Works matching DE "SELF-regulation in the securities industry"
Results: 41
Analyst Impartiality and Investment Banking Relationships.
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- Journal of Accounting Research (Wiley-Blackwell), 2005, v. 43, n. 4, p. 623, doi. 10.1111/j.1475-679X.2005.00184.x
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- Article
Arbitration and State Action.
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- Brigham Young University Law Review, 2005, v. 2005, n. 1, p. 1
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- Article
Self-Regulation for the Mortgage Industry.
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- University of Chicago Legal Forum, 2013, p. 229
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- Article
SELF-REGULATION BY THE MEXICAN STOCK EXCHANGE: A PROMISING PATH TOWARD DEVELOPING MEXICO'S SECURITIES MARKET?
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- Stanford Journal of International Law, 2011, v. 47, n. 1, p. 199
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CCR Comments on SEC's Regulation of Securities Offerings.
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- Financial Executive, 1999, v. 15, n. 5, p. 56
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- Article
From Crisis to Confidence: What Is the Role of Regulation?
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- CPA Journal, 2009, v. 79, n. 6, p. 14
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SEC Bars 'Selective' Disclosure.
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- Strategic Finance, 2000, v. 82, n. 3, p. 87
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- Article
Talking Point: SRO for Planners?
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- Journal of Financial Planning, 2009, v. 22, n. 8, p. 18
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- Article
Avoiding Another Meltdown.
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- Challenge (05775132), 2009, v. 52, n. 1, p. 5, doi. 10.2753/0577-5132520101
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Someone Should Have Done Something! A Critical Examination of Liability for Failure to Supervise Under Federal Securities Laws.
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- Business Lawyer, 2022, v. 78, n. 1, p. 81
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Race Discrimination Claim Ordered to Arbitration.
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- Arbitration Journal, 1992, v. 47, n. 4, p. 4
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SECURITIES--SUCTIONS 2 AND 5 OF THE FEDERAL ARBITRATION ACT-- SUPREMACY CLAUSE--PREEMPTION--CONSTITUTIONALITY --FLORIDA STATUTES SECTION 517.122.
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- Arbitration Journal, 1991, v. 46, n. 1, p. 67
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- Article
Future of Securities Markets: Competition or Consolidation?
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- Financial Analysts Journal, 2008, v. 64, n. 6, p. 15, doi. 10.2469/faj.v64.n6.5
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Going Long on the Nairobi Exchange.
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- Pacific McGeorge Global Business & Development Law Journal, 2011, v. 23, n. 2, p. 243
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The US municipal securities market's self-regulatory organisation seeks efficiency and risk management improvements in securities operations.
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- Journal of Securities Operations & Custody, 2017, v. 9, n. 1, p. 71, doi. 10.69554/jbnv1101
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- Article
A modest proposal: Right-sizing exchange immunity.
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- Journal of Securities Operations & Custody, 2015, v. 7, n. 3, p. 218, doi. 10.69554/rfls2716
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Settlement fails: A buy-side and sell-side perspective on how to minimise them.
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- Journal of Securities Operations & Custody, 2008, v. 1, n. 2, p. 170, doi. 10.69554/heng2848
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MUCH ADO ABOUT NOTHING: HOW THE SECURITIES SRO STATE ACTOR CIRCUIT SPLIT HAS BEEN MISINTERPRETED AND WHAT IT MEANS FOR DUE PROCESS AT FINRA.
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- Georgia Law Review, 2013, v. 47, n. 3, p. 923
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Self-Regulation and Securities Markets.
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- Regulation, 2003, v. 26, n. 1, p. 32
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The Economist's Corner.
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- Journal of Accounting, Auditing & Finance, 1979, v. 3, n. 1, p. 70
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Market Integrity and Surveillance Effort.
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- Journal of Financial Services Research, 2006, v. 29, n. 2, p. 149, doi. 10.1007/s10693-006-5923-z
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EXCHANGES, LISTLESS?: THE DISINTERMEDIATION OF THE LISTING FUNCTION.
