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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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Enforcement mechanisms for SEC reporting deadlines
Dalton, Derek; Buchheit, Steve; Oler, Derek K.; Zhou, Ming - In: Research in accounting regulation 25 (2013) 2, pp. 185-195
Persistent link: https://www.econbiz.de/10010232441
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The effect of evidence strength and internal rewards on intentions to report fraud in the Dodd-Frank regulatory environment
Brink, Alisa G.; Lowe, D. Jordan; Victoravich, Lisa M. - In: Auditing : a journal of practice & theory 32 (2013) 3, pp. 87-104
Persistent link: https://www.econbiz.de/10009786603
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New challenges for the SEC
Rouse, Robert W. - In: The journal of corporate accounting & finance 25 (2013/14) 4, pp. 97-101
Persistent link: https://www.econbiz.de/10010364071
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SEC issues guidance on Rule 144A and Rule 506 offerings regarding feneral solicitation and general advertising and other aspects on the amended rules
Gelfond, Stuart; Coleman, Joshua; Ross, Kaihli - In: The journal of investment compliance 15 (2014) 1, pp. 58-61
Persistent link: https://www.econbiz.de/10010366724
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SEC target investment adviser community
Bramnik, Robert P.; Wolfe, Mauro M. - In: The journal of investment compliance 15 (2014) 1, pp. 45-47
Persistent link: https://www.econbiz.de/10010366727
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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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SEC issues proposed investment adviser reporting and disclosure rules
Greene, Nathan J. - In: The journal of investment compliance 16 (2015) 4, pp. 23-29
Persistent link: https://www.econbiz.de/10011438471
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The SEC’s evolving scrutiny of private equity firms : KKR hit with an unprecedented enforcement action for broken deal expense misallocation
Rendon Callahan, Veronica; Fleishhacker, Ellen Kaye; … - In: The journal of investment compliance 16 (2015) 4, pp. 39-42
Persistent link: https://www.econbiz.de/10011438478
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SEC proposes new compensation clawback rules
Brady, Andrew; Zaiss, Rolf; Persaud, Nyron - In: The journal of investment compliance 16 (2015) 4, pp. 43-46
Persistent link: https://www.econbiz.de/10011438479