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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 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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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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Towards a convergence of CSD account segregation practices?
Belghazi, Soraya - In: Journal of securities operations & custody 8 (2015/2016) 1, pp. 18-27
Persistent link: https://www.econbiz.de/10011488444
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What is an exchange? : the automation, management, and regulation of financial markets
Lee, Ruben - 1998 - 1. publ.
Persistent link: https://www.econbiz.de/10000906525
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Effizienzorientierte Kapitalmarktregulierung : eine Analyse aus institutionenökonomischer Perspektive
Kress, Sabine L. - 1996
Persistent link: https://www.econbiz.de/10000937083
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Lectures on Japanese securities regulation
1980
Persistent link: https://www.econbiz.de/10003399132
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Financial market infrastructures : law and regulation
Binder, Jens-Hinrich (ed.); Saguato, Paolo (ed.) - 2021 - First edition
Persistent link: https://www.econbiz.de/10013413057
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What is an exchange? : the automation, management, and regulation of financial markets
Lee, Ruben - 2000 - 1. publ. in paperback
Persistent link: https://www.econbiz.de/10001403063