33 results on '"SECURITIES MARKETS"'
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2. OFAC compliance in the securities and investment sector
3. China's QFII regime: a complete review of the regulatory scheme and compliance risks
4. CFTC and SEC jointly adopt final swap entity definition rules
5. Selected FINRA notices and disciplinary actions, July‐August 2011
6. Summary of selected FINRA regulatory notices, March‐May 2011
7. Summary of selected FINRA regulatory notices, January‐February 2011
8. Summary of selected FINRA Regulatory Notices October‐December 2010
9. Summary of selected FINRA Regulatory notices July‐September 2010
10. Summary of selected FINRA regulatory notices April‐June 2010
11. SEC provides details on amendments to money market fund rules
12. Supreme Court upholds Gartenberg standard in Jones v. Harris
13. Summary of selected FINRA regulatory notices January‐March 2010
14. Index futures trading, margin trading and securities lending in China finally launched
15. FINRA issues proposed rules on securities lending, permissible use of customer securities and callable securities
16. SEC holds roundtable on securities lending/short selling
17. Summary of selected FINRA regulatory notices and disciplinary actions September‐November 2009
18. Summary of selected FINRA regulatory notices and disciplinary actions July‐August 2009
19. Summary of selected FINRA Regulatory Notices, April‐June 2009
20. Summary of selected FINRA regulatory notices, September‐November 2008
21. Summary of selected FINRA regulatory notices, July‐August 2008
22. Pleading scienter after Tellabs in Section 10(b) cases generally and in the “subprime” context
23. Summary of selected FINRA Regulatory Notices and disciplinary actions, April‐June 2008
24. The development of US regulation of broker‐dealer research
25. SEC adopts Amendments to Rule 105 of Regulation M, including important exceptions for bona fide purchases and for separate accounts
26. North American Securities Administrators Association 2007 Report of Investment Adviser Examinations
27. Summary of selected FINRA Regulatory Notices and Disciplinary Actions
28. Summary of selected FINRA Regulatory Notices
29. The New York Stock Exchange and cooperation: another precinct heard from
30. Certain broker‐dealers deemed not to be investment advisers: background, summary and status of new rule
31. SEC amends the Advisers Act custody rule
32. SEC proposes changes to stock buyback safe harbor
33. FINRA implements same‐day clearance process of shelf registration statements
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