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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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SEC adopts rule to implement Dodd-Frank CEO pay ratio disclosure requirement
Parrino, Richard J. - In: The journal of investment compliance 17 (2016) 1, pp. 122-130
Persistent link: https://www.econbiz.de/10011523789
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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
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SEC proposes "pay-for-performance" disclosure rule
Engvall, David H.; Hooper, Reid S.; Gumbs, Keir D.; … - In: The journal of investment compliance 16 (2015) 3, pp. 24-27
Persistent link: https://www.econbiz.de/10011446001
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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
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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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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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Cybersecurity enforcement actions : is the SEC bringing strict liability cases?
Rubin, Brian; Xu, Amy - In: The journal of investment compliance 17 (2016) 1, pp. 112-116
Persistent link: https://www.econbiz.de/10011523768
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SEC adopts "crowdfunding" rules for start-up businesses : an easy way to bet on the next Google?
Gelfond, Stuart; Eren, Burcin - In: The journal of investment compliance 17 (2016) 1, pp. 117-121
Persistent link: https://www.econbiz.de/10011523777