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- Wake Forest Law Review, 2015, v. 50, n. 3, p. 579
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SELF-REGULATION IN THE SECURITIES INDUSTRY: THE ROLE OF THE SECURITIES AND EXCHANGE COMMISSION.
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- Law & Contemporary Problems, 1964, v. 29, n. 3, p. 663, doi. 10.2307/1190553
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BREAK FROM TRADITION: QUESTIONING THE PRIMACY OF SELF-REGULATION IN AMERICAN SECURITIES LAW.
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- Michigan Business & Entrepreneurial Law Review, 2017, v. 7, n. 1, p. 93, doi. 10.36639/mbelr.7.1.break
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- Article
RETURN'S SEASONALITIES IN THE LATIBEX MARKET.
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- Economic Analysis Review / Revista de Análisis Económico, 2010, v. 25, n. 1, p. 3
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Regulated and unregulated insider trading around earnings announcements.
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- European Journal of Law & Economics, 2009, v. 27, n. 3, p. 285, doi. 10.1007/s10657-008-9089-z
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- Article
Self-Regulating Industry Behavior: Antitrust Limitations and Trade Association Codes of Conduct.
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- Journal of Business Ethics, 1992, v. 11, n. 12, p. 915, doi. 10.1007/BF00871957
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AUTORÉGULATION ET CONTRÔLES OPÉRATIONNELS : RÉFLEXIONS SUR LA SURVEILLANCE DES PRODUITS DÉRIVÉS NÉGOCIÉS SUR LES MARCHÉS RÉGLEMENTÉS.
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- Revue d'Économie Financière, 2006, v. 82, p. 1
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- Article
'Blue-Sky' Takes Many Forms.
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- American Business Law Journal, 1970, v. 8, n. 1, p. 53, doi. 10.1111/j.1744-1714.1970.tb00743.x
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SUPERVISION ON THE SINGLE EUROPEAN INSURANCE MARKET -- INTERACTION BETWEEN REGULATION AND COMPETITION.
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- Annals of the University of Oradea, Economic Science Series, 2008, v. 17, n. 3, p. 411
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How Do Planners Regard Regulation?
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- Journal of Financial Planning, 2008, v. 21, n. 12, p. 10
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From Sense to Nonsense and Back Again: SRO Immunity, Doctrinal Bait-and-Switch, and a Call for Coherence.
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- 2010
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- Opinion
THE EFFICIENT CAPITAL MARKET HYPOTHESIS, CHAOS THEORY, AND THE INSIDER FILING REQUIREMENTS OF THE SECURITIES EXCHANGE ACT OF 1934: THE PREDICTIVE POWER OF FORM 4 FILINGS.
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- Fordham Journal of Corporate & Financial Law, 2005, v. 11, n. 1, p. 85
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BROKERS AND ADVISERS -- WHAT'S IN A NAME?
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- Fordham Journal of Corporate & Financial Law, 2005, v. 11, n. 1, p. 31
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Welcome & Introduction.
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- Fordham Journal of Corporate & Financial Law, 2005, v. 10, n. 2, p. 168
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FINRA Seeks Limits on Motions to Dismiss.
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- Dispute Resolution Journal, 2007, v. 62, n. 4, p. 8
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WHERE YOU LEAD, I WILL FOLLOW: PROFESSIONAL ATHLETES' ABILITY TO INFLUENCE LOYAL FANS' CRYPTOCURRENCY INVESTMENTS AND THE BROADER NEED FOR CRYPTOCURRENCY REGULATION.
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- Jeffrey S. Moorad Sports Law Journal, 2024, v. 31, n. 1, p. 143
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The Self-Regulation Movement.
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- Financial Analysts Journal, 1986, v. 42, n. 3, p. 16
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Survey of Developments in Self-Regulatory Enforcement.
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- Financial Analysts Journal, 1980, v. 36, n. 1, p. 10
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Self-Regulation Of The Professions.
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- Financial Analysts Journal, 1978, v. 34, n. 4, p. 18
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Legal Consequences of Unethical Conduct.
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- Financial Analysts Journal, 1973, v. 29, n. 6, p. 12
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