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~isPartOf:"The journal of investment compliance"
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1
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
Saved in:
2
SEC approves long-anticipated FINRA research rules
Kroll, Amy Natterson
;
Ayanian, John Z.
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 39-44
Persistent link: https://www.econbiz.de/10011523734
Saved in:
3
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
Saved in:
4
SEC adopts rules and forms to modernize reporting requirements for registered investment companies
Cohen, Stephen
;
Johnson, Megan
;
Brooks, Gary
;
Higgs, Brooke
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 25-42
Persistent link: https://www.econbiz.de/10011662066
Saved in:
5
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
Saved in:
6
An update on the EU securities financing transactions
regulation
Yonge, William J. G.
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 78-83
Persistent link: https://www.econbiz.de/10011662166
Saved in:
7
Recent regulatory developments provide some clarifications regarding the market access rule for broker-dealers
Newman, Bruce H.
;
Mitchell, Elizabeth
;
Nicolas, Stephanie R.
- In:
The journal of investment compliance
15
(
2014
)
3
,
pp. 10-19
Persistent link: https://www.econbiz.de/10010428122
Saved in:
8
Director of SEC's division of investment management discusses alternative mutual funds
Kerr, Richard F.
- In:
The journal of investment compliance
15
(
2014
)
4
,
pp. 15-18
Persistent link: https://www.econbiz.de/10010461358
Saved in:
9
OCIE to investment advisers : focus on these five problem areas
Peltz, Brynn D.
;
Nissan, Ilan S.
;
Rabinowitz, Evyn W.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 16-18
Persistent link: https://www.econbiz.de/10011704661
Saved in:
10
What is a
Regulation
SHO bona-fide market maker?
Bergmann, Larry E.
;
Dombach, James P.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 19-26
Persistent link: https://www.econbiz.de/10011704668
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