Toggle navigation
Logout
Change account settings
EN
DE
ES
FR
A-Z
Beta
About EconBiz
News
Thesaurus (STW)
Academic Skills
Help
EN
DE
ES
FR
My account
Logout
Change account settings
Login
Publications
Events
Your search terms
Search
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: isPartOf_id:10008372322
Narrow search
Narrow search
Year of publication
From:
To:
Type of publication
All
Article
129
Language
All
Undetermined
129
Author
All
Davis, Henry A.
12
Blankenship, Michael J.
4
Forbes, Jessica
4
Sacks, Russell D.
4
Gnall, Gregory P.
3
Opromolla, Gabriella
3
Rosenzweig, Kenneth M.
3
Rubin, Brian L.
3
Bogle, Thomas C.
2
Bryan, Paget Dare
2
Callcott, W. Hardy
2
Dropkin, Charles E.
2
Dube, Michael R.
2
Foley, Timothy C.
2
Heilizer, Deborah G.
2
Holton, Thomas John
2
June, Arian M.
2
Lee, Yoon-Young
2
Lorence, Roger D.
2
Lurton, Allison
2
Martin, David B.H.
2
Massey, William
2
McGowan, Peter
2
Miller, Martin R.
2
Newman, Bruce H.
2
Parrino, Richard J.
2
Pittman, Edward L.
2
Polk, S. Lawrence
2
Raymond, Paul B.
2
Robinson, Andrea J.
2
Romeo, Peter J.
2
Santangelo, Betty
2
Sorady, Marybeth
2
Stadler, Avital
2
Stefanak, Curtis
2
Tyrrell, Paul M.
2
White, Thomas W.
2
Alleman, Robert F.
1
Alter, Beth
1
Alter, Beth H.
1
more ...
less ...
Published in...
All
The journal of investment compliance
129
Source
All
OLC EcoSci
129
Showing
1
-
10
of
129
Sort
relevance
articles prioritized
date (newest first)
date (oldest first)
1
Summary of selected sessions from "The SEC Speaks in 2013"
Rubin, Brian L.
;
Brun, Carmen L.
;
Faulkner, Jaliya Stewart
- In:
The journal of investment compliance
14
(
2013
)
2
,
pp. 5-20
Persistent link: https://www.econbiz.de/10010140375
Saved in:
2
Pay to play: recent SEC actions highlight importance of compliance controls
Pittman, Edward
;
Carroll, Brenden
;
Murphy, Sean
- In:
The journal of investment compliance
14
(
2013
)
2
,
pp. 21-27
Persistent link: https://www.econbiz.de/10010140376
Saved in:
3
SEC lifts moratorium on actively managed ETFs' use of derivatives; moratorium continues for leveraged ETFs
Decko, Kurt
;
Fuller, Stacy
- In:
The journal of investment compliance
14
(
2013
)
2
,
pp. 28-31
Persistent link: https://www.econbiz.de/10010140377
Saved in:
4
Portfolio margining of cleared credit default swaps
Philipp, Michael M.
;
Sandoval, Ignacio A.
- In:
The journal of investment compliance
14
(
2013
)
2
,
pp. 32-41
Persistent link: https://www.econbiz.de/10010140378
Saved in:
5
The NYSE and NASDAQ issue proposed rules to implement the SEC compensation committee independence and advisor rules
Lilienfeld, Doreen
;
Cannon, John
;
Bennett, Amy Gitlitz
; …
- In:
The journal of investment compliance
14
(
2013
)
2
,
pp. 42-49
Persistent link: https://www.econbiz.de/10010140379
Saved in:
6
The extra-territorial reach of the broker-dealer registration requirements under the US Securities Exchange Act of 1934: the staff of the Securities and Exchange Commission addresses frequently asked questions regarding Rule 15a-6 and foreign broker-dealers
Eisert, Edward
;
Katz, Tony
;
Carotenuto, Giovanni
;
Ball, …
- In:
The journal of investment compliance
14
(
2013
)
2
,
pp. 50-56
Persistent link: https://www.econbiz.de/10010140380
Saved in:
7
EMIR: an overview of the new framework
Aron, Tim
;
Lalone, Nathaniel
;
Jackson, Carolyn
- In:
The journal of investment compliance
14
(
2013
)
2
,
pp. 57-60
Persistent link: https://www.econbiz.de/10010140381
Saved in:
8
The proposed EU Financial Transaction Tax
Macleod, Neil
;
Gaut, Robert
- In:
The journal of investment compliance
14
(
2013
)
2
,
pp. 61-65
Persistent link: https://www.econbiz.de/10010140382
Saved in:
9
Selected FINRA notices and disciplinary actions, September 2012-April 2013
Davis, Henry A.
- In:
The journal of investment compliance
14
(
2013
)
2
,
pp. 66-80
Persistent link: https://www.econbiz.de/10010140383
Saved in:
10
DOJ and the SEC issue much-anticipated FCPA guidance
Witten, Roger
;
Parker, Kimberly
;
Holtmeier, Jay
- In:
The journal of investment compliance
14
(
2013
)
1
,
pp. 5-15
Persistent link: https://www.econbiz.de/10010121768
Saved in:
1
2
3
4
5
6
7
8
9
10
11
Next
Last
Results per page
10
25
50
100
250
A service of the
zbw
×
Loading...
