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CFTC staff finalizes guidance on anti-disruptive trading practices
Architzel, Paul M.; Bernstein, Gail C.; Ayalew, Mahlet - In: The journal of investment compliance 14 (2013) 4, pp. 44-47
Persistent link: https://www.econbiz.de/10010229661
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SEC proposes new compensation clawback rules
Brady, Andrew; Zaiss, Rolf; Persaud, Nyron - In: The journal of investment compliance 16 (2015) 4, pp. 43-46
Persistent link: https://www.econbiz.de/10011438479
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SEC applies whistleblower protections to confidentiality agreements
Adams, Daniel; Chunias, Jennifer; Hale, Robert; Newell, John - In: The journal of investment compliance 16 (2015) 3, pp. 19-21
Persistent link: https://www.econbiz.de/10011445960
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Has the SEC become the "Whistleblower's Advocate"?
Greer, Amy J.; Chan, Peter K. M. - In: The journal of investment compliance 16 (2015) 3, pp. 22-23
Persistent link: https://www.econbiz.de/10011445980
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SEC proposes "pay-for-performance" disclosure rule
Engvall, David H.; Hooper, Reid S.; Gumbs, Keir D.; … - In: The journal of investment compliance 16 (2015) 3, pp. 24-27
Persistent link: https://www.econbiz.de/10011446001
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SEC adopts rule to implement Dodd-Frank CEO pay ratio disclosure requirement
Parrino, Richard J. - In: The journal of investment compliance 17 (2016) 1, pp. 122-130
Persistent link: https://www.econbiz.de/10011523789
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The SEC's increased use of administrative proceedings in enforcement actions : background, controversies, and future outlook
Wolper, Alan; VonderHeide, Heidi - In: The journal of investment compliance 17 (2016) 2, pp. 17-22
Persistent link: https://www.econbiz.de/10011523836
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The SEC's Municipal Advisor Rule will prompt new practices for market participants
Bannard, David; Groethe, Reed - In: The journal of investment compliance 15 (2014) 2, pp. 10-17
Persistent link: https://www.econbiz.de/10010396211
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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