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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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The SEC and capital market regulation : the politics of expertise
Khademian, Anne M. - 1992
Persistent link: https://www.econbiz.de/10000863436
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A study of the Securities and Exchange Commission governance and the public interest : 1969 - 1972
Herman, Robert E. - 1992
Persistent link: https://www.econbiz.de/10000871114
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The SEC and foreign blocking statutes : need for a balanced approach
Nakata, Ken S. - In: Journal of international business law 9 (1987) 3, pp. 549-591
Persistent link: https://www.econbiz.de/10001048447
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An introduction to the SEC
Skousen, K. Fred (contributor) - 1991 - 5. ed
Persistent link: https://www.econbiz.de/10000844381
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SEC adopts rule to implement Dodd-Frank CEO pay ratio disclosure requirement
Parrino, Richard J. - In: The journal of investment compliance 17 (2016) 1, pp. 122-130
Persistent link: https://www.econbiz.de/10011523789
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SEC adopts new financial responsibility and reporting requirements for US-registered broker-dealers
Curzon, Elliott; Wingler, Jeanette - In: The journal of investment compliance 14 (2013) 4, pp. 38-43
Persistent link: https://www.econbiz.de/10010229670
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SEC Muni enforcement chief offers her views on Municipalities Continuing Disclosure Cooperation initiative (MCDC)
Goldberger, M. Norman; Grugan, John C.; Patterson, … - In: The journal of investment compliance 16 (2015) 2, pp. 33-34
Persistent link: https://www.econbiz.de/10011405523