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~isPartOf:"The journal of investment compliance"
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Nathan, Daniel A.
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Davis, Henry A.
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Rubin, Brian
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Cohen, Stephen
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The journal of investment compliance
NBER working paper series
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World development : the multi-disciplinary international journal devoted to the study and promotion of world development
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ECONIS (ZBW)
108
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1
SEC adopts amendments to regulation SHO
Forbes, Jessica
;
Gnall, Gregory P.
;
Lombardo, Christine M.
- In:
The journal of investment compliance
11
(
2010
)
3
,
pp. 14-19
Persistent link: https://www.econbiz.de/10008662584
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2
SEC provides details on amendments to money market fund rules
Hunt, John
- In:
The journal of investment compliance
11
(
2010
)
2
,
pp. 31-35
Persistent link: https://www.econbiz.de/10003993698
Saved in:
3
US securities and exchange commission amends dollar threshold tests under qualified client standard, requires exclusion of net equity in primary residence
Cohen, Rory M.
- In:
The journal of investment compliance
13
(
2012
)
2
,
pp. 48-51
Persistent link: https://www.econbiz.de/10009574354
Saved in:
4
What does it take to make the SEC happy? : SEC criticism of broker-dealers' due diligence for sales of unregistered securities leaves more questions than answers
Bettigole, Bruce
;
Kruly, Charlie
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 52-58
Persistent link: https://www.econbiz.de/10011344582
Saved in:
5
Prepare for the magnifying glass : SEC hikes scrutiny of asset managers ; 4 steps to consider
Weiner, Perrie Michael
;
Hunnius, Patrick
;
Alexander, Grant
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 49-51
Persistent link: https://www.econbiz.de/10011344585
Saved in:
6
US SEC approves sweeping amendments to rules governing money market funds
Murphy, Jack
;
Cohen, Stephen D.
;
Carroll, Brenden
; …
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 25-39
Persistent link: https://www.econbiz.de/10011344588
Saved in:
7
Securities and Exchange Commission announces enforcement initiative directed at reporting violations by public company insiders
Parrino, Richard J.
;
Romeo, Peter
;
Dye, Alan
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 19-24
Persistent link: https://www.econbiz.de/10011344593
Saved in:
8
The extra-territorial reach of the broker-dealer registration requirements under the US Securities Exchange Act of 1934 : the staff of the Securities and Exchange Commission addres...
Eisert, Edward
;
Katz, Tony
;
Carotenuto, Giovanni
;
Ball, …
- In:
The journal of investment compliance
14
(
2013
)
2
,
pp. 50-56
Persistent link: https://www.econbiz.de/10009774461
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9
Summary of selected sessions from "The SEC Speaks in 2013"
Rubin, Brian L.
;
Brun, Carmen L.
;
Faulkner, Jaliya Stewart
- In:
The journal of investment compliance
14
(
2013
)
2
,
pp. 5-20
Persistent link: https://www.econbiz.de/10009774468
Saved in:
10
Selected FINRA notices and disciplinary actions, June-August 2012
Davis, Henry A.
- In:
The journal of investment compliance
13
(
2012
)
4
,
pp. 44-64
Persistent link: https://www.econbiz.de/10009699592
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