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The journal of investment compliance
NBER working paper series
605
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Voprosy ėkonomiki : ordena trudovogo krasnogo znameni ežemesjačnyj žurnal ; Vserossijskoe ėkonomičeskoe izdanie
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ECONIS (ZBW)
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1
2014 FINRA analysis : a blockbuster year for fines
Rubin, Brian
;
McCormick, Andrew M.
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 4-12
Persistent link: https://www.econbiz.de/10011405507
Saved in:
2
SEC suffers three recent losses despite increased focus on trial readiness
Bettigole, Bruce
;
Kelly, Katherine
;
Kruly, Charlie
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 35-37
Persistent link: https://www.econbiz.de/10010366730
Saved in:
3
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
Saved in:
4
SEC enforcement actions getting up close and personal
Kaplan, Matthew E.
;
Paley, Alan H.
;
Tuttle, Jonathan R.
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 131-132
Persistent link: https://www.econbiz.de/10011523795
Saved in:
5
A new SEC enforcement direction for 2014
Fons, Randall
;
Rowe, Tiffany
- In:
The journal of investment compliance
15
(
2014
)
2
,
pp. 4-9
Persistent link: https://www.econbiz.de/10010396213
Saved in:
6
Dodd-Frank beefs up SEC and CFTC enforcement
Bayless, David
;
Kornblau, David L.
- In:
The journal of investment compliance
11
(
2010
)
4
,
pp. 37-40
Persistent link: https://www.econbiz.de/10008772753
Saved in:
7
Lower courts extend Morrison but SEC asserts Dodd-Frank Act overrules Morrison for enforcement actions
Weidner, James
;
Lane, Christopher
;
Peterson, Sean
- In:
The journal of investment compliance
12
(
2011
)
2
,
pp. 33-36
Persistent link: https://www.econbiz.de/10009236833
Saved in:
8
Parties push to enforce statutory time limits on SEC enforcement actions
Neaderland, Benjamin
;
Cohen, Jared
- In:
The journal of investment compliance
16
(
2015
)
3
,
pp. 30-32
Persistent link: https://www.econbiz.de/10011446036
Saved in:
9
SEC asset management unit’s enforcement priorities for 2015 : conflicts of interest
Weiner, Perrie Michael
;
Hunnius, Patrick
;
Crain, Sean R.
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 22-25
Persistent link: https://www.econbiz.de/10011405515
Saved in:
10
SEC Muni enforcement chief offers her views on Municipalities Continuing Disclosure Cooperation initiative (MCDC)
Goldberger, M. Norman
;
Grugan, John C.
;
Patterson, …
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 33-34
Persistent link: https://www.econbiz.de/10011405523
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