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Large trader reporting rule : a temporary reprieve for broker-dealers and broadening of exemptions for capital markets transactions
Snacks, Russell; Blankenship, Michael J. - In: The journal of investment compliance 13 (2012) 4, pp. 4-8
Persistent link: https://www.econbiz.de/10009699615
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Regulatory change for financial institutions : crossing the ocean in an open boat
Turing, Dermot; Benzler, Marc; Lacroix, Frédérick - In: The journal of investment compliance 12 (2011) 1, pp. 50-52
Persistent link: https://www.econbiz.de/10009129912
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Reforming EU securities laws : the new EU Prospectus Regulation
Fischer-Appelt, Dorothee - In: The journal of investment compliance 18 (2017) 4, pp. 53-58
Persistent link: https://www.econbiz.de/10011808553
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SFC reminding sponsors of the need to adopt an attitude of "professional scepticism"
Hughes, Gareth; Comber, James - In: The journal of investment compliance 18 (2017) 3, pp. 82-84
Persistent link: https://www.econbiz.de/10011804884
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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
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The NYSE and NASDAQ issue proposed rules to implement the SEC compensation committee independence and advisor rules
Lilienfeld, Doreen; Cannon, John; Bennett, Amy Gitlitz; … - In: The journal of investment compliance 14 (2013) 2, pp. 42-49
Persistent link: https://www.econbiz.de/10009774462
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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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Broker-dealers need to respond to recent focus on cybersecurity threats
Petron, David; Wolk, Michael; McNicholas, Edward - In: The journal of investment compliance 15 (2014) 2, pp. 29-32
Persistent link: https://www.econbiz.de/10010396203
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SEC staff expands relief from broker-dealer registration under US Securities Exchange Act for intermediaries in private M&A transactions
Kahn, Henry; Welp, Robert; Parrino, Richard - In: The journal of investment compliance 15 (2014) 2, pp. 22-25
Persistent link: https://www.econbiz.de/10010396205