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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
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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
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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
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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
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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
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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
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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
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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
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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
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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