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Does portfolio margining make borrowing more attractive?
Matsypura, Dmytro; Pauwels, Laurent L. - In: International review of financial analysis 43 (2016), pp. 128-134
Persistent link: https://www.econbiz.de/10011623752
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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
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SEC adopts new disclosure and recordkeeping requirements for investment advisers
Greene, Nathan - In: The journal of investment compliance 18 (2017) 1, pp. 19-24
Persistent link: https://www.econbiz.de/10011662051
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The municipal advisor regulatory framework : where we are and where to next
Lanza, Ernesto - In: The journal of investment compliance 18 (2017) 1, pp. 53-57
Persistent link: https://www.econbiz.de/10011662083
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SEC requires hedge funds to prevent insider trading despite unsettled legal definition
Morgan, Nicolas; Zwickel, Art; Zaccaro, Thomas A.; … - In: The journal of investment compliance 18 (2017) 1, pp. 63-64
Persistent link: https://www.econbiz.de/10011662110
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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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Market manipulation and insider trading : regulatory challenges in the United States of America, the European Union and the United Kingdom
Herlin-Karnell, Ester; Ryder, Nicholas - 2019
Persistent link: https://www.econbiz.de/10011776147
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Die Regulierung von Investment Crowdfunding in den USA : der US-amerikanische CROWDFUND Act im Spannungsfeld von Anlegerschutz und Kapitalzugang
Schuster, Markus - 2018 - 1. Auflage
Persistent link: https://www.econbiz.de/10011833551
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US broker-dealer regulation
Gallagher, Daniel M. - In: Reframing financial regulation : enhancing stability …, (pp. 137-154). 2016
Persistent link: https://www.econbiz.de/10011799932