//--> //--> //--> //-->
Toggle navigation
Logout
Change account settings
EN
DE
ES
FR
A-Z
Beta
About EconBiz
News
Thesaurus (STW)
Research Skills
Help
EN
DE
ES
FR
My account
Logout
Change account settings
Login
Publications
Events
Your search terms
Search
Retain my current filters
~isPartOf:"Finanz-Betrieb : FB ; Zeitschrift für Unternehmensfinanzierung und Finanzmanagement"
~isPartOf:"The journal of investment compliance"
~type_genre:"Article in journal"
~type_genre:"Collection of articles written by one author"
Search options
All Fields
Title
Exact title
Subject
Author
Institution
ISBN/ISSN
Published in...
Publisher
Open Access only
Advanced
Search history
My EconBiz
Favorites
Loans
Reservations
Fines
You are here:
Home
Search: subject_exact:"WpHG"
Narrow search
Delete all filters
| 4 applied filters
Year of publication
From:
To:
Subject
All
Financial markets law
59
Kapitalmarktrecht
59
Financial supervision
41
Finanzmarktaufsicht
41
Financial market regulation
34
Finanzmarktregulierung
34
USA
21
United States
21
Securities and Exchange Commission (SEC)
20
Securities law
16
Wertpapierrecht
16
Deutschland
11
Germany
11
US Securities and Exchange Commission (SEC)
9
Corporate disclosure
8
Unternehmenspublizität
8
Dodd-Frank Act
7
Bourse
5
Börse
5
Investment advisers
5
Law enforcement
5
Rechtsdurchsetzung
5
Regulation
5
Regulierung
5
Securities and Exchange Commission
5
Securities trading
4
Wertpapierhandel
4
Broker-dealer
3
Broker-dealers
3
Enforcement
3
Financial Industry Regulatory Authority (FINRA)
3
Insider trading
3
Insiderhandel
3
Investment Advisers Act of 1940
3
Investment Fund
3
Investment adviser
3
Investmentfonds
3
Leistungsentgelt
3
Performance pay
3
Private Equity
3
more ...
less ...
Online availability
All
Undetermined
28
Type of publication
All
Article
59
Type of publication (narrower categories)
All
Article in journal
Collection of articles written by one author
Aufsatz in Zeitschrift
59
Language
All
English
46
German
13
Author
All
Callcott, W. Hardy
2
Foley, Timothy C.
2
Forbes, Jessica
2
Gelfond, Stuart
2
Greene, Nathan J.
2
Nathan, Daniel A.
2
Newell, John
2
Parrino, Richard J.
2
Strieder, Thomas
2
Adams, Daniel
1
Adelfio, Marco
1
Ammedick, Oliver
1
Asaro, Michael A.
1
Avett, F. Reid
1
Baird, Elizabeth H.
1
Bannard, David
1
Bayless, David
1
Benjamin, James
1
Bennett, Bruce
1
Berman, Kenneth
1
Berthou, Erica
1
Bettigole, Bruce
1
Blake, Andrew
1
Blumenstein, Ian B.
1
Bondi, Bradley J.
1
Boryshansky, Joseph
1
Brady, Andrew
1
Bramnik, Robert P.
1
Breslin, William J.
1
Caiazza, Amy B.
1
Chan, Peter K. M.
1
Chunias, Jennifer
1
Clark, Michael E.
1
Cohen, Jared
1
Coleman, Joshua
1
Connolly, Charles F.
1
Curzon, Elliott
1
Daniel, Jason
1
Delligatti, Paul J.
1
Doan, Jenifer Q.
1
more ...
less ...
Published in...
All
Finanz-Betrieb : FB ; Zeitschrift für Unternehmensfinanzierung und Finanzmanagement
The journal of investment compliance
Bank-Archiv : Zeitschrift für das gesamte Bank- und Börsenwesen : journal of banking and financial research
38
The journal of futures markets
21
Financial stability review : FSR
18
Betriebs-Berater : BB
16
Journal of securities operations & custody
16
Die Aktiengesellschaft : AG : Zeitschrift für deutsches, europäisches und internationales Aktien-, Unternehmens- und Kapitalrecht
15
Zeitschrift für Bankrecht und Bankwirtschaft : ZBB
15
Die Bank
14
Revue d'économie financière : revue trimestrielle de l'Association Europe finances régulations
14
The business lawyer
12
Yale journal on regulation
12
Der Betrieb
11
Journal of financial economics
11
Journal of international business law
10
Recht der internationalen Wirtschaft : RIW ; Betriebs-Berater international
10
The Denver journal of international law and policy
10
Journal of banking & finance
9
Zeitschrift für Unternehmens- und Gesellschaftsrecht : ZGR
9
Bank-Praktiker : rechtssicher, revisionsfest, risikogerecht
8
The journal of corporate accounting & finance
8
The journal of economic education
7
Zeitschrift für das gesamte Handelsrecht und Wirtschaftsrecht : ZHR
7
International review of law and economics
6
Journal / The Capco Institute : journal of financial transformation
6
Journal of financial regulation and compliance : an international journal
6
Journal of international economic law
6
Northwestern journal of international law & business
6
The journal of finance : the journal of the American Finance Association
6
Zeitschrift für das gesamte Kreditwesen : Pflichtblatt der Frankfurter Wertpapierbörse
6
Der Schweizer Treuhänder : Monatsschrift für Wirtschaftsprüfung, Rechnungswesen, Unternehmens- und Steuerberatung ; offizielles Organ der Treuhand-Kammer
5
IRZ : Zeitschrift für internationale Rechnungslegung
5
Journal of banking regulation
5
Journal of financial and quantitative analysis : JFQA
5
Journal of financial intermediation
5
Journal of financial regulation
5
KoR : internationale und kapitalmarktorientierte Rechnungslegung ; IFRS
5
Pacific-Basin finance journal
5
Papeles de economía española
5
more ...
less ...
Source
All
ECONIS (ZBW)
59
Showing
1
-
10
of
59
Sort
relevance
articles prioritized
date (newest first)
date (oldest first)
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
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:
3
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:
4
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:
5
An update on the EU securities financing transactions regulation
Yonge, William J. G.
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 78-83
Persistent link: https://www.econbiz.de/10011662166
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
CFTC modernizes Rule 1.31 recordkeeping requirements
Mitchell, David S.
;
McLaughlin, Robert M.
;
Breslin, …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 45-49
Persistent link: https://www.econbiz.de/10011808535
Saved in:
1
2
3
4
5
6
Next
Last
Results per page
10
25
50
100
250
A service of the
zbw
×
Loading...
//-->