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FINRA issues interpretive guid...
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FINRA issues interpretive guidance on related performance in institutional communications
Caccese, Michael S.
;
Pagnano, Clair
;
Rohrer, Eden
; …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 36-39
Persistent link: https://www.econbiz.de/10011808470
Saved in:
2
FINRA report on broker-dealer management of conflicts of interest
Anderson, Scott
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 62-64
Persistent link: https://www.econbiz.de/10010366723
Saved in:
3
FINRA regulation : new fixed-income research rule, modifications to equity research rule, and FAQ on conflicts of interest in offering process
Sacks, Russell D.
;
Blau, Steven R.
;
Nishide, Taro
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 1-38
Persistent link: https://www.econbiz.de/10011523727
Saved in:
4
FINRA publishes guidance on research conflict of interest rules
Burke, Timothy
;
Pinney, Jason
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 45-50
Persistent link: https://www.econbiz.de/10011523732
Saved in:
5
SEC approves long-anticipated FINRA research rules
Kroll, Amy Natterson
;
Ayanian, John Z.
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 39-44
Persistent link: https://www.econbiz.de/10011523734
Saved in:
6
Cybersecurity enforcement actions : is the SEC bringing strict liability cases?
Rubin, Brian
;
Xu, Amy
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 112-116
Persistent link: https://www.econbiz.de/10011523768
Saved in:
7
Broker-dealers need to respond to recent focus on cybersecurity threats
Petron, David
;
Wolk, Michael
;
McNicholas, Edward
- In:
The journal of investment compliance
15
(
2014
)
2
,
pp. 29-32
Persistent link: https://www.econbiz.de/10010396203
Saved in:
8
FINRA proposes requiring registration of associated persons who develop algorithmic trading strategies
Angstadt, Janet M.
;
Foley, Michael T.
;
Pazzol, Ross
; …
- In:
The journal of investment compliance
16
(
2015
)
3
,
pp. 33-36
Persistent link: https://www.econbiz.de/10011446046
Saved in:
9
2014 FINRA analysis : a blockbuster year for fines
Rubin, Brian
;
McCormick, Andrew M.
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 4-12
Persistent link: https://www.econbiz.de/10011405507
Saved in:
10
FINRA 2015 regulatory and examinations priorities
Wirig, Matthew T.
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 13-17
Persistent link: https://www.econbiz.de/10011405508
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