//--> //--> //--> //-->
Toggle navigation
Logout
Change account settings
EN
DE
ES
FR
A-Z
Beta
About EconBiz
News
Thesaurus (STW)
Research Skills
Help
EN
DE
ES
FR
My account
Logout
Change account settings
Login
Publications
Events
Your search terms
Search
Retain my current filters
~isPartOf:"The journal of investment compliance"
Search options
All Fields
Title
Exact title
Subject
Author
Institution
ISBN/ISSN
Published in...
Publisher
Open Access only
Advanced
Search history
My EconBiz
Favorites
Loans
Reservations
Fines
You are here:
Home
Kingdom of the Netherlands-Net...
Similar by subject
Narrow search
Delete all filters
| 1 applied filter
Year of publication
From:
To:
Subject
All
Financial supervision
132
Finanzmarktaufsicht
132
Financial market regulation
84
Finanzmarktregulierung
84
USA
69
United States
69
Securities and Exchange Commission (SEC)
50
Financial markets law
41
Kapitalmarktrecht
41
US Securities and Exchange Commission (SEC)
26
Regulation
19
Regulierung
19
Securities law
19
Wertpapierrecht
19
Investment Fund
14
Investmentfonds
14
Securities and Exchange Commission
13
Broker-dealer
12
Investment adviser
11
Corporate disclosure
10
Law enforcement
10
Rechtsdurchsetzung
10
Unternehmenspublizität
10
Bourse
9
Börse
9
Financial Industry Regulatory Authority (FINRA)
8
Policies and procedures
8
Securities and exchange commission (SEC)
8
Securities trading
8
Wertpapierhandel
8
Cybersecurity
7
Data security
7
Datensicherheit
7
Dodd-Frank Act
7
Enforcement
7
Compliance
6
IT crime
6
IT-Kriminalität
6
Portfolio selection
6
Portfolio-Management
6
more ...
less ...
Online availability
All
Undetermined
69
Type of publication
All
Article
136
Type of publication (narrower categories)
All
Article in journal
136
Aufsatz in Zeitschrift
136
Language
All
English
136
Author
All
Nathan, Daniel A.
5
Parrino, Richard J.
4
Burns, James
3
Forbes, Jessica
3
Newell, John
3
Sacks, Russell D.
3
Berman, Kenneth
2
Bettigole, Bruce
2
Blake, Andrew
2
Brady, Andrew
2
Callcott, W. Hardy
2
Carroll, Brenden
2
Cohen, Stephen
2
Foley, Timothy C.
2
Galloway, Jackson
2
Gelfond, Stuart
2
Gittleman, Charles S.
2
Goldberger, M. Norman
2
Gordon, Kay
2
Greene, Nathan J.
2
Greer, Amy J.
2
Grugan, John C.
2
Harrell, Michael P.
2
Hunnius, Patrick
2
Kaplan, Matthew E.
2
Kruly, Charlie
2
Larkin, Gregory
2
Mammen, Jennifer
2
Man, Pablo J.
2
McKown, Joan
2
Murphy, Jack
2
Newman, Bruce H.
2
Pershkow, Amy Ward
2
Pugliese, Domenick
2
Rosella, Michael
2
Rowe, Tiffany
2
Saunders, Kimberly Beattie
2
Srere, Mark
2
Stanley, Tesia N.
2
Tuttle, Jonathan R.
2
more ...
less ...
Published in...
All
The journal of investment compliance
Economisch statistische berichten : ESB
2,011
IMF Staff Country Reports
1,079
IMF country report
990
IMF staff country report
634
Maandschrift economie : tijdschrift voor algemeen economische en social-economische vraagstukken
534
Discussion paper / Tinbergen Institute
510
De economist : Netherlands economic review ; quarterly review of the Royal Netherlands Economic Association
451
IMF Working Papers
436
SEO-rapport
402
IDB Publications (Working Papers)
391
IMF working papers
327
Discussion paper series / IZA
323
Openbare uitgaven : zin en omvang van de overheidsuitgaven ; publikatie van de Stichting Instituut voor Onderzoek van Overheidsuitgaven te 's-Gravenhage
257
Publikatie / Sociaal-Economische Raad
256
Uitgave van de Sociaal-Economische Raad
254
NBER working paper series
240
Tinbergen Institute Discussion Paper
240
Discussion paper / Centre for Economic Policy Research
221
Discussion paper / Center for Economic Research, Tilburg University
220
Tijdschrift voor economische en sociale geografie : TESG
214
Statistisch magazine / Centraal Bureau voor de Statistiek, Hoofafdeling Ontwikkeling
212
Working paper / National Bureau of Economic Research, Inc.
211
CPB discussion paper
194
Tijdschrift vervoerswetenschap : kwartaalschrift van de Stichting NEA
193
NBER Working Paper
191
IZA Discussion Papers
190
Applied economics
187
IZA Discussion Paper
184
Tijdschrift voor politieke ekonomie
179
Journal of banking & finance
161
Quarterly bulletin / De Nederlandsche Bank
159
Sociaal maandblad arbeid : SMA ; gewijd aan arbeidsrecht, arbeidsmarkt, werkloosheidsbestrijding, sociale verzekering en andere arbeitdsvraagstukken
152
Policy research working paper : WPS
148
CPB document
145
DNB working paper
144
IMF Working Paper
144
Tinbergen Institute research series
144
Discussion paper / Central Bureau voor de Statistiek
136
SpringerLink / Bücher
136
more ...
less ...
Source
All
ECONIS (ZBW)
136
Showing
1
-
10
of
136
Sort
relevance
articles prioritized
date (newest first)
date (oldest first)
1
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:
2
SEC proposes large trader reporting system
Sacks, Russell D.
;
Blankenship, Michael J.
- In:
The journal of investment compliance
11
(
2010
)
3
,
pp. 8-13
Persistent link: https://www.econbiz.de/10008662587
Saved in:
3
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
Saved in:
4
SEC amends the Advisers Act custody rule
Forbes, Jessica
;
Molle, Mark
- In:
The journal of investment compliance
11
(
2010
)
2
,
pp. 36-38
Persistent link: https://www.econbiz.de/10003993749
Saved in:
5
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
Saved in:
6
SEC touts whistleblower award to a compliance professional : use care in responding to reports of potential violations
Srere, Mark
;
Buchanan, Mary Beth
;
Koch, Elaine
;
Mammen, …
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 77-78
Persistent link: https://www.econbiz.de/10011344527
Saved in:
7
Expense allocation : the SEC brings down the hammer
Berman, Kenneth
;
Larkin, Gregory
;
Giglio, Phil V.
; …
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 66-68
Persistent link: https://www.econbiz.de/10011344548
Saved in:
8
SEC issues Staff Legal Bulletin after four-year comprehensive review of proxy system
Sorkin, John E.
;
Pickering Bomba, Abigail
;
Epstein, Steven
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 63-65
Persistent link: https://www.econbiz.de/10011344577
Saved in:
9
SEC charges broker-dealer for failure to protect against insider trading by employees
Nathan, Daniel A.
;
Rowe, Tiffany
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 59-62
Persistent link: https://www.econbiz.de/10011344578
Saved in:
10
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
Saved in:
1
2
3
4
5
6
7
8
9
10
Next
Last
Results per page
10
25
50
100
250
A service of the
zbw
×
Loading...
//-->