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The journal of investment compliance
The electricity journal
126
Working paper / National Bureau of Economic Research, Inc.
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46
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ECONIS (ZBW)
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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 rules and forms to modernize reporting requirements for registered investment companies
Cohen, Stephen
;
Johnson, Megan
;
Brooks, Gary
;
Higgs, Brooke
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 25-42
Persistent link: https://www.econbiz.de/10011662066
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
OCIE to investment advisers : focus on these five problem areas
Peltz, Brynn D.
;
Nissan, Ilan S.
;
Rabinowitz, Evyn W.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 16-18
Persistent link: https://www.econbiz.de/10011704661
Saved in:
5
What is a Regulation SHO bona-fide market maker?
Bergmann, Larry E.
;
Dombach, James P.
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 19-26
Persistent link: https://www.econbiz.de/10011704668
Saved in:
6
AML compliance in the age of individual accountability
Greene, Carlton
;
Hanusik, Thomas
;
Stinebower, Cari
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 44-47
Persistent link: https://www.econbiz.de/10011804788
Saved in:
7
Recent regulatory developments provide some clarifications regarding the market access rule for broker-dealers
Newman, Bruce H.
;
Mitchell, Elizabeth
;
Nicolas, Stephanie R.
- In:
The journal of investment compliance
15
(
2014
)
3
,
pp. 10-19
Persistent link: https://www.econbiz.de/10010428122
Saved in:
8
Director of SEC's division of investment management discusses alternative mutual funds
Kerr, Richard F.
- In:
The journal of investment compliance
15
(
2014
)
4
,
pp. 15-18
Persistent link: https://www.econbiz.de/10010461358
Saved in:
9
Recent SEC enforcement actions put spotlight on probibited short selling
Wink, Stephen
;
Clark, Christopher
;
Paulovic, Stefan
; …
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 41-44
Persistent link: https://www.econbiz.de/10010366728
Saved in:
10
Significant changes to rules for private securities offerings : general solicitation and general advertising permitted in Rule 506 and Rule 144A offerings : "bad actors" prohibited...
Engvall, David
;
Martin, David
;
Caywood, Warren
; …
- In:
The journal of investment compliance
14
(
2013
)
3
,
pp. 16-27
Persistent link: https://www.econbiz.de/10010222948
Saved in:
11
Operational regulatory risks facing private equity firms
Legault, Jeffrey
;
Quin̆ones, Pablo
;
Pedretti, Mark G.
; …
- In:
The journal of investment compliance
14
(
2013
)
3
,
pp. 11-15
Persistent link: https://www.econbiz.de/10010222966
Saved in:
12
FINRA gives member firms a thums up on suitability rule compliance
Nathan, Daniel
;
Ignat, Ana-Maria
- In:
The journal of investment compliance
14
(
2013
)
4
,
pp. 31-37
Persistent link: https://www.econbiz.de/10010229676
Saved in:
13
SEC gives bod to use of social media under Regulation FD : it done correctly
Zepralka, Jennifer
;
Cross, Meredith
;
White, Thomas W.
; …
- In:
The journal of investment compliance
14
(
2013
)
4
,
pp. 24-30
Persistent link: https://www.econbiz.de/10010229679
Saved in:
14
FSA discussion paper on product intervention
Gleeson, Simon
;
Bates, Chris
;
Morris, Charles
- In:
The journal of investment compliance
12
(
2011
)
2
,
pp. 72-75
Persistent link: https://www.econbiz.de/10009236827
Saved in:
15
Enhanced protection of investors and other changes to securities regulations
Martin, David B. H.
;
Gay, Brandon K.
- In:
The journal of investment compliance
11
(
2010
)
4
,
pp. 27-36
Persistent link: https://www.econbiz.de/10008772766
Saved in:
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