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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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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
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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
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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
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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
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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
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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 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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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
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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