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~isPartOf:"The journal of investment compliance"
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Bondi, Bradley J.
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ECONIS (ZBW)
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1
Assessing monetary policies in the Eurozone, U.S., U.K. and Japan : new evidence from the post-crisis period
Salachas, Evangelos
;
Laopodis, Nikiforos
;
Kouretas, …
- In:
Applied economics
50
(
2018
)
59
,
pp. 6481-6500
Persistent link: https://www.econbiz.de/10012063438
Saved in:
2
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:
3
SEC adopts new disclosure and recordkeeping requirements for investment advisers
Greene, Nathan
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 19-24
Persistent link: https://www.econbiz.de/10011662051
Saved in:
4
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:
5
SEC requires hedge funds to prevent insider trading despite unsettled legal definition
Morgan, Nicolas
;
Zwickel, Art
;
Zaccaro, Thomas A.
; …
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 63-64
Persistent link: https://www.econbiz.de/10011662110
Saved in:
6
The SEC provides new custody rule guidance to investment advisers
Wirig, Matthew T.
;
Poorbaugh, Kate S.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 9-12
Persistent link: https://www.econbiz.de/10011704623
Saved in:
7
Pay to play violations : an SEC focus
Van Grover, Robert
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 13-15
Persistent link: https://www.econbiz.de/10011704651
Saved in:
8
SEC enforcement actions under exchange act rule 21F-17
White, Thomas W.
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 1-10
Persistent link: https://www.econbiz.de/10011804682
Saved in:
9
SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme
Bondi, Bradley J.
;
Petillo-Décossard, Kimberly C.
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 41-43
Persistent link: https://www.econbiz.de/10011804784
Saved in:
10
SEC adopts rule to implement Dodd-Frank CEO pay ratio disclosure requirement
Parrino, Richard J.
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 122-130
Persistent link: https://www.econbiz.de/10011523789
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