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FINRA report on broker-dealer...
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Journal of banking regulation
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Journal of financial stability
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Journal of securities operations & custody
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1
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:
2
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:
3
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:
4
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
Saved in:
5
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:
6
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:
7
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:
8
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:
9
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:
10
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
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