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FINRA report on broker-dealer...
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The journal of investment compliance
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The journal of futures markets
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Working paper / National Bureau of Economic Research, Inc.
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The review of financial studies
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The journal of finance : the journal of the American Finance Association
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Discussion paper / Centre for Economic Policy Research
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SpringerLink / Bücher
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Springer eBook Collection
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The journal of structured finance
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The first great financial crisis of the 21st century : a retrospective
7
Finance and economics discussion series
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Journal / The Capco Institute : journal of financial transformation
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ECONIS (ZBW)
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1
Broker-dealers need to respond to recent focus on cybersecurity threats
Petron, David
;
Wolk, Michael
;
McNicholas, Edward
- In:
The journal of investment compliance
15
(
2014
)
2
,
pp. 29-32
Persistent link: https://www.econbiz.de/10010396203
Saved in:
2
FINRA fines broker-dealer for failing to apply class A sales charge waivers for certain eligible customers on its mutual fund platform
Kerr, Richard F.
- In:
The journal of investment compliance
15
(
2014
)
4
,
pp. 53-56
Persistent link: https://www.econbiz.de/10010462124
Saved in:
3
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:
4
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:
5
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:
6
High-frequency traders : a review of the challenges in registering them as dealers
Fitterman, Mark
;
Sandoval, Ignacio
- In:
The journal of investment compliance
15
(
2014
)
3
,
pp. 3-9
Persistent link: https://www.econbiz.de/10010428126
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7
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:
8
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:
9
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:
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
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