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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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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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High-frequency traders : a review of the challenges in registering them as dealers
Fitterman, Mark; Sandoval, Ignacio - In: The journal of investment compliance 15 (2014) 3, pp. 3-9
Persistent link: https://www.econbiz.de/10010428126
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Market making and the changing structure of the securities industry
Amihud, Yakov (contributor); Ho, Thomas S. Y. (contributor);  … - 2003 - Repr
Persistent link: https://www.econbiz.de/10001711097
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Achieving market integration : best execution, fragmentation and the free flow of capital
McCleskey, Scott - 2004
Persistent link: https://www.econbiz.de/10001783712
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Expenditures and revenues of state securities regulatory agencies
2000
Persistent link: https://www.econbiz.de/10001528828
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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