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~isPartOf:"The Oxford handbook of regulation"
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ECONIS (ZBW)
96
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1
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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
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:
5
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:
6
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:
7
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:
8
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:
9
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:
10
ESMA issues Brexit opinions to EU regulators : a warning shot not only to the UK but also to the EU27
Yonge, William
;
Currie, Simon
- In:
The journal of investment compliance
18
(
2017
)
4
,
pp. 50-52
Persistent link: https://www.econbiz.de/10011808540
Saved in:
11
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:
12
FINRA regulation : new fixed-income research rule, modifications to equity research rule, and FAQ on conflicts of interest in offering process
Sacks, Russell D.
;
Blau, Steven R.
;
Nishide, Taro
- In:
The journal of investment compliance
17
(
2016
)
1
,
pp. 1-38
Persistent link: https://www.econbiz.de/10011523727
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13
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:
14
The European market abuse regulation : MAR ado about everything
Green, Jake
;
Torrens, Emily
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 1-9
Persistent link: https://www.econbiz.de/10011523807
Saved in:
15
Anti-money laundering program and suspicious activity report filing requirements for registered investment advisors : practicalities and implications of FinCEN's proposed new rule
Lopez, Jonathan A.
;
Linn, Courtney J.
;
Eisert, Edward
; …
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 54-60
Persistent link: https://www.econbiz.de/10011523896
Saved in:
16
The CFTC turns to insider trading enforcement
Himes, Scott
- In:
The journal of investment compliance
17
(
2016
)
2
,
pp. 66-69
Persistent link: https://www.econbiz.de/10011523907
Saved in:
17
MSRB publishes its first compliance advisory for broker-dealers
Anderson, Scott R.
;
Poorbaugh, Kate S.
- In:
The journal of investment compliance
17
(
2016
)
3
,
pp. 49-51
Persistent link: https://www.econbiz.de/10011623098
Saved in:
18
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:
19
2014 FINRA analysis : a blockbuster year for fines
Rubin, Brian
;
McCormick, Andrew M.
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 4-12
Persistent link: https://www.econbiz.de/10011405507
Saved in:
20
FINRA 2015 regulatory and examinations priorities
Wirig, Matthew T.
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 13-17
Persistent link: https://www.econbiz.de/10011405508
Saved in:
21
Heightened supervision of branch offices
Nathan, Daniel A.
;
Navarro, Lauren
;
Matta, Kevin
- In:
The journal of investment compliance
16
(
2015
)
2
,
pp. 18-21
Persistent link: https://www.econbiz.de/10011405512
Saved in:
22
SEC adopts regulation systems compliance and integrity
Burns, James
;
Bullitt, Georgia
;
Kramer, Howard
;
Habert, Jack
- In:
The journal of investment compliance
16
(
2015
)
3
,
pp. 4-14
Persistent link: https://www.econbiz.de/10011445940
Saved in:
23
Market funds in Europe : a practical look at the marketing regime under the Alternative Investment Fund Managers Directive 2011/61/EU and other regulatory requirements
Ghanty, Jacob
;
Cornelius, Justin
;
Baker, Matthew
; …
- In:
The journal of investment compliance
15
(
2014
)
3
,
pp. 20-27
Persistent link: https://www.econbiz.de/10010428117
Saved in:
24
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:
25
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:
26
Organisation of compliance across financial institutions
Prorokowski, Lukasz
;
Prorokowski, Hubert
- In:
The journal of investment compliance
15
(
2014
)
1
,
pp. 65-76
Persistent link: https://www.econbiz.de/10010366722
Saved in:
27
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:
28
The European Commission adopts AIFMD implementing regulation
McGowan, Peter
- In:
The journal of investment compliance
14
(
2013
)
1
,
pp. 19-28
Persistent link: https://www.econbiz.de/10009761450
Saved in:
29
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:
30
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:
31
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:
32
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:
33
Selected FINRA regulatory notices and disciplinary actions, January-March 2012
Davis, Henry A.
- In:
The journal of investment compliance
13
(
2012
)
2
,
pp. 66-89
Persistent link: https://www.econbiz.de/10009574350
Saved in:
34
All advisers to registered investment companies need to evaluate their exposure to CFTC regulation after recent rule amendment
Shea, Peter J.
;
Moriarty, Kathleen H.
