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Regulatory arbitrage for real : international securities regulation in a world of interacting securities markets
Licht, Amir N. - 1997
Persistent link: https://www.econbiz.de/10000973015
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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
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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 staff expands relief from broker-dealer registration under US Securities Exchange Act for intermediaries in private M&A transactions
Kahn, Henry; Welp, Robert; Parrino, Richard - In: The journal of investment compliance 15 (2014) 2, pp. 22-25
Persistent link: https://www.econbiz.de/10010396205
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SEC offers relief to M&A brokers
Sacks, Russell D.; Donegan, Thomas; Gittleman, Charles S. - In: The journal of investment compliance 15 (2014) 2, pp. 18-21
Persistent link: https://www.econbiz.de/10010396209
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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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Securities and Exchange Commission announces enforcement initiative directed at reporting violations by public company insiders
Parrino, Richard J.; Romeo, Peter; Dye, Alan - In: The journal of investment compliance 16 (2015) 1, pp. 19-24
Persistent link: https://www.econbiz.de/10011344593
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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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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
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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