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FINRA proposes requiring registration of associated persons who develop algorithmic trading strategies
Angstadt, Janet M.; Foley, Michael T.; Pazzol, Ross; … - In: The journal of investment compliance 16 (2015) 3, pp. 33-36
Persistent link: https://www.econbiz.de/10011446046
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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
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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
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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
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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
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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
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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
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Internal risk limits of dealers and corporate bond market making
Anderson, Christopher; McArthur, David C.; Wang, Ke - In: Journal of banking & finance 147 (2023), pp. 1-33
Persistent link: https://www.econbiz.de/10014248222
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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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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