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~isPartOf:"The journal of investment compliance"
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The journal of investment compliance
Swiss journal of economics and statistics
921
Wirtschaft und Recht : Zeitschr. für Wirtschaftspolitik u. Wirtschaftsrecht mit Einschluß des Sozial- und Arbeitsrechtes
344
Der Schweizer Treuhänder : Monatsschrift für Wirtschaftsprüfung, Rechnungswesen, Unternehmens- und Steuerberatung ; offizielles Organ der Treuhand-Kammer
320
Aussenwirtschaft : schweizerische Zeitschrift für internationale Wirtschaftsbeziehungen ; the Swiss review of international economic relations
268
Revue économique et sociale : RES ; bulletin de la Société d'Etudes Economiques et Sociales
265
Wirtschaftspolitische Mitteilungen : Wirtschaftsförderung, Gesellschaft zur Förderung der Schweizerischen Wirtschaft
252
Europäische Hochschulschriften / 5
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Steuer-Revue : die unabhängige Fachzeitschrift für das gesamte Steuerwesen
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Die Unternehmung : Swiss journal of business research and practice ; Organ der Schweizerischen Gesellschaft für Betriebswirtschaft (SGB)
207
NBER working paper series
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125
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124
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123
Gewerbliche Rundschau : Zeitschr. für Gewerbepolitik, Gewerbeförderung und gewerbl. Kultur
121
Untersuchungen über das Spar-, Giro- und Kreditwesen / B
119
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109
Industrielle Organisation : Zeitschrift für Betriebswissenschaft, Management, Produktionstechnik und Organisation
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1
Shadow banking regime : assessment of investment funds
Prorokowski, Lukas
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 36-45
Persistent link: https://www.econbiz.de/10011704694
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 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
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:
5
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:
6
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
Saved in:
7
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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8
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
Saved in:
9
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
Saved in:
10
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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