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Financial markets law
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Callcott, W. Hardy
2
Foley, Timothy C.
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Forbes, Jessica
2
Gelfond, Stuart
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Greene, Nathan J.
2
Nathan, Daniel A.
2
Newell, John
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Parrino, Richard J.
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Adelfio, Marco
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The journal of investment compliance
Bank-Archiv : Zeitschrift für das gesamte Bank- und Börsenwesen : journal of banking and financial research
38
Global financial crisis : navigating and understanding the legal and regulatory aspects
33
The journal of futures markets
21
Financial stability review : FSR
19
Europäische Hochschulschriften
18
Arbeitspapiere / Universität Osnabrück, Institut für Handels- und Wirtschaftsrecht
16
Betriebs-Berater : BB
16
Die Aktiengesellschaft : AG : Zeitschrift für deutsches, europäisches und internationales Aktien-, Unternehmens- und Kapitalrecht
16
Journal of securities operations & custody
16
Unternehmensfinanzierung am Kapitalmarkt
15
Untersuchungen über das Spar-, Giro- und Kreditwesen / B
15
Zeitschrift für Bankrecht und Bankwirtschaft : ZBB
15
Revue d'économie financière : revue trimestrielle de l'Association Europe finances régulations
14
Die Bank
13
Finanz-Betrieb : FB ; Zeitschrift für Unternehmensfinanzierung und Finanzmanagement
13
Schriften zum Unternehmens- und Kapitalmarktrecht
13
The business lawyer
12
Yale journal on regulation
12
Abhandlungen zum deutschen und europäischen Gesellschafts- und Kapitalmarktrecht : AGK
11
Der Betrieb
11
Journal of financial economics
11
Schriften des Augsburg Center for Global Economic Law and Regulation : Arbeiten zum internationalen Wirtschaftsrecht und zur Wirtschaftsregulierung
11
SpringerLink / Bücher
11
The Denver journal of international law and policy
11
Working paper / National Bureau of Economic Research, Inc.
11
Journal of international business law
10
Recht der internationalen Wirtschaft : RIW ; Betriebs-Berater international
10
Journal of banking & finance
9
NBER working paper series
9
Zeitschrift für Unternehmens- und Gesellschaftsrecht : ZGR
9
Bank-Praktiker : rechtssicher, revisionsfest, risikogerecht
8
Europäische Hochschulschriften / 5
8
Schriften zum Gesellschafts-, Bank- und Kapitalmarktrecht
8
The journal of corporate accounting & finance
8
Discussion paper series / John M. Olin Center for Law, Economics, and Business, Harvard Law School
7
Hedgefonds und private equity - Fluch oder Segen?
7
MiFID-Kompendium : praktischer Leitfaden für Finanzdienstleister
7
Schweizer Schriften zum Finanzmarktrecht
7
The journal of economic education
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ECONIS (ZBW)
46
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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 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:
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
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:
5
An update on the EU securities financing transactions regulation
Yonge, William J. G.
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 78-83
Persistent link: https://www.econbiz.de/10011662166
Saved in:
6
CFTC modernizes Rule 1.31 recordkeeping requirements
Mitchell, David S.
;
McLaughlin, Robert M.
;
Breslin, …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 45-49
Persistent link: https://www.econbiz.de/10011808535
Saved in:
7
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:
8
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:
9
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:
10
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:
11
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:
12
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:
13
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:
14
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:
15
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:
16
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:
17
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:
18
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:
19
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:
20
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:
21
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:
22
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:
23
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:
24
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:
25
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:
26
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:
27
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:
28
Peer-to-peer lending platforms : securities law considerations
Rosenblum, Robert H.
;
Gault-Brown, Susan I.
;
Caiazza, Amy B.
- In:
The journal of investment compliance
16
(
2015
)
3
,
pp. 15-18
Persistent link: https://www.econbiz.de/10011445953
Saved in:
29
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:
30
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:
31
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:
32
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:
33
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:
34
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:
35
SEC issues guidance on Rule 144A and Rule 506 offerings regarding feneral solicitation and general advertising and other aspects on the amended rules
Gelfond, Stuart
;
Coleman, Joshua
;
Ross, Kaihli
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 58-61
Persistent link: https://www.econbiz.de/10010366724
Saved in:
36
SEC target investment adviser community
Bramnik, Robert P.
;
Wolfe, Mauro M.
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 45-47
Persistent link: https://www.econbiz.de/10010366727
Saved in:
37
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:
38
The SEC's Municipal Advisor Rule will prompt new practices for market participants
Bannard, David
;
Groethe, Reed
- In:
The journal of investment compliance
15
(
2014
)
2
,
pp. 10-17
Persistent link: https://www.econbiz.de/10010396211
Saved in:
39
SEC adopts new financial responsibility and reporting requirements for US-registered broker-dealers
Curzon, Elliott
;
Wingler, Jeanette
- In:
The journal of investment compliance
14
(
2013
)
4
,
pp. 38-43
Persistent link: https://www.econbiz.de/10010229670
Saved in:
40
SEC approves MSRB's new underwriter disclosure requirements
Callcott, W. Hardy
;
Baird, Elizabeth H.
;
Foley, Timothy C.
- In:
The journal of investment compliance
13
(
2012
)
3
,
pp. 69-73
Persistent link: https://www.econbiz.de/10009664250
Saved in:
41
CFTC and SEC jointly adopt final swap entity definition rules
Lurton, Allison
;
Bennett, Bruce
;
Massey, William
; …
- In:
The journal of investment compliance
13
(
2012
)
3
,
pp. 51-59
Persistent link: https://www.econbiz.de/10009664255
Saved in:
42
SEC adopts final rules on Dodd-Frank Whistleblower Program
Clark, Michael E.
;
Lese, Laurence S.
;
Avett, F. Reid
- In:
The journal of investment compliance
12
(
2011
)
3
,
pp. 33-38
Persistent link: https://www.econbiz.de/10009385059
Saved in:
43
Lower courts extend Morrison but SEC asserts Dodd-Frank Act overrules Morrison for enforcement actions
Weidner, James
;
Lane, Christopher
;
Peterson, Sean
- In:
The journal of investment compliance
12
(
2011
)
2
,
pp. 33-36
Persistent link: https://www.econbiz.de/10009236833
Saved in:
44
SEC releases study on the fiduciary duty of investment advisers and broker-dealers
Forbes, Jessica
;
Gnall, Gregory P.
- In:
The journal of investment compliance
12
(
2011
)
2
,
pp. 4-7
Persistent link: https://www.econbiz.de/10009236852
Saved in:
45
SEC approves rule banning "naked access" to trading centers
Callcott, W. Hardy
;
Foley, Timothy C.
- In:
The journal of investment compliance
12
(
2011
)
1
,
pp. 62-64
Persistent link: https://www.econbiz.de/10009129906
Saved in:
46
Dodd-Frank beefs up SEC and CFTC enforcement
Bayless, David
;
Kornblau, David L.
- In:
The journal of investment compliance
11
(
2010
)
4
,
pp. 37-40
Persistent link: https://www.econbiz.de/10008772753
Saved in:
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