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Parties push to enforce statutory time limits on SEC enforcement actions
Neaderland, Benjamin; Cohen, Jared - In: The journal of investment compliance 16 (2015) 3, pp. 30-32
Persistent link: https://www.econbiz.de/10011446036
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SEC issues Staff Legal Bulletin after four-year comprehensive review of proxy system
Sorkin, John E.; Pickering Bomba, Abigail; Epstein, Steven - In: The journal of investment compliance 16 (2015) 1, pp. 63-65
Persistent link: https://www.econbiz.de/10011344577
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US SEC approves sweeping amendments to rules governing money market funds
Murphy, Jack; Cohen, Stephen D.; Carroll, Brenden; … - In: The journal of investment compliance 16 (2015) 1, pp. 25-39
Persistent link: https://www.econbiz.de/10011344588
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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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Recent civil and criminal enforcement action involving high frequency trading
Rossi, Matthew; Deis, Greg; Roche, Jerome; Przywara, … - In: The journal of investment compliance 16 (2015) 1, pp. 5-12
Persistent link: https://www.econbiz.de/10011344596
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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
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SEC asset management unit’s enforcement priorities for 2015 : conflicts of interest
Weiner, Perrie Michael; Hunnius, Patrick; Crain, Sean R. - In: The journal of investment compliance 16 (2015) 2, pp. 22-25
Persistent link: https://www.econbiz.de/10011405515
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What will the "eyes and ears" of the SEC choose to see and hear this year? : OCIE announces examination priorities for 2015
Berman, Kenneth; Harrell, Michael P.; Larkin, Gregory - In: The journal of investment compliance 16 (2015) 2, pp. 26-29
Persistent link: https://www.econbiz.de/10011405518
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SEC issues cybersecurity exam observations
Kuhlman, Richard; Kempf, Jason - In: The journal of investment compliance 16 (2015) 2, pp. 44-46
Persistent link: https://www.econbiz.de/10011405530
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SEC and FDIC proposed rules on the orderly liquidation of certain large broker-dealers
Blake, Andrew; Robinson, Robert; Rovíra, Álex; … - In: The journal of investment compliance 17 (2016) 3, pp. 42-48
Persistent link: https://www.econbiz.de/10011623096