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isPartOf:"Discussion papers / United Nations Conference on Trade and Development"
~isPartOf:"The journal of investment compliance"
~subject:"Bourse"
~subject:"Rechtsdurchsetzung"
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Rechtsdurchsetzung
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Rubin, Brian
3
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1
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Discussion papers / United Nations Conference on Trade and Development
The journal of investment compliance
Pacific-Basin finance journal
5
Springer eBook Collection
4
Brookings-Wharton papers on financial services
3
Group of Thirty publications on clearance & settlement issues
3
Investment management and financial innovations
3
Journal of accounting & economics
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Journal of international financial markets, institutions & money
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SpringerLink / Bücher
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Börsen, Banken und Kapitalmärkte : Festschrift für Hartmut Schmidt zum 65. Geburtstag
2
CFS working paper series
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Competition and regulation in network industries : CRNI
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Discussion paper / Center for Economic Research, Tilburg University
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Discussion paper series / John M. Olin Center for Law, Economics, and Business, Harvard Law School
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Discussion papers in European economic studies
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Emerging economic scenario
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International Journal of Financial Studies : open access journal
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Journal of Indian School of Political Economy : a journal devoted to the study of Indian economy, polity, and society
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Journal of international economic law
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Reforming China's Capital Market: the Future Development Path Ser.
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The North American journal of economics and finance : a journal of financial economics studies
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The journal of corporate finance : contracting, governance and organization
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The journal of development studies : JDS
2
The journal of finance : the journal of the American Finance Association
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ADBI Working Paper 392
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Abhandlungen zum deutschen und europäischen Gesellschafts- und Kapitalmarktrecht : AGK
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Accounting and finance
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Advances in Pacific Basin business, economics, and finance
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Afro-Asian Journal of Finance and Accounting : AAJFA
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Apertura económica y sistema financiero : compilación de los documentos presentados en el XII Simposio sobre Mercado de Capitales, Calí, octubre 31, noviembre 1 y 2 de 1990
1
Asian Pacific economic literature
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Bankhistorisches Archiv : BA ; Zeitschrift zur Bankengeschichte
1
Biblioteca Civitas economía y empresa / Colección economía
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CAMA working paper series
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ECONIS (ZBW)
22
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1
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:
2
2016 FINRA analysis : a record-breaking year for fines
Rubin, Brian
;
Pollet, Adam
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 1-8
Persistent link: https://www.econbiz.de/10011704583
Saved in:
3
SEC shortens standard settlement cycle to T+2
Burns, James
;
Anderson, James E.
;
Saunders, Kimberly Beattie
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 11-15
Persistent link: https://www.econbiz.de/10011804688
Saved in:
4
SEC approves new continued listing standards for ETFs
Teufel, Adam
;
Geissler, Christopher J.
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 21-25
Persistent link: https://www.econbiz.de/10011804736
Saved in:
5
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:
6
FINRA releases new guidance regarding social media and digital communications
Sacks, Russell
;
Morton, Jennifer
;
Jordan, Jenny
;
Blau, …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 40-44
Persistent link: https://www.econbiz.de/10011808476
Saved in:
7
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:
8
SEC enforcement actions getting up close and personal
Kaplan, Matthew E.
;
Paley, Alan H.
;
Tuttle, Jonathan R.
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 131-132
Persistent link: https://www.econbiz.de/10011523795
Saved in:
9
FINRA rule amendment requires registration of associated persons who develop algorithmic trading strategies
Foley, Michael T.
;
Angstadt, Janet M.
;
Pazzol, Ross
; …
- In:
The journal of investment compliance
17
(
2016
)
3
,
pp. 39-41
Persistent link: https://www.econbiz.de/10011623079
Saved in:
10
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
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