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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
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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
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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
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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
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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
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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
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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
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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
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