;
Rosenzweig, …
- In:
The journal of investment compliance
13
(
2012
)
2
,
pp. 20-24
Persistent link: https://www.econbiz.de/10009574362
Saved in:
35
China's QFII regime : a complete review of the regulatory scheme and compliance risks
Shipman, Mark
- In:
The journal of investment compliance
13
(
2012
)
3
,
pp. 74-83
Persistent link: https://www.econbiz.de/10009664249
Saved in:
36
JOBS Act eases securities-law regulation of smaller companies
Parrino, Richard J.
;
Romeo, Peter J.
- In:
The journal of investment compliance
13
(
2012
)
3
,
pp. 27-35
Persistent link: https://www.econbiz.de/10009664260
Saved in:
37
Summary of selected FINRA regulatory notices, March - May 2011
Davis, Henry A.
- In:
The journal of investment compliance
12
(
2011
)
3
,
pp. 56-76
Persistent link: https://www.econbiz.de/10009385047
Saved in:
38
Summary of selected FINRA regulatory notices October-December 2010
Davis, Henry A.
- In:
The journal of investment compliance
12
(
2011
)
1
,
pp. 70-84
Persistent link: https://www.econbiz.de/10009129901
Saved in:
39
SEC approves sweeping changes to FINRA's regulatory reporting rules
Weiss, Harry J.
;
Lee, Yoon-young
;
Newman, Bruce H.
; …
- In:
The journal of investment compliance
12
(
2011
)
1
,
pp. 65-69
Persistent link: https://www.econbiz.de/10009129905
Saved in:
40
Summary of selected FINRA regulatory notices, January-February 2011
Davis, Henry A.
- In:
The journal of investment compliance
12
(
2011
)
2
,
pp. 89-100
Persistent link: https://www.econbiz.de/10009236820
Saved in:
41
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:
42
An analysis of the regulated investment company modernization Act of 2010
Hervey, Richard M.
- In:
The journal of investment compliance
12
(
2011
)
2
,
pp. 51-71
Persistent link: https://www.econbiz.de/10009236829
Saved in:
43
CFTC issues final rules prohibiting market manipulation
Lurton, Allison
;
Massey, William
;
Fleishman, Robert S.
- In:
The journal of investment compliance
12
(
2011
)
4
,
pp. 18-20
Persistent link: https://www.econbiz.de/10009411234
Saved in:
44
Summary of selected FINRA regulatory notices April - June 2010
Davis, Henry A.
- In:
The journal of investment compliance
11
(
2010
)
3
,
pp. 34-57
Persistent link: https://www.econbiz.de/10008662575
Saved in:
45
The new UK Financial Services Act 2010 makes significant reform : if trumped by recently elected coalition government proposals for a new regulatory structure
Yonge, William
- In:
The journal of investment compliance
11
(
2010
)
3
,
pp. 28-33
Persistent link: https://www.econbiz.de/10008662580
Saved in:
46
SEC adopts amendments to regulation SHO
Forbes, Jessica
;
Gnall, Gregory P.
;
Lombardo, Christine M.
- In:
The journal of investment compliance
11
(
2010
)
3
,
pp. 14-19
Persistent link: https://www.econbiz.de/10008662584
Saved in:
47
The future of regulation
Baldwin, Robert E.
;
Cave, Martin
;
Lodge, Martin
- In:
The Oxford handbook of regulation
,
(pp. 613-626)
.
2010
Persistent link: https://www.econbiz.de/10009231024
Saved in:
48
Regulation inside government : retro-theory vindicated or outdated?
Lodge, Martin
;
Hood, Christopher
- In:
The Oxford handbook of regulation
,
(pp. 590-609)
.
2010
Persistent link: https://www.econbiz.de/10009231025
Saved in:
49
Regulation and sustainable energy systems
Mitchell, Catherine M.
;
Woodman, Bridget
- In:
The Oxford handbook of regulation
,
(pp. 572-589)
.
2010
Persistent link: https://www.econbiz.de/10009231026
Saved in:
50
The regulation of the pharmaceutical industry
Towse, Adrian
;
Danzon, Patricia Munch
- In:
The Oxford handbook of regulation
,
(pp. 548-571)
.
2010
Persistent link: https://www.econbiz.de/10009231027
Saved in:
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