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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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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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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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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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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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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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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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Transparency and fragmentation : financial market regulation in a dynamic environment
Board, John L. G.; Sutcliffe, Charles M. S.; Wells, Stephen - 2002
Persistent link: https://www.econbiz.de/10001668619
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Regulation of securities, markets, and transactions : a guide to the new environment
Collins, Patrick S. - 2011
"This book provides a description about the various government regulations of securities, securities markets, and securities transactions. The book defines, describes, and explains U.S. securities regulation. The book will be current as of the signing of the securities reform act (expected to be...
Persistent link: https://www.econbiz.de/10008860311
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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