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isPartOf:"Bank of Finland research discussion papers"
~isPartOf:"Discussion paper"
~isPartOf:"The journal of investment compliance"
~subject:"Financial Industry Regulatory Authority (FINRA)"
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Ayanian, John Z.
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Bank of Finland research discussion papers
Discussion paper
The journal of investment compliance
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1
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
Saved in:
2
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
Saved in:
3
Are your customer accounts in order? : SEC announces sweep of broker-dealers and implementation of the customer protection rule initiative
Beck Mitchum, Melissa
;
Xiong, Bob
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 68-74
Persistent link: https://www.econbiz.de/10011662150
Saved in:
4
AML compliance in the age of individual accountability
Greene, Carlton
;
Hanusik, Thomas
;
Stinebower, Cari
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 44-47
Persistent link: https://www.econbiz.de/10011804788
Saved in:
5
Selling structured products to retail investors in the US
Sheehan, Margaret
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 59-63
Persistent link: https://www.econbiz.de/10011804835
Saved in:
6
An overview of the FINRA Rule 4210 margin amendments
Mathews, Nikiforos
;
Robison, Jonas
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 31-35
Persistent link: https://www.econbiz.de/10011808462
Saved in:
7
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:
8
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
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