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SEC permits abbreviated tender and exchange offers for non-convertible high-yield and investment-grade debt securities
Blumenstein, Ian B.; Maki, J. Eric; Owen, John T. - In: The journal of investment compliance 16 (2015) 3, pp. 28-29
Persistent link: https://www.econbiz.de/10011446020
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Cybersecurity enforcement actions : is the SEC bringing strict liability cases?
Rubin, Brian; Xu, Amy - In: The journal of investment compliance 17 (2016) 1, pp. 112-116
Persistent link: https://www.econbiz.de/10011523768
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The impacts of circuit breakers on China's stock market
Li, Zeguang; Hou, Keqiang; Zhang, Chao - In: Pacific-Basin finance journal 68 (2021), pp. 1-15
Persistent link: https://www.econbiz.de/10013332736
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Counterparty risk and the establishment of the New York Stock Exchange clearinghouse
Bernstein, Asaf; Hughson, Eric; Weidenmier, Marc D. - 2014
Persistent link: https://www.econbiz.de/10010415366
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Comparing European and U.S. securities regulations : MiFID versus corresponding U.S. regulations
Bošković, Tanja - 2009
Persistent link: https://www.econbiz.de/10011393442
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SEC adopts rule to implement Dodd-Frank CEO pay ratio disclosure requirement
Parrino, Richard J. - In: The journal of investment compliance 17 (2016) 1, pp. 122-130
Persistent link: https://www.econbiz.de/10011523789
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A history of financial technology and regulation : from American Incorporation to cryptocurrency and crowdfunding
Oranburg, Seth C. - 2022
Using the lens of history, A History of Financial Technology and Regulation illuminates recent changes to the world of finance. With lucid prose and the help of concrete examples, Seth Oranburg helps readers understand the role of technology in finance today, including complex phenomena such as...
Persistent link: https://www.econbiz.de/10013272618
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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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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
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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