//--> //--> //--> //-->
Toggle navigation
Logout
Change account settings
EN
DE
ES
FR
A-Z
Beta
About EconBiz
News
Thesaurus (STW)
Research Skills
Help
EN
DE
ES
FR
My account
Logout
Change account settings
Login
Publications
Events
Your search terms
Search
Retain my current filters
type_genre:"Article in journal"
~subject:"Financial markets law"
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: subject_exact:"Börsenaufsicht"
Narrow search
Delete all filters
| 2 applied filters
Year of publication
From:
To:
Subject
All
Financial markets law
Financial supervision
1,334
Finanzmarktaufsicht
1,334
Financial crisis
383
Finanzkrise
383
Geldpolitik
358
Monetary policy
358
Impact assessment
302
Wirkungsanalyse
302
Financial market regulation
283
Finanzmarktregulierung
283
Bankenaufsicht
243
Banking supervision
243
Macroprudential policy
221
USA
186
United States
186
Welt
184
World
184
EU countries
166
EU-Staaten
166
Systemic risk
136
Systemrisiko
135
Bank regulation
132
Bankenregulierung
132
Regulation
126
Regulierung
125
Basel Accord
120
Basler Akkord
120
Theorie
112
Theory
112
macroprudential policy
106
Bank lending
97
Kreditgeschäft
97
Credit risk
91
Kreditrisiko
91
Bank
88
Kapitalmarktrecht
85
Bank risk
81
Bankrisiko
81
Business cycle
81
more ...
less ...
Online availability
All
Undetermined
43
Type of publication
All
Article
85
Type of publication (narrower categories)
All
Article in journal
Aufsatz in Zeitschrift
85
Hochschulschrift
17
Graue Literatur
15
Non-commercial literature
15
Aufsatz im Buch
14
Book section
14
Thesis
10
Collection of articles of several authors
9
Sammelwerk
9
Arbeitspapier
5
Working Paper
5
Amtsdruckschrift
3
Aufsatzsammlung
3
Government document
3
Handbook
2
Handbuch
2
Lehrbuch
2
Textbook
2
Bibliografie
1
Conference proceedings
1
Festschrift
1
Konferenzschrift
1
Monografische Reihe
1
more ...
less ...
Language
All
English
79
German
6
Author
All
Walker, Donald A. <Jr.>
4
Rouse, Robert W.
3
Callcott, W. Hardy
2
Foley, Timothy C.
2
Gelfond, Stuart
2
Greene, Nathan J.
2
Heese, Jonas
2
Nathan, Daniel A.
2
Newell, John
2
Parrino, Richard J.
2
Adams, Daniel
1
Adelfio, Marco
1
Altman, Lloyd
1
Asaro, Michael A.
1
Avett, F. Reid
1
Baird, Elizabeth H.
1
Bannard, David
1
Bayless, David
1
Beller, Alan L.
1
Benjamin, James
1
Bennett, Bruce
1
Berman, Kenneth
1
Berthou, Erica
1
Bettigole, Bruce
1
Black, Bernard S.
1
Blackburne, Terrence
1
Blake, Andrew
1
Blumenstein, Ian B.
1
Bondi, Bradley J.
1
Boos, Karl-Heinz
1
Boryshansky, Joseph
1
Brady, Andrew
1
Bramnik, Robert P.
1
Brink, Alisa G.
1
Buchheit, Steve
1
Burke, Gregory
1
Calluzzo, Paul
1
Chan, Peter K. M.
1
Chunias, Jennifer
1
Ciesielski, Jack T.
1
more ...
less ...
Published in...
