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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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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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SEC issues proposed investment company reporting rules
Greene, Nathan J. - In: The journal of investment compliance 16 (2015) 4, pp. 14-22
Persistent link: https://www.econbiz.de/10011438470
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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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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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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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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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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