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~subject:"Kapitalmarktrecht"
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Kapitalmarktrecht
US Securities and Exchange Commission (SEC)
52
Financial Industry Regulatory Authority (FINRA)
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USA
39
Financial market regulation
38
Finanzmarktregulierung
38
United States
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Regulierung
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Securities and Exchange Commission (SEC)
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Börse
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Investment adviser
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Investment advisers
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Wertpapierrecht
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IT-Kriminalität
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Business continuity and transition plan (BCP)
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Nathan, Daniel A.
2
Bannard, David
1
Bondi, Bradley J.
1
Breslin, William J.
1
Daniel, Jason
1
Doan, Jenifer Q.
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Golden, Scott I.
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Greene, Nathan
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Groethe, Reed
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Lanza, Ernesto
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Marshall, Elizabeth
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Mazgalev, Victoria T.
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McLaughlin, Robert M.
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Mitchell, David S.
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Morgan, Nicolas
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Ortiz, Sara
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Petillo-Décossard, Kimberly C.
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Poorbaugh, Kate S.
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Rowe, Tiffany
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Rubin, Brian
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Schuster, John J.
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Van Grover, Robert
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White, Thomas W.
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Wirig, Matthew T.
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The journal of investment compliance
13
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ECONIS (ZBW)
13
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1
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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2
Securities regulators' overlapping priorities provide guidance for examination preparation
Nathan, Daniel A.
;
Marshall, Elizabeth
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 15-18
Persistent link: https://www.econbiz.de/10011662048
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3
The SEC's Municipal Advisor Rule will prompt new practices for market participants
Bannard, David
;
Groethe, Reed
- In:
The journal of investment compliance
15
(
2014
)
2
,
pp. 10-17
Persistent link: https://www.econbiz.de/10010396211
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4
SEC charges broker-dealer for failure to protect against insider trading by employees
Nathan, Daniel A.
;
Rowe, Tiffany
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 59-62
Persistent link: https://www.econbiz.de/10011344578
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5
SEC adopts new disclosure and recordkeeping requirements for investment advisers
Greene, Nathan
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 19-24
Persistent link: https://www.econbiz.de/10011662051
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6
SEC requires hedge funds to prevent insider trading despite unsettled legal definition
Morgan, Nicolas
;
Zwickel, Art
;
Zaccaro, Thomas A.
; …
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 63-64
Persistent link: https://www.econbiz.de/10011662110
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7
SEC targets broker-dealer implications of transaction-based deal fees
Daniel, Jason
- In:
The journal of investment compliance
17
(
2016
)
4
,
pp. 75-76
Persistent link: https://www.econbiz.de/10011616461
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8
The SEC provides new custody rule guidance to investment advisers
Wirig, Matthew T.
;
Poorbaugh, Kate S.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 9-12
Persistent link: https://www.econbiz.de/10011704623
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9
Pay to play violations : an SEC focus
Van Grover, Robert
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 13-15
Persistent link: https://www.econbiz.de/10011704651
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10
SEC enforcement actions under exchange act rule 21F-17
White, Thomas W.
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 1-10
Persistent link: https://www.econbiz.de/10011804682
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