All
The journal of investment compliance
41
The journal of corporate accounting & finance
8
Journal of accounting & economics
2
Journal of securities operations & custody
2
Accounting and finance
1
Accounting and finance : journal of the Accounting Association of Australia and New Zealand
1
Accounting horizons : a quarterly publication of the American Accounting Association
1
Auditing : a journal of practice & theory
1
Betriebs-Berater : BB
1
Columbia journal of transnational law
1
Contemporary accounting research : the journal of the Canadian Academic Accounting Association
1
Current politics and economics of Europe
1
Die Aktiengesellschaft : AG : Zeitschrift für deutsches, europäisches und internationales Aktien-, Unternehmens- und Kapitalrecht
1
Die Bank
1
Economia politica : journal of analytical and institutional economics
1
European financial management : the journal of the European Financial Management Association
1
Financial analysts journal : FAJ
1
Financial stability review : FSR
1
International journal of economics and finance
1
Journal of accounting and public policy
1
Journal of applied corporate finance : JACF
1
Journal of economics and finance
1
Journal of financial and quantitative analysis : JFQA
1
Journal of financial regulation
1
Journal of financial regulation and compliance : an international journal
1
Management science : journal of the Institute for Operations Research and the Management Sciences
1
Monatsbericht / Europäische Zentralbank
1
Research in accounting regulation
1
Review of accounting studies
1
Rivista italiana degli economisti : the journal of the Italian Economic Association
1
Schweizerische Zeitschrift für Wirtschafts- und Finanzmarktrecht : SZW ; RSDA
1
The accounting review : a publication of the American Accounting Association
1
The business lawyer
1
The journal of corporate finance : contracting, governance and organization
1
Yale journal on regulation
1
Zeitschrift für das gesamte Kreditwesen : Pflichtblatt der Frankfurter Wertpapierbörse
1
more ...
less ...
Source
All
ECONIS (ZBW)
85
Showing
1
-
50
of
85
Sort
Relevance
Date (newest first)
Date (oldest first)
1
SEC Rule 14a-8 shareholder proposals : no-action requests, determinants, and the role of SEC staff
Burke, Gregory
- In:
Journal of accounting and public policy
42
(
2023
)
1
,
pp. 1-26
Persistent link: https://www.econbiz.de/10014283403
Saved in:
2
Is the SEC captured? : evidence from political connectedness and SEC enforcement actions
Khokhar, Abdul-Rahman
;
Shahriari, Hesam
- In:
Accounting and finance
62
(
2022
)
2
,
pp. 2725-2756
Persistent link: https://www.econbiz.de/10013325728
Saved in:
3
Styles of regulators : evidence from the SEC's comment letters
Do, Truc
;
Zhang, Huai
- In:
Contemporary accounting research : the journal of the …
39
(
2022
)
2
,
pp. 789-825
Persistent link: https://www.econbiz.de/10013279962
Saved in:
4
What ESG-related disclosures should the SEC mandate?
Karpoff, Jonathan M.
;
Litan, Robert E.
;
Schrand, Catherine
- In:
Financial analysts journal : FAJ
78
(
2022
)
2
,
pp. 9-18
Persistent link: https://www.econbiz.de/10013252631
Saved in:
5
Undisclosed SEC investigations
Blackburne, Terrence
;
Kepler, John D.
;
Quinn, Phillip J.
; …
- In:
Management science : journal of the Institute for …
67
(
2021
)
6
,
pp. 3403-3418
Persistent link: https://www.econbiz.de/10012606905
Saved in:
6
A tale of two enforcement venues : determinants and consequences of the SEC's choice of enforcement venue after the Dodd-Frank Act
Zheng, Xin
- In:
The accounting review : a publication of the American …
96
(
2021
)
6
,
pp. 451-476
Persistent link: https://www.econbiz.de/10012703058
Saved in:
7
SEC scrutiny shopping
Calluzzo, Paul
;
Wang, Wei
;
Wu, Serena
- In:
The journal of corporate finance : contracting, …
67
(
2021
),
pp. 1-24
Persistent link: https://www.econbiz.de/10013209750
Saved in:
8
The enduring legacy of the Dodd-Frank Act's derivatives reforms
Tarbert, Heath P.
- In:
Journal of financial regulation
6
(
2020
)
2
,
pp. 159-171
Persistent link: https://www.econbiz.de/10012316726
Saved in:
9
The effect of enforcement transparency : evidence from SEC comment-letter reviews
Duro, Miguel
;
Heese, Jonas
;
Ormazabal, Gaizka
- In:
Review of accounting studies
24
(
2019
)
3
,
pp. 780-823
Persistent link: https://www.econbiz.de/10012099026
Saved in:
10
Return and liquidity response to fraud and sec investigations
Morris, Brandon C. L.
;
Egginton, Jared F.
