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~isPartOf:"The journal of investment compliance"
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The journal of investment compliance
The journal of economic education
412
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ECONIS (ZBW)
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1
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:
2
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:
3
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:
4
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:
5
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:
6
SEC approves MSRB's new underwriter disclosure requirements
Callcott, W. Hardy
;
Baird, Elizabeth H.
;
Foley, Timothy C.
- In:
The journal of investment compliance
13
(
2012
)
3
,
pp. 69-73
Persistent link: https://www.econbiz.de/10009664250
Saved in:
7
CFTC and SEC jointly adopt final swap entity definition rules
Lurton, Allison
;
Bennett, Bruce
;
Massey, William
; …
- In:
The journal of investment compliance
13
(
2012
)
3
,
pp. 51-59
Persistent link: https://www.econbiz.de/10009664255
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8
SEC adopts new financial responsibility and reporting requirements for US-registered broker-dealers
Curzon, Elliott
;
Wingler, Jeanette
- In:
The journal of investment compliance
14
(
2013
)
4
,
pp. 38-43
Persistent link: https://www.econbiz.de/10010229670
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9
SEC issues guidance on Rule 144A and Rule 506 offerings regarding feneral solicitation and general advertising and other aspects on the amended rules
Gelfond, Stuart
;
Coleman, Joshua
;
Ross, Kaihli
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 58-61
Persistent link: https://www.econbiz.de/10010366724
Saved in:
10
SEC target investment adviser community
Bramnik, Robert P.
;
Wolfe, Mauro M.
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 45-47
Persistent link: https://www.econbiz.de/10010366727
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