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~isPartOf:"The journal of investment compliance"
~subject:"EU countries"
~subject:"United States"
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The journal of investment compliance
The electricity journal
131
Working paper / National Bureau of Economic Research, Inc.
110
Journal of regulatory economics
84
Telecommunications policy : the international journal of digital economy, data sciences and new media
74
Yale journal on regulation
60
The journal of structured finance
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The Cato journal : an interdisciplinary journal of public policy analysis
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Southern economic journal
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Edward Elgar E-Book Archive
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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 rules and forms to modernize reporting requirements for registered investment companies
Cohen, Stephen
;
Johnson, Megan
;
Brooks, Gary
;
Higgs, Brooke
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 25-42
Persistent link: https://www.econbiz.de/10011662066
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
OCIE to investment advisers : focus on these five problem areas
Peltz, Brynn D.
;
Nissan, Ilan S.
;
Rabinowitz, Evyn W.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 16-18
Persistent link: https://www.econbiz.de/10011704661
Saved in:
5
What is a Regulation SHO bona-fide market maker?
Bergmann, Larry E.
;
Dombach, James P.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 19-26
Persistent link: https://www.econbiz.de/10011704668
Saved in:
6
AML compliance in the age of individual accountability
Greene, Carlton
;
Hanusik, Thomas
;
Stinebower, Cari
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 44-47
Persistent link: https://www.econbiz.de/10011804788
Saved in:
7
ESMA issues Brexit opinions to EU regulators : a warning shot not only to the UK but also to the EU27
Yonge, William
;
Currie, Simon
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 50-52
Persistent link: https://www.econbiz.de/10011808540
Saved in:
8
Reforming EU securities laws : the new EU Prospectus Regulation
Fischer-Appelt, Dorothee
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 53-58
Persistent link: https://www.econbiz.de/10011808553
Saved in:
9
The European market abuse regulation : MAR ado about everything
Green, Jake
;
Torrens, Emily
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 1-9
Persistent link: https://www.econbiz.de/10011523807
Saved in:
10
Market funds in Europe : a practical look at the marketing regime under the Alternative Investment Fund Managers Directive 2011/61/EU and other regulatory requirements
Ghanty, Jacob
;
Cornelius, Justin
;
Baker, Matthew
; …
- In:
The journal of investment compliance
15
(
2014
)
3
,
pp. 20-27
Persistent link: https://www.econbiz.de/10010428117
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