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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
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Securities regulators' overlapping priorities provide guidance for examination preparation
Nathan, Daniel A.; Marshall, Elizabeth - In: The journal of investment compliance 18 (2017) 1, pp. 15-18
Persistent link: https://www.econbiz.de/10011662048
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The municipal advisor regulatory framework : where we are and where to next
Lanza, Ernesto - In: The journal of investment compliance 18 (2017) 1, pp. 53-57
Persistent link: https://www.econbiz.de/10011662083
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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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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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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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SEC issues proposed investment adviser reporting and disclosure rules
Greene, Nathan J. - In: The journal of investment compliance 16 (2015) 4, pp. 23-29
Persistent link: https://www.econbiz.de/10011438471
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The SEC’s evolving scrutiny of private equity firms : KKR hit with an unprecedented enforcement action for broken deal expense misallocation
Rendon Callahan, Veronica; Fleishhacker, Ellen Kaye; … - In: The journal of investment compliance 16 (2015) 4, pp. 39-42
Persistent link: https://www.econbiz.de/10011438478
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SEC proposes new compensation clawback rules
Brady, Andrew; Zaiss, Rolf; Persaud, Nyron - In: The journal of investment compliance 16 (2015) 4, pp. 43-46
Persistent link: https://www.econbiz.de/10011438479
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SEC applies whistleblower protections to confidentiality agreements
Adams, Daniel; Chunias, Jennifer; Hale, Robert; Newell, John - In: The journal of investment compliance 16 (2015) 3, pp. 19-21
Persistent link: https://www.econbiz.de/10011445960