//--> //--> //--> //-->
Toggle navigation
Logout
Change account settings
EN
DE
ES
FR
A-Z
Beta
About EconBiz
News
Thesaurus (STW)
Research Skills
Help
EN
DE
ES
FR
My account
Logout
Change account settings
Login
Publications
Events
Your search terms
Search
Search options
All Fields
Title
Exact title
Subject
Author
Institution
ISBN/ISSN
Published in...
Publisher
Open Access only
Advanced
Search history
My EconBiz
Favorites
Loans
Reservations
Fines
You are here:
Home
All advisers to registered inv...
Similar by person
Narrow search
Narrow search
Year of publication
From:
To:
Subject
All
Regulation
3
Commodity Futures Trading Commission
2
Investment Fund
2
Investmentfonds
2
Investments
2
USA
2
United States
2
Advisory services
1
Commodity pool operator
1
Commodity trading advisors
1
Communication
1
Communications
1
Dodd Frank Act
1
Exchange members
1
Futures commission merchant
1
Futures markets
1
Insider trading
1
Insiderhandel
1
Introducing broker
1
Investment advisers
1
Investment advisor
1
Kommunikation
1
Mutual funds/passive investing/indexing
1
Oral communications
1
Recording
1
Recordkeeping
1
Regulierung
1
Retail foreign exchange dealers
1
Securities regulation
1
US Securities and Exchange Commission
1
United States of America
1
Virtual currency
1
Virtuelle Währung
1
information providers/credit ratings
1
legal/regulatory/public policy
1
more ...
less ...
Online availability
All
Undetermined
9
Type of publication
All
Article
19
Type of publication (narrower categories)
All
Article in journal
7
Aufsatz in Zeitschrift
7
review-article
4
technical-paper
3
Language
All
English
14
Undetermined
5
Author
All
Rosenzweig, Kenneth M.
8
Sorady, Marybeth
8
Moriarty, Kathleen H.
5
Santo, Fred M.
4
Bregstein, Henry
3
Brockway, Blake J.
3
Cohen, Wendy
3
Cohen, Wendy E.
3
Domina, Daren
3
Foley, Kevin M.
3
Okoshi, Marilyn S.
3
Governale, Jack P.
2
Okoshi, Marilyn
2
Santo, Fred
2
Shea, Peter J.
2
Wiener, Meryl
2
Xethalis, Gregory E.
2
EVANGELISTA, ANTHONY S.
1
ROSENZWEIG, KENNETH M.
1
SORADY, MARYBETH
1
more ...
less ...
Published in...
All
The journal of investment compliance
8
Journal of Investment Compliance
5
Journal of Financial Regulation and Compliance
2
International business lawyer : journal of the Section on Business Law of the International Bar Association
1
Journal of financial regulation and compliance : an international journal
1
The journal of index investing : ETFs, ETPs, & indexing
1
The journal of investing : JOI
1
more ...
less ...
Source
All
ECONIS (ZBW)
7
Other ZBW resources
7
OLC EcoSci
5
Showing
1
-
10
of
19
Sort
relevance
articles prioritized
date (newest first)
date (oldest first)
1
All advisers to registered investment companies need to evaluate their exposure to CFTC regulation after recent rule amendment
Shea, Peter J.
;
Moriarty, Kathleen H.
;
Rosenzweig, …
- In:
The journal of investment compliance
13
(
2012
)
2
,
pp. 20-24
Persistent link: https://www.econbiz.de/10009574362
Saved in:
2
All advisers to registered investment companies need to evaluate their exposure to CFTC regulation after recent rule amendment
Shea, Peter J.
;
Moriarty, Kathleen H.
;
Rosenzweig, …
- In:
The journal of investment compliance
13
(
2012
)
2
,
pp. 20-25
Persistent link: https://www.econbiz.de/10009984120
Saved in:
3
Should index providers be regulated as investment advisers under the US Investment Advisers Act of 1940
Moriarty, Kathleen H.
- In:
The journal of index investing : ETFs, ETPs, & indexing
11/12
(
2021
)
4/1
,
pp. 54-71
Persistent link: https://www.econbiz.de/10012613699
Saved in:
4
Insider trading at a cryptocurrency exchange
Moriarty, Kathleen H.
- In:
The journal of investing : JOI
32
(
2023
)
3
,
pp. 99-103
Persistent link: https://www.econbiz.de/10014306983
Saved in:
5
New opportunities to market investment funds in the USA
Sorady, Marybeth
- In:
Journal of financial regulation and compliance : an …
6
(
1998
)
1
,
pp. 46-58
Persistent link: https://www.econbiz.de/10001239487
Saved in:
6
Exchange-Traded Funds: Legal and Structural Issues Worldwide
Moriarty, Kathleen H.
- In:
International business lawyer : journal of the Section …
29
(
2001
)
8
,
pp. 346-354
Persistent link: https://www.econbiz.de/10006618951
Saved in:
7
CFTC adopts significant changes to CPO and CTA registration and compliance requirements
Rosenzweig, Kenneth M.
;
Cohen, Wendy E.
;
Okoshi, Marilyn S.
- In:
The journal of investment compliance
13
(
2012
)
2
,
pp. 15-19
Persistent link: https://www.econbiz.de/10009574365
Saved in:
8
Summary and analysis of Dodd-Frank rules for investment advisers : registration requirements, exemptions, family offices, performance fee eligibility
Sorady, Marybeth
;
Domina, Daren
;
Cohen, Wendy
;
Santo, …
- In:
The journal of investment compliance
12
(
2011
)
4
,
pp. 4-17
Persistent link: https://www.econbiz.de/10009411235
Saved in:
9
CFTC approves final rule requiring recording of oral communications
Rosenzweig, Kenneth M.
;
Foley, Kevin M.
;
Brockway, Blake J.
- In:
The journal of investment compliance
14
(
2013
)
1
,
pp. 47-49
Persistent link: https://www.econbiz.de/10009761438
Saved in:
10
CFTC adopts significant changes to CPO and CTA registration and compliance requirements
Rosenzweig, Kenneth M.
;
Cohen, Wendy E.
;
Okoshi, Marilyn S.
- In:
The journal of investment compliance
13
(
2012
)
2
,
pp. 15-20
Persistent link: https://www.econbiz.de/10009984119
Saved in:
1
2
Next
Last
Results per page
10
25
50
100
250
A service of the
zbw
×
Loading...
//-->