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~person:"Nathan, Daniel A."
~type_genre:"Article in journal"
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Financial supervision
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Nathan, Daniel A.
Rubio, Margarita
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The journal of investment compliance
5
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ECONIS (ZBW)
5
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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
Heightened supervision of branch offices
Nathan, Daniel A.
;
Navarro, Lauren
;
Matta, Kevin
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 18-21
Persistent link: https://www.econbiz.de/10011405512
Saved in:
3
SEC charges broker-dealer for failure to protect against insider trading by employees
Nathan, Daniel A.
;
Rowe, Tiffany
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 59-62
Persistent link: https://www.econbiz.de/10011344578
Saved in:
4
Cybersecurity : SEC is starting to scrutinize registrants' practices
Nathan, Daniel A.
;
Greismann, Libby J.
- In:
The journal of investment compliance
15
(
2014
)
4
,
pp. 4-6
Persistent link: https://www.econbiz.de/10010461411
Saved in:
5
SEC intensifies scrutiny of fee-based accounts and reverse churning
Nathan, Daniel A.
;
Navarro, Lauren A.
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 48-51
Persistent link: https://www.econbiz.de/10010366726
Saved in:
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