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~isPartOf:"Journal of financial economics"
~isPartOf:"The journal of investment compliance"
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Search: subject_exact:"Financial market liberalization"
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Journal of financial economics
The journal of investment compliance
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ECONIS (ZBW)
155
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61
Whistling fast and furious : SEC and CFTC continue to issue awards
Srere, Mark
;
Mammen, Jennifer
- In:
The journal of investment compliance
17
(
2016
)
3
,
pp. 28-30
Persistent link: https://www.econbiz.de/10011623069
Saved in:
62
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:
63
SEC and FDIC proposed rules on the orderly liquidation of certain large broker-dealers
Blake, Andrew
;
Robinson, Robert
;
Rovíra, Álex
; …
- In:
The journal of investment compliance
17
(
2016
)
3
,
pp. 42-48
Persistent link: https://www.econbiz.de/10011623096
Saved in:
64
What does it take to make the SEC happy? : SEC criticism of broker-dealers' due diligence for sales of unregistered securities leaves more questions than answers
Bettigole, Bruce
;
Kruly, Charlie
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 52-58
Persistent link: https://www.econbiz.de/10011344582
Saved in:
65
Prepare for the magnifying glass : SEC hikes scrutiny of asset managers ; 4 steps to consider
Weiner, Perrie Michael
;
Hunnius, Patrick
;
Alexander, Grant
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 49-51
Persistent link: https://www.econbiz.de/10011344585
Saved in:
66
US SEC approves sweeping amendments to rules governing money market funds
Murphy, Jack
;
Cohen, Stephen D.
;
Carroll, Brenden
; …
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 25-39
Persistent link: https://www.econbiz.de/10011344588
Saved in:
67
Securities and Exchange Commission announces enforcement initiative directed at reporting violations by public company insiders
Parrino, Richard J.
;
Romeo, Peter
;
Dye, Alan
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 19-24
Persistent link: https://www.econbiz.de/10011344593
Saved in:
68
Impact of the Dodd-Frank act on credit ratings
Dimitrov, Valentin
;
Palia, Darius
;
Tang, Leo
- In:
Journal of financial economics
115
(
2015
)
3
,
pp. 505-520
Persistent link: https://www.econbiz.de/10011347431
Saved in:
69
Central clearing and collateral demand
Duffie, Darrell
;
Scheicher, Martin
;
Vuillemey, Guillaume
- In:
Journal of financial economics
116
(
2015
)
2
,
pp. 237-256
Persistent link: https://www.econbiz.de/10011348524
Saved in:
70
SEC issues proposed investment company reporting rules
Greene, Nathan J.
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 14-22
Persistent link: https://www.econbiz.de/10011438470
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