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~isPartOf:"International political economy series"
~isPartOf:"The journal of investment compliance"
~subject:"Regulierung"
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Regulierung
USA
130
United States
128
Financial supervision
68
Finanzmarktaufsicht
68
Financial market regulation
56
Finanzmarktregulierung
56
Securities and Exchange Commission (SEC)
26
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Bartle, Sarah
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1
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1
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1
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1
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1
Higgs, Brooke
1
Ignat, Ana-Maria
1
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1
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1
Lanza, Ernesto
1
Legault, Jeffrey
1
Marshall, Elizabeth
1
Martin, David
1
Martin, David B. H.
1
Mitchell, Elizabeth
1
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1
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Nathan, Daniel A.
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1
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International political economy series
The journal of investment compliance
Working paper / National Bureau of Economic Research, Inc.
76
The electricity journal
65
The journal of structured finance
46
Journal of regulatory economics
45
Yale journal on regulation
45
The journal of law & economics
25
Topics in regulatory economics and policy series : TREP
24
NBER working paper series
22
Regulation : the Cato review of business and government
22
Telecommunications policy : the international journal of digital economy, data sciences and new media
21
Review of industrial organization : RIO
16
The journal of risk and insurance : the journal of the American Risk and Insurance Association
15
Public choice
14
SpringerLink / Bücher
14
The American economic review
14
Discussion paper / Centre for Economic Policy Research
13
Energy economics
13
Southern economic journal
13
Discussion paper series / John M. Olin Center for Law, Economics, and Business, Harvard Law School
12
Journal of accounting and public policy
12
Journal of economic issues : jei
12
Research in law and economics
12
The Cato journal : an interdisciplinary journal of public policy analysis
12
The Rand journal of economics
12
The journal of law, economics, & organization
12
Applied economics
11
R / Rand Corporation
11
AEI studies
10
Review of environmental economics and policy
10
Working paper
10
American journal of agricultural economics
9
CESifo working papers
9
Government and markets : toward a new theory of regulation
9
Journal of competition law & economics
9
Land economics : applied research on environmental resources
9
P / the Rand Corporation
9
Edward Elgar E-Book Archive
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Journal of banking & finance
8
Journal of banking regulation
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ECONIS (ZBW)
16
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1
FINRA gives member firms a thums up on suitability rule compliance
Nathan, Daniel
;
Ignat, Ana-Maria
- In:
The journal of investment compliance
14
(
2013
)
4
,
pp. 31-37
Persistent link: https://www.econbiz.de/10010229676
Saved in:
2
SEC gives bod to use of social media under Regulation FD : it done correctly
Zepralka, Jennifer
;
Cross, Meredith
;
White, Thomas W.
; …
- In:
The journal of investment compliance
14
(
2013
)
4
,
pp. 24-30
Persistent link: https://www.econbiz.de/10010229679
Saved in:
3
Recent SEC enforcement actions put spotlight on probibited short selling
Wink, Stephen
;
Clark, Christopher
;
Paulovic, Stefan
; …
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 41-44
Persistent link: https://www.econbiz.de/10010366728
Saved in:
4
Recent regulatory developments provide some clarifications regarding the market access rule for broker-dealers
Newman, Bruce H.
;
Mitchell, Elizabeth
;
Nicolas, Stephanie R.
- In:
The journal of investment compliance
15
(
2014
)
3
,
pp. 10-19
Persistent link: https://www.econbiz.de/10010428122
Saved in:
5
Enhanced protection of investors and other changes to securities regulations
Martin, David B. H.
;
Gay, Brandon K.
- In:
The journal of investment compliance
11
(
2010
)
4
,
pp. 27-36
Persistent link: https://www.econbiz.de/10008772766
Saved in:
6
FSA discussion paper on product intervention
Gleeson, Simon
;
Bates, Chris
;
Morris, Charles
- In:
The journal of investment compliance
12
(
2011
)
2
,
pp. 72-75
Persistent link: https://www.econbiz.de/10009236827
Saved in:
7
Director of SEC's division of investment management discusses alternative mutual funds
Kerr, Richard F.
- In:
The journal of investment compliance
15
(
2014
)
4
,
pp. 15-18
Persistent link: https://www.econbiz.de/10010461358
Saved in:
8
Significant changes to rules for private securities offerings : general solicitation and general advertising permitted in Rule 506 and Rule 144A offerings : "bad actors" prohibited...
Engvall, David
;
Martin, David
;
Caywood, Warren
; …
- In:
The journal of investment compliance
14
(
2013
)
3
,
pp. 16-27
Persistent link: https://www.econbiz.de/10010222948
Saved in:
9
Operational regulatory risks facing private equity firms
Legault, Jeffrey
;
Quin̆ones, Pablo
;
Pedretti, Mark G.
; …
- In:
The journal of investment compliance
14
(
2013
)
3
,
pp. 11-15
Persistent link: https://www.econbiz.de/10010222966
Saved in:
10
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
Saved in:
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