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~isPartOf:"Discussion paper series / Reserve Bank of New Zealand"
~isPartOf:"The journal of investment compliance"
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Discussion paper series / Reserve Bank of New Zealand
The journal of investment compliance
Revue d'économie financière : revue trimestrielle de l'Association Europe finances régulations
2
104 Cornell Law Review 1799 (2019)
1
Bulletin / Bank of Finland
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Are your customer accounts in order? : SEC announces sweep of broker-dealers and implementation of the customer protection rule initiative
Beck Mitchum, Melissa
;
Xiong, Bob
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 68-74
Persistent link: https://www.econbiz.de/10011662150
Saved in:
2
SEC shortens standard settlement cycle to T+2
Burns, James
;
Anderson, James E.
;
Saunders, Kimberly Beattie
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 11-15
Persistent link: https://www.econbiz.de/10011804688
Saved in:
3
SEC approves new continued listing standards for ETFs
Teufel, Adam
;
Geissler, Christopher J.
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 21-25
Persistent link: https://www.econbiz.de/10011804736
Saved in:
4
An overview of the FINRA Rule 4210 margin amendments
Mathews, Nikiforos
;
Robison, Jonas
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 31-35
Persistent link: https://www.econbiz.de/10011808462
Saved in:
5
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:
6
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:
7
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:
8
Broker-dealers need to respond to recent focus on cybersecurity threats
Petron, David
;
Wolk, Michael
;
McNicholas, Edward
- In:
The journal of investment compliance
15
(
2014
)
2
,
pp. 29-32
Persistent link: https://www.econbiz.de/10010396203
Saved in:
9
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:
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