Brady, Andrew; Zaiss, Rolf; Persaud, Nyron - In: Journal of Investment Compliance 16 (2015) 4, pp. 43-46
Purpose – To examine the proposed rules issued by the Securities and Exchange Commission (SEC) pursuant to Section 954 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which, if adopted, would require national stock exchanges to establish listing standards that would...