;
Fuller, …
- In:
Journal of economics and finance
43
(
2019
)
2
,
pp. 313-329
Persistent link: https://www.econbiz.de/10012171148
Saved in:
11
Penalties in equity : disgorgement after Kokesh v. SEC
Listwa, Daniel B.
;
Seidell, Charles
- In:
Yale journal on regulation
35
(
2018
)
2
,
pp. 667-709
Persistent link: https://www.econbiz.de/10011873939
Saved in:
12
The SEC and improving sustainability reporting
Higgins, Keith
;
White, John
;
Beller, Alan L.
;
Schapiro, Mary
- In:
Journal of applied corporate finance : JACF
29
(
2017
)
2
,
pp. 22-31
Persistent link: https://www.econbiz.de/10011744341
Saved in:
13
SEC matters
Walker, Donald A. <Jr.>
- In:
The journal of corporate accounting & finance
28
(
2017
)
2
,
pp. 112-114
Persistent link: https://www.econbiz.de/10011638875
Saved in:
14
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:
15
SEC adopts new disclosure and recordkeeping requirements for investment advisers
Greene, Nathan
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 19-24
Persistent link: https://www.econbiz.de/10011662051
Saved in:
16
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:
17
SEC requires hedge funds to prevent insider trading despite unsettled legal definition
Morgan, Nicolas
;
Zwickel, Art
;
Zaccaro, Thomas A.
; …
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 63-64
Persistent link: https://www.econbiz.de/10011662110
Saved in:
18
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:
19
Pay to play violations : an SEC focus
Van Grover, Robert
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 13-15
Persistent link: https://www.econbiz.de/10011704651
Saved in:
20
The SEC disclosure requirement and directors' turnover around stock repurchase
Hamouda, Foued
;
Henchiri, Jamel Eddine
- In:
International journal of economics and finance
9
(
2017
)
12
,
pp. 77-85
Persistent link: https://www.econbiz.de/10011782698
Saved in:
21
Is the SEC captured? : evidence from comment-letter reviews
Heese, Jonas
;
Khan, Mozaffar
;
Ramanna, Karthik
- In:
Journal of accounting & economics
64
(
2017
)
1
,
pp. 98-122
Persistent link: https://www.econbiz.de/10011775881
Saved in:
22
What a year: MiFID II/MiFIR, EMIR RTS, SFTR and SEC SBSR
Altman, Lloyd
- In:
Journal of securities operations & custody
9
(
2017
)
4
,
pp. 298-301
Persistent link: https://www.econbiz.de/10011796647
Saved in:
23
SEC enforcement actions under exchange act rule 21F-17
White, Thomas W.
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 1-10
Persistent link: https://www.econbiz.de/10011804682
Saved in:
24
SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme
Bondi, Bradley J.
;
Petillo-Décossard, Kimberly C.
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 41-43
Persistent link: https://www.econbiz.de/10011804784
Saved in:
25
Cybersecurity enforcement actions : is the SEC bringing strict liability cases?
Rubin, Brian
;
Xu, Amy
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 112-116
Persistent link: https://www.econbiz.de/10011523768
Saved in:
26
SEC adopts "crowdfunding" rules for start-up businesses : an easy way to bet on the next Google?
Gelfond, Stuart
;
Eren, Burcin
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 117-121
Persistent link: https://www.econbiz.de/10011523777
Saved in:
27
SEC adopts rule to implement Dodd-Frank CEO pay ratio disclosure requirement
Parrino, Richard J.
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 122-130
Persistent link: https://www.econbiz.de/10011523789
Saved in:
28
The SEC's increased use of administrative proceedings in enforcement actions : background, controversies, and future outlook
Wolper, Alan
;
VonderHeide, Heidi
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 17-22
Persistent link: https://www.econbiz.de/10011523836
Saved in:
29
SEC issues new guidance on excluding shareholder proposals under rule 14a-8
Newell, John
;
McGivern, Arthur
;
Roberts, David
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 23-26
Persistent link: https://www.econbiz.de/10011523839
Saved in:
30
SEC publishes guidance on mutual fund distribution and sub-accounting fees
Adelfio, Marco
;
Delligatti, Paul J.
;
Monfort, Jason F.
