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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
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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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Has the SEC become the "Whistleblower's Advocate"?
Greer, Amy J.; Chan, Peter K. M. - In: The journal of investment compliance 16 (2015) 3, pp. 22-23
Persistent link: https://www.econbiz.de/10011445980
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The SEC's increased use of administrative proceedings in enforcement actions : background, controversies, and future outlook
Wolper, Alan; VonderHeide, Heidi - In: The journal of investment compliance 17 (2016) 2, pp. 17-22
Persistent link: https://www.econbiz.de/10011523836
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Parties push to enforce statutory time limits on SEC enforcement actions
Neaderland, Benjamin; Cohen, Jared - In: The journal of investment compliance 16 (2015) 3, pp. 30-32
Persistent link: https://www.econbiz.de/10011446036
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A tale of two enforcement venues : determinants and consequences of the SEC's choice of enforcement venue after the Dodd-Frank Act
Zheng, Xin - In: The accounting review : a publication of the American … 96 (2021) 6, pp. 451-476
Persistent link: https://www.econbiz.de/10012703058
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SEC’s authority to interpret the securities laws comes under fire in criminal enforcement
Boryshansky, Joseph; Asaro, Michael A.; Benjamin, James; … - In: The journal of investment compliance 16 (2015) 2, pp. 41-43
Persistent link: https://www.econbiz.de/10011405529
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Return and liquidity response to fraud and sec investigations
Morris, Brandon C. L.; Egginton, Jared F.; Fuller, … - In: Journal of economics and finance 43 (2019) 2, pp. 313-329
Persistent link: https://www.econbiz.de/10012171148
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Is the SEC captured? : evidence from political connectedness and SEC enforcement actions
Khokhar, Abdul-Rahman; Shahriari, Hesam - In: Accounting and finance 62 (2022) 2, pp. 2725-2756
Persistent link: https://www.econbiz.de/10013325728
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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