing organizational form in the stock exchange industry and risk-taking
Otchere, Isaac; Mohsni, Sana - In: Financial markets and portfolio management 30 (2016) 4, pp. 427-451
Persistent link: https://www.econbiz.de/10011701404
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Serving SMEs via the stock exchange : historical lessons from the Lisbon stock exchange
Costa, José Rodrigues da; Mata, Maria Eugénia - In: Journal of economic issues : jei 50 (2016) 3, pp. 851-871
Persistent link: https://www.econbiz.de/10011666020