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 39-42
Persistent link: https://www.econbiz.de/10011523866
Saved in:
31
SEC matters
Walker, Donald A. <Jr.>
- In:
The journal of corporate accounting & finance
28
(
2016
)
1
,
pp. 100-102
Persistent link: https://www.econbiz.de/10011621499
Saved in:
32
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:
33
SEC targets broker-dealer implications of transaction-based deal fees
Daniel, Jason
- In:
The journal of investment compliance
17
(
2016
)
4
,
pp. 75-76
Persistent link: https://www.econbiz.de/10011616461
Saved in:
34
SEC matters
Walker, Donald A. <Jr.>
- In:
The journal of corporate accounting & finance
27
(
2016
)
6
,
pp. 115-118
Persistent link: https://www.econbiz.de/10011561729
Saved in:
35
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
Saved in:
36
SEC issues proposed investment adviser reporting and disclosure rules
Greene, Nathan J.
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 23-29
Persistent link: https://www.econbiz.de/10011438471
Saved in:
37
The SEC’s evolving scrutiny of private equity firms : KKR hit with an unprecedented enforcement action for broken deal expense misallocation
Rendon Callahan, Veronica
;
Fleishhacker, Ellen Kaye
; …
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 39-42
Persistent link: https://www.econbiz.de/10011438478
Saved in:
38
SEC proposes new compensation clawback rules
Brady, Andrew
;
Zaiss, Rolf
;
Persaud, Nyron
- In:
The journal of investment compliance
16
(
2015
)
4
,
pp. 43-46
Persistent link: https://www.econbiz.de/10011438479
Saved in:
39
Managing cross-regulatory data challenges in practice
Johnson, Christopher
- In:
Journal of securities operations & custody
7
(
2015
)
4
,
pp. 284-295
Persistent link: https://www.econbiz.de/10011487250
Saved in:
40
SEC matters
Walker, Donald A. <Jr.>
- In:
The journal of corporate accounting & finance
26
(
2014/15
)
3
,
pp. 57-59
Persistent link: https://www.econbiz.de/10011283656
Saved in:
41
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:
42
SEC applies whistleblower protections to confidentiality agreements
Adams, Daniel
;
Chunias, Jennifer
;
Hale, Robert
;
Newell, John
- In:
The journal of investment compliance
16
(
2015
)
3
,
pp. 19-21
Persistent link: https://www.econbiz.de/10011445960
Saved in:
43
Has the SEC become the "Whistleblower's Advocate"?
Greer, Amy J.
;
Chan, Peter K. M.
- In:
The journal of investment compliance
16
(
2015
)
3
,
pp. 22-23
Persistent link: https://www.econbiz.de/10011445980
Saved in:
44
SEC proposes "pay-for-performance" disclosure rule
Engvall, David H.
;
Hooper, Reid S.
;
Gumbs, Keir D.
; …
- In:
The journal of investment compliance
16
(
2015
)
3
,
pp. 24-27
Persistent link: https://www.econbiz.de/10011446001
Saved in:
45
SEC permits abbreviated tender and exchange offers for non-convertible high-yield and investment-grade debt securities
Blumenstein, Ian B.
;
Maki, J. Eric
;
Owen, John T.
- In:
The journal of investment compliance
16
(
2015
)
3
,
pp. 28-29
Persistent link: https://www.econbiz.de/10011446020
Saved in:
46
Parties push to enforce statutory time limits on SEC enforcement actions
Neaderland, Benjamin
;
Cohen, Jared
- In:
The journal of investment compliance
16
(
2015
)
3
,
pp. 30-32
Persistent link: https://www.econbiz.de/10011446036
Saved in:
47
Expense allocation : the SEC brings down the hammer
Berman, Kenneth
;
Larkin, Gregory
;
Giglio, Phil V.
; …
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 66-68
Persistent link: https://www.econbiz.de/10011344548
Saved in:
48
SEC issues Staff Legal Bulletin after four-year comprehensive review of proxy system
Sorkin, John E.
;
Pickering Bomba, Abigail
;
Epstein, Steven
- In:
The journal of investment compliance
16
(
2015
)
1
,
pp. 63-65
Persistent link: https://www.econbiz.de/10011344577
Saved in:
49
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:
50
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:
1
2
Next
Last
Results per page
10
25
50
100
250
A service of the
zbw
×
Loading...
//-->