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Showing 1 - 20 results of 745 for search '"SECURITIES REGULATION"', query time: 0.43s Refine Results
2
Net trading, market making, and the SEC's view of best execution
Subjects: “...Securities,Regulation,Communication...”
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3
SEC proposes enhancements to Regulation S‐P
Subjects: “...Securities,Regulation,Financial information,United States of America...”
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5
Short‐selling: progress on international harmonization and forthcoming changes in the UK
by Leonard, Ng, Tom, Hunter
Published 2009
Subjects: “...Securities,Regulation,European legislation,United Kingdom...”
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6
State securities legend requirements in Rule 506 private placement memos
by Adam D., Gale
Published 2007
Subjects: “...Hedging,Securities,Regulation,United States of America...”
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7
Russia: insider trading law virtually here
Subjects: “...Russia,Securities regulation,Insider trading,Information disclosure...”
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8
The impact of the 2004 research analyst rules on hedge fund research reports
by Keith H., Black, John, Mauldin
Published 2006
Subjects: “...Hedging,Research results,Research organizations,Securities,Regulation...”
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9
Insider trading in China: the case for the Chinese Securities Regulatory Commission
by Hongming, Cheng
Published 2008
Subjects: “...Insider trading,Law enforcement,Securities,Regulation,China...”
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10
Of Ponzi schemes and investment scams
Subjects: “...Corporate law,Financial services law,Securities regulation...”
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11
SEC and BaFin sign regulatory cooperation arrangement
by Angelo, Lercara
Published 2007
Subjects: “...Securities,Regulation,United States of America,Germany,International cooperation...”
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12
FINRA's concept proposal on fixed‐income research reports
Subjects: “...Fixed income securities,Investment research,Securities regulation,Disclosure,Debts...”
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13
Shareholder access litigation and beyond
by David B.H., Martin, Keir D., Gumbs
Published 2011
Subjects: “...Securities regulation,Corporate governance,Shareholder access,Litigation,United States of America...”
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18
CFTC issues final rules prohibiting market manipulation
Subjects: “...Dodd Frank Act,Swaps,Securities regulation,Commodities trading,Commodity markets,Regulation,United...”
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19
Pay‐to‐play: SEC staff provides new guidance on Advisers Act Rule 206(4)‐5
Subjects: “...Pay to play,Securities regulation,Investments,Advisory services,Regulation,United States of America...”
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20
Recent regulatory actions focused on policies and procedures designed to safeguard material, non‐public information
by Jason, Lane
Published 2011
Subjects: “...Securities regulation,Broker‐dealers,Investment advisers,Investments,Advisory services,Information...”
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