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~isPartOf:"The journal of investment compliance"
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The journal of investment compliance
MPRA Paper
1,207
ECB Working Paper
942
CEPR Discussion Papers
618
Working Paper
580
IMF Staff Country Reports
559
IMF Working Paper
547
CESifo Working Paper
477
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258
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243
Wirtschaftsdienst : Zeitschrift für Wirtschaftspolitik
239
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237
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196
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178
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178
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173
Journal of Banking & Finance
169
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169
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ECONIS (ZBW)
164
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1
SEC issues final rule on investment company liquidity risk management
Schwartz, Rachael Leah
;
Pugliese, Domenick
;
Bateman, …
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 43-52
Persistent link: https://www.econbiz.de/10011662072
Saved in:
2
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
Saved in:
3
SEC gives bod to use of social media under
Regulation
FD : it done correctly
Zepralka, Jennifer
;
Cross, Meredith
;
White, Thomas W.
; …
- In:
The journal of investment compliance
14
(
2013
)
4
,
pp. 24-30
Persistent link: https://www.econbiz.de/10010229679
Saved in:
4
Recent SEC enforcement actions put spotlight on probibited short selling
Wink, Stephen
;
Clark, Christopher
;
Paulovic, Stefan
; …
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 41-44
Persistent link: https://www.econbiz.de/10010366728
Saved in:
5
SEC issues proposed investment company reporting rules
Greene, Nathan J.
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 14-22
Persistent link: https://www.econbiz.de/10011438470
Saved in:
6
SEC adopts
regulation
systems compliance and integrity
Burns, James
;
Bullitt, Georgia
;
Kramer, Howard
;
Habert, Jack
- In:
The journal of investment compliance
16
(
2015
)
3
,
pp. 4-14
Persistent link: https://www.econbiz.de/10011445940
Saved in:
7
SEC approves long-anticipated FINRA research rules
Kroll, Amy Natterson
;
Ayanian, John Z.
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 39-44
Persistent link: https://www.econbiz.de/10011523734
Saved in:
8
Recent regulatory developments provide some clarifications regarding the market access rule for broker-dealers
Newman, Bruce H.
;
Mitchell, Elizabeth
;
Nicolas, Stephanie R.
- In:
The journal of investment compliance
15
(
2014
)
3
,
pp. 10-19
Persistent link: https://www.econbiz.de/10010428122
Saved in:
9
Heightened supervision of branch offices
Nathan, Daniel A.
;
Navarro, Lauren
;
Matta, Kevin
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 18-21
Persistent link: https://www.econbiz.de/10011405512
Saved in:
10
Director of SEC's division of investment management discusses alternative mutual funds
Kerr, Richard F.
- In:
The journal of investment compliance
15
(
2014
)
4
,
pp. 15-18
Persistent link: https://www.econbiz.de/10010461358
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