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The journal of investment compliance
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1
Why do banks react differently to short-selling bans? : evidence from the Asia-Pacific area and the United States
Previati, Daniele Angelo
;
Galloppo, Giuseppe
;
Aliano, Mauro
- In:
The quarterly review of economics and finance : journal …
80
(
2021
),
pp. 144-158
Persistent link: https://www.econbiz.de/10012655289
Saved in:
2
Joint analysis of the non-linear debt-growth nexus and capital account liberalization : new evidence from sub-Saharan region
Khémiri, Wafa
;
Noubbigh, Hédi
- In:
The quarterly review of economics and finance : journal …
80
(
2021
),
pp. 614-626
Persistent link: https://www.econbiz.de/10012655583
Saved in:
3
Local credit rating agencies : is their economic role underrated?
Marandola, Ginevra
- In:
The quarterly review of economics and finance : journal …
81
(
2021
),
pp. 143-156
Persistent link: https://www.econbiz.de/10012656280
Saved in:
4
Effect of poverty on financial development : does trade openness matter?
Gnangnon, Sèna Kimm
- In:
The quarterly review of economics and finance : journal …
82
(
2021
),
pp. 97-112
Persistent link: https://www.econbiz.de/10013258260
Saved in:
5
Are Islamic and conventional capital markets decoupled? : evidence from stock and bonds/sukuk markets in Malaysia
Ahmed, Habib
;
Elsayed, Ahmed H.
- In:
The quarterly review of economics and finance : journal …
74
(
2019
),
pp. 56-66
Persistent link: https://www.econbiz.de/10012296895
Saved in:
6
Practical tips for satisfying FINRA's "culture" concerns
Nathan, Daniel A.
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 8-14
Persistent link: https://www.econbiz.de/10011662040
Saved in:
7
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:
8
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
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9
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:
10
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:
11
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
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12
SEC charges private fund administrator with gatekeeping failures
Miller, Keith
;
Lybecker, Martin E.
;
Kanach, Jesse
; …
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 65-67
Persistent link: https://www.econbiz.de/10011662148
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13
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:
14
SEC fines non-US entities for unregistered cross-border brokerage and advisory activities
Burns, James
;
Saunders, Kimberly Beattie
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 75-77
Persistent link: https://www.econbiz.de/10011662162
Saved in:
15
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:
16
2016 FINRA analysis : a record-breaking year for fines
Rubin, Brian
;
Pollet, Adam
- In:
The journal of investment compliance
18
(
2017
)
2
,
pp. 1-8
Persistent link: https://www.econbiz.de/10011704583
Saved in:
17
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:
18
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:
19
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
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20
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:
21
Time varying international financial integration for GCC stock markets
Alotaibi, Abdullah R.
;
Mishra, Anil V.
- In:
The quarterly review of economics and finance : journal …
63
(
2017
),
pp. 66-78
Persistent link: https://www.econbiz.de/10011791755
Saved in:
22
Capital account liberalization and financial deepening : Does the private sector matter?
Trabelsi, Mohamed
;
Cherif, Mondher
- In:
The quarterly review of economics and finance : journal …
64
(
2017
),
pp. 141-151
Persistent link: https://www.econbiz.de/10011792284
Saved in:
23
Capital liberalization and various financial markets : evidence from Taiwan
Wu, Manhwa
;
Huang, Paoyu
;
Ni, Yensen
- In:
The quarterly review of economics and finance : journal …
66
(
2017
),
pp. 265-274
Persistent link: https://www.econbiz.de/10011792874
Saved in:
24
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:
25
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:
26
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:
27
US securities and exchange commission's division of investment management issues guidance regarding robo-advisers
Monaco, Stephanie M.
;
Pershkow, Amy Ward
;
Cruz, Leslie S.
; …
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 26-33
Persistent link: https://www.econbiz.de/10011804762
Saved in:
28
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:
29
Selling structured products to retail investors in the US
Sheehan, Margaret
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 59-63
Persistent link: https://www.econbiz.de/10011804835
Saved in:
30
SEC approves FINRA's rules to protect seniors from financial exploitation
Kutner, Matthew J.
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 64-66
Persistent link: https://www.econbiz.de/10011804837
Saved in:
31
Investment recommendations under the Market Abuse Regulation (MAR) : operative guidelines issued by the Italian Securities and Exchange Commission (CONSOB)
Parola, Lorenzo
;
Falco, Francesco
- In:
The journal of investment compliance
18
(
2017
)
3
,
pp. 85-90
Persistent link: https://www.econbiz.de/10011804889
Saved in:
32
Kokesh v. SEC : the end of a disgorgement era?
Litt, Marc
;
Tomas, Jerome P.
;
Yingling, Elizabeth L.
; …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 13-15
Persistent link: https://www.econbiz.de/10011808435
Saved in:
33
SEC's unwavering focus on disclosure of valuation methods and calculation of IRRs by fund sponsors
Earley, Michael P.
;
Panza, Jessica
;
Thrapp, Katherine
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 29-30
Persistent link: https://www.econbiz.de/10011808459
Saved in:
34
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:
35
A review of the SEC Participating Affiliate No-Action Letters' relief from Investment Advisers Act of 1940 registration for foreign investment advisers
Cohen, Wendy E.
;
Dickstein, David Y.
;
Hennion, Christian B.
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 22-28
Persistent link: https://www.econbiz.de/10011808467
Saved in:
36
FINRA releases new guidance regarding social media and digital communications
Sacks, Russell
;
Morton, Jennifer
;
Jordan, Jenny
;
Blau, …
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 40-44
Persistent link: https://www.econbiz.de/10011808476
Saved in:
37
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:
38
Reforming EU securities laws : the new EU Prospectus Regulation
Fischer-Appelt, Dorothee
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 53-58
Persistent link: https://www.econbiz.de/10011808553
Saved in:
39
SEC approves long-anticipated FINRA research rules
Kroll, Amy Natterson
;
Ayanian, John Z.
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 39-44
Persistent link: https://www.econbiz.de/10011523734
Saved in:
40
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:
41
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:
42
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:
43
SEC enforcement actions getting up close and personal
Kaplan, Matthew E.
;
Paley, Alan H.
;
Tuttle, Jonathan R.
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 131-132
Persistent link: https://www.econbiz.de/10011523795
Saved in:
44
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:
45
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:
46
The SEC turns up the heat on private equity expense allocations
Lieberman, Samuel
;
Araneo, John T.
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 35-38
Persistent link: https://www.econbiz.de/10011523862
Saved in:
47
Life on the margin : US margin rules finalized at last
Horwitz, Marc
;
Hall, Claire
;
Phipps, Bradley
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 70-74
Persistent link: https://www.econbiz.de/10011523921
Saved in:
48
Whistling fast and furious : SEC and CFTC continue to issue awards
Srere, Mark
;
Mammen, Jennifer
- In:
The journal of investment compliance
17
(
2016
)
3
,
pp. 28-30
Persistent link: https://www.econbiz.de/10011623069
Saved in:
49
FINRA rule amendment requires registration of associated persons who develop algorithmic trading strategies
Foley, Michael T.
;
Angstadt, Janet M.
;
Pazzol, Ross
; …
- In:
The journal of investment compliance
17
(
2016
)
3
,
pp. 39-41
Persistent link: https://www.econbiz.de/10011623079
Saved in:
50
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
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