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Market making and the changing structure of the securities industry

Amihud, Yakov (contributor); Ho, Thomas S. Y. (contributor); … - 1985

Persistent link: https://www.econbiz.de/10013502106

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

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

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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

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

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The flash crash : a review

Akansu, Ali N. - In: Journal of capital markets studies 1 (2017) 1, pp. 89-100

Purpose - The purpose of this paper is to present an overview of the flash crash, and explain why and how it happened. Design/methodology/approach - The author summarizes several studies suggesting various perspectives on the flash crash and its causes. Furthermore, the author highlights...

Persistent link: https://www.econbiz.de/10012063522