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~language:"eng"
~language:"kor"
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Nathan, Daniel A.
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The journal of investment compliance
Working paper / National Bureau of Economic Research, Inc.
603
NBER working paper series
557
NBER Working Paper
422
Journal of banking & finance
356
Journal of financial economics
284
Discussion paper / Centre for Economic Policy Research
278
The review of financial studies
232
Finance research letters
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228
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208
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175
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175
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174
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153
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148
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138
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132
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ECONIS (ZBW)
152
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1
SEC staff expands relief from broker-dealer registration under US
Securities
Exchange Act for intermediaries in private M&A transactions
Kahn, Henry
;
Welp, Robert
;
Parrino, Richard
- In:
The journal of investment compliance
15
(
2014
)
2
,
pp. 22-25
Persistent link: https://www.econbiz.de/10010396205
Saved in:
2
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:
3
US Supreme Court clarifies liability standard under Section 11 of the
Securities
Act of 1933 for statements of opinion in registration statements
Parrino, Richard
;
Schwab, Douglas
;
Wertheimer, David
- In:
The journal of investment compliance
16
(
2015
)
3
,
pp. 37-42
Persistent link: https://www.econbiz.de/10011446077
Saved in:
4
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:
5
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:
6
Who is the "reasonable investor"?
Tuttle, Jonathan R.
;
Kaplan, Matthew E.
;
Pedersen, …
- In:
The journal of investment compliance
17
(
2016
)
4
,
pp. 61-64
Persistent link: https://www.econbiz.de/10011616445
Saved in:
7
Tweeting corporate disclosures : SEC staff issues guidance permitting hyperlinks to cautionary statements and legends in social media communications
Parrino, Richard J.
;
Greenslade, Kevin K.
- In:
The journal of investment compliance
15
(
2014
)
3
,
pp. 28-31
Persistent link: https://www.econbiz.de/10010428112
Saved in:
8
SEC Muni enforcement chief offers her views on Municipalities Continuing Disclosure Cooperation initiative (MCDC)
Goldberger, M. Norman
;
Grugan, John C.
;
Patterson, …
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 33-34
Persistent link: https://www.econbiz.de/10011405523
Saved in:
9
SEC’s authority to interpret the
securities
laws comes under fire in criminal enforcement
Boryshansky, Joseph
;
Asaro, Michael A.
;
Benjamin, James
; …
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 41-43
Persistent link: https://www.econbiz.de/10011405529
Saved in:
10
Recent civil and criminal enforcement action involving high frequency trading
Rossi, Matthew
;
Deis, Greg
;
Roche, Jerome
;
Przywara, …
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 5-12
Persistent link: https://www.econbiz.de/10011344596
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