Showing 1 - 20 results of 9,301 for search '"SECURITIES"', query time: 0.20s Refine Results
1
United Kingdom gilt securities and market liquidity: surveying the impact of structural reforms
by Moorad, Choudhry
Published 2009
Subjects: “...Gilt edged securities,Securities markets,Liquidity,Investors...”
text
2
The sleeping watch dog: aka the Securities and Exchange Commission
by Frank S., Perri, Richard G., Brody
Published 2011
Subjects: “...Securities and Exchange Commission,Fraud,Ponzi schemes,Securities...”
text
4
US Supreme Court clarifies liability standard under Section 11 of the Securities Act of 1933 for statements of opinion in registration statements
Subjects: “...United States,Securities Act of 1933,Supreme Court,Disclosure in securities offerings,Section 11...”
text
5
Tweeting corporate disclosures: SEC staff issues guidance permitting hyperlinks to cautionary statements and legends in social media communications
Subjects: “...Social media,USA,Securities Exchange Act of 1934,Securities regulation,Communications rules...”
text
6
SEC staff expands relief from broker-dealer registration under US Securities Exchange Act for intermediaries in private M&A transactions
Subjects: “...USA,Securities and Exchange Commission,Broker-dealer registration,M&A Brokers,Securities Exchange...”
text
8
Securities offering reform proposal
Subjects: “...Legislation,Securities...”
text
10
SEC holds roundtable on securities lending/short selling
by Kevin J., Campion, Arik, Hirschfeld
Published 2010
Subjects: “...Securities,Securities markets,Loans,Selling,United States of America...”
text
11
FINRA's concept proposal on fixed‐income research reports
Subjects: “...Fixed income securities,Investment research,Securities regulation,Disclosure,Debts...”
text
12
Hong Kong SFC enforcement trends
by Denis, Brock, Amanda, Beattie
Published 2017
Subjects: “...Regulatory,Securities enforcement,Hong Kong Securities and Futures Commission (SFC)...”
text
13
Who's in and who's out? CFTC and SEC finalize the swap entity definitions
Subjects: “...Swap,Securities and Exchange Commission,Commodity Futures Trading Commission,Dodd‐Frank Wall Street...”
text
14
SEC adopts large trader reporting system
Subjects: “...Securities Exchange Act of 1934,Broker‐dealers,Securities trading,Securities regulation,Investments...”
text
15
Securities and Exchange Commission announces enforcement initiative directed at reporting violations by public company insiders
Subjects: “...United States,Securities and Exchange Commission (SEC),Securities Exchange Act of 1934,Section 13...”
text
18
Is securitisation still a useful balance sheet tool?
by David, Barnes, Neil, Warman
Published 2000
Subjects: “...Securities,Finance,Banking...”
text
19
The Group of 30 report: addressing the concerns of the banking world
by Sam, Dibb
Published 2003
Subjects: “...Securities markets,Banking,Competition...”
text
20
SEC amends the Advisers Act custody rule
by Jessica, Forbes, Mark, Molle
Published 2010
Subjects: “...Securities markets,Investments,Assets...”
text
Search Tools: Get RSS Feed — Email this Search