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The journal of investment compliance
NBER working paper series
535
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505
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463
The journal of futures markets
417
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408
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1
CFTC modernizes Rule 1.31 recordkeeping requirements
Mitchell, David S.
;
McLaughlin, Robert M.
;
Breslin, …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 45-49
Persistent link: https://www.econbiz.de/10011808535
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2
Life on the margin : US margin rules finalized at last
Horwitz, Marc
;
Hall, Claire
;
Phipps, Bradley
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 70-74
Persistent link: https://www.econbiz.de/10011523921
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3
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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4
Recent SEC enforcement actions put spotlight on probibited short selling
Wink, Stephen
;
Clark, Christopher
;
Paulovic, Stefan
; …
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 41-44
Persistent link: https://www.econbiz.de/10010366728
Saved in:
5
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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6
SEC adopts
regulation
systems compliance and integrity
Burns, James
;
Bullitt, Georgia
;
Kramer, Howard
;
Habert, Jack
- In:
The journal of investment compliance
16
(
2015
)
3
,
pp. 4-14
Persistent link: https://www.econbiz.de/10011445940
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7
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
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8
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:
9
2014 FINRA analysis : a blockbuster year for fines
Rubin, Brian
;
McCormick, Andrew M.
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 4-12
Persistent link: https://www.econbiz.de/10011405507
Saved in:
10
FINRA 2015 regulatory and examinations priorities
Wirig, Matthew T.
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 13-17
Persistent link: https://www.econbiz.de/10011405508
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