Similar Search Results

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

MSRB publishes its first compliance advisory for broker-dealers

Anderson, Scott R.; Poorbaugh, Kate S. - In: The journal of investment compliance 17 (2016) 3, pp. 49-51

Persistent link: https://www.econbiz.de/10011623098

MSRB publishes its first compliance advisory for broker-dealers

Anderson, Scott R.; Poorbaugh, Kate S. - In: Journal of Investment Compliance 17 (2016) 3, pp. 49-51

Purpose To summarize the Municipal Securities Rulemaking Board’s 2016 Compliance Advisory for brokers, dealers and municipal securities dealers. Design/methodology/approach Summarizes several Municipal Securities Rulemaking Board (MSRB) rules that the Compliance Advisory highlights as...

Persistent link: https://www.econbiz.de/10014893812

Broker-dealers need to respond to recent focus on cybersecurity threats

Petron, David; Wolk, Michael; McNicholas, Edward - In: The journal of investment compliance 15 (2014) 2, pp. 29-32

Persistent link: https://www.econbiz.de/10010396203

Broker-dealers need to respond to recent focus on cybersecurity threats

Petron, David; Wolk, Michael; McNicholas, Edward - In: Journal of Investment Compliance 15 (2014) 2, pp. 29-32

Purpose – To alert broker-dealers to several regulatory developments relating to cybersecurity threats. Design/methodology/approach – Reviews four regulatory developments in the cybersecurity area and provides several steps broker-dealers should undertake to review and improve their...

Persistent link: https://www.econbiz.de/10014893746

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

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

Not just a compliance program, but an effective compliance program : SEC, DOJ issue strong reminders

Ingerman, Brett; Hynes, Michael D.; Benjet, Brian H.; … - In: The journal of investment compliance 16 (2015) 4, pp. 4-5

Persistent link: https://www.econbiz.de/10011438425

SEC enforcement actions getting up close and personal

Kaplan, Matthew E.; Paley, Alan H.; Tuttle, Jonathan R. - In: The journal of investment compliance 17 (2016) 1, pp. 131-132

Persistent link: https://www.econbiz.de/10011523795

Cybersecurity : SEC is starting to scrutinize registrants' practices

Nathan, Daniel A.; Greismann, Libby J. - In: The journal of investment compliance 15 (2014) 4, pp. 4-6

Persistent link: https://www.econbiz.de/10010461411