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~isPartOf:"The journal of investment compliance"
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Search: subject:"Financial markets"
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United States
hedge
Financial markets law
46
Kapitalmarktrecht
46
Financial supervision
41
Finanzmarktaufsicht
41
Financial market regulation
36
Finanzmarktregulierung
36
USA
22
Securities and Exchange Commission (SEC)
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financial markets
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Parrino, Richard J.
2
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1
Berman, Kenneth
1
Berthou, Erica
1
Bondi, Bradley J.
1
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1
Callcott, W. Hardy
1
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1
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1
Daniel, Jason
1
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1
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1
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1
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1
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1
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1
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1
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1
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1
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1
Harrell, Michael P.
1
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1
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1
Kimata, James D.
1
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1
Lanza, Ernesto
1
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1
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1
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1
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1
Petillo-Décossard, Kimberly C.
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1
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1
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Applied economics
The journal of investment compliance
The journal of futures markets
18
Yale journal on regulation
10
The business lawyer
9
Journal of financial economics
8
Global financial crisis : navigating and understanding the legal and regulatory aspects
7
Journal of financial economic policy
6
Journal of financial and quantitative analysis : JFQA
5
Journal of international business law
5
Recht der internationalen Wirtschaft : RIW ; Betriebs-Berater international
5
Socio-economic review
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Northwestern journal of international law & business
4
The financial review : the official publication of the Eastern Finance Association
4
The journal of finance : the journal of the American Finance Association
4
Competition and regulation in network industries : CRNI
3
Economics letters
3
International Journal of Economics and Business Research
3
Journal / The Capco Institute : journal of financial transformation
3
Journal of financial intermediation
3
Journal of securities operations & custody
3
KoR : internationale und kapitalmarktorientierte Rechnungslegung ; IFRS
3
Principles of housing finance reform
3
Review of futures markets
3
The journal of business : B
3
Advances in financial economics
2
American Journal of Finance and Accounting
2
Applied economics letters
2
Finance research letters
2
Finanz-Betrieb : FB ; Zeitschrift für Unternehmensfinanzierung und Finanzmanagement
2
International Journal of Financial Studies : open access journal
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International Journal of Managerial and Financial Accounting
2
International Journal of Monetary Economics and Finance
2
International economics and economic policy : IEEP
2
International review of financial analysis
2
International review of law and economics
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Journal of accounting and public policy
2
Journal of accounting research
2
Journal of banking & finance
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Journal of economics & management strategy : JEMS
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ECONIS (ZBW)
22
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1
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10
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22
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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
The linkages, persistence, asymmetry in the volatility, the price discovery and efficiency, and the effect of the US subprime mortgage financial crisis on the spot and the futures...
Paul, Muthucattu Thomas
;
Kimata, James D.
- In:
Applied economics
48
(
2016
)
7/9
,
pp. 669-683
Persistent link: https://www.econbiz.de/10011413991
Saved in:
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