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Facing new regulatory frameworks in securities trading
Engelen, Peter-Jan; Gomber, Peter; Gsell, Markus - In: Competition and regulation in network industries : CRNI 1 (2006) 4, pp. 487-496
Persistent link: https://www.econbiz.de/10003418885
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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 staff expands relief from broker-dealer registration under US Securities Exchange Act for intermediaries in private M&A transactions
Kahn, Henry; Welp, Robert; Parrino, Richard - In: The journal of investment compliance 15 (2014) 2, pp. 22-25
Persistent link: https://www.econbiz.de/10010396205
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Regulation of US equity markets
Schwartz, Robert A. (ed.); Colaninno, Antoinette (contributor) - 2001
Persistent link: https://www.econbiz.de/10001699098
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Stealing the market : how the giant brokerage firms, with help from the SEC, stole the stock market from investors
Mayer, Martin - 1992
Persistent link: https://www.econbiz.de/10000854247
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The effect of evidence strength and internal rewards on intentions to report fraud in the Dodd-Frank regulatory environment
Brink, Alisa G.; Lowe, D. Jordan; Victoravich, Lisa M. - In: Auditing : a journal of practice & theory 32 (2013) 3, pp. 87-104
Persistent link: https://www.econbiz.de/10009786603
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The impact on financial market liquidity of the markets in financial instruments directive (MiFID)
Cherbonnier, Frédéric; Vandelanoite, Séverine - In: Financial stability review : FSR 11 (2008), pp. 75-94
Persistent link: https://www.econbiz.de/10003652484
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Does inter-market competition lead to less regulation?
Draus, Sarah - 2010
This paper presents a model to analyze the consequences of competition in order-flow between a profit maximizing stock exchange and an alternative trading platform on the decisions concerning trading fees and listing requirements. Listing requirements, set by the exchange, provide public...
Persistent link: https://www.econbiz.de/10003980636