Works matching DE "SELF-regulation in the securities industry"

Results: 43

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.

Published in:

Fordham Journal of Corporate & Financial Law, 2005, v. 11, n. 1, p. 85

By:

Glen, Patrick J.;
Hornung, Meir S.

Publication type:

Article

BROKERS AND ADVISERS -- WHAT'S IN A NAME?

Published in:

Fordham Journal of Corporate & Financial Law, 2005, v. 11, n. 1, p. 31

By:

Black, Barbara

Publication type:

Article

Welcome & Introduction.

Published in:

Fordham Journal of Corporate & Financial Law, 2005, v. 10, n. 2, p. 168

By:

Ketchum, Richard G.;
Lackritz, Marc E.;
Nazareth, Annette L.;
Schapiro, Mary L.

Publication type:

Article

Regulated and unregulated insider trading around earnings announcements.

Published in:

European Journal of Law & Economics, 2009, v. 27, n. 3, p. 285, doi. 10.1007/s10657-008-9089-z

By:

Kallunki, Juha-Pekka;
Nilsson, Henrik;
Peltoniemi, Janne

Publication type:

Article

CCR Comments on SEC's Regulation of Securities Offerings.

Published in:: Financial Executive, 1999, v. 15, n. 5, p. 56
Publication type:: Article

RETURN'S SEASONALITIES IN THE LATIBEX MARKET.

Published in:

Economic Analysis Review / Revista de Análisis Económico, 2010, v. 25, n. 1, p. 3

By:

BLANDON, JOSE GARCIA

Publication type:

Article

The Self-Regulation Movement.

Published in:

Financial Analysts Journal, 1986, v. 42, n. 3, p. 16

By:

Gillis, John G.

Publication type:

Article

Survey of Developments in Self-Regulatory Enforcement.

Published in:

Financial Analysts Journal, 1980, v. 36, n. 1, p. 10

By:

Gillis, John G.

Publication type:

Article

Self-Regulation Of The Professions.

Published in:

Financial Analysts Journal, 1978, v. 34, n. 4, p. 18

By:

Gillis, John G.

Publication type:

Article

Legal Consequences of Unethical Conduct.

Published in:

Financial Analysts Journal, 1973, v. 29, n. 6, p. 12

By:

Gillis, John G.

Publication type:

Article

EXCHANGES, LISTLESS?: THE DISINTERMEDIATION OF THE LISTING FUNCTION.

Published in:

Wake Forest Law Review, 2015, v. 50, n. 3, p. 579

By:

Dombalagian, Onnig H.

Publication type:

Article

FINRA Seeks Limits on Motions to Dismiss.

Published in:: Dispute Resolution Journal, 2007, v. 62, n. 4, p. 8
Publication type:: Article

Envisioning financial disorder: financial surveillance and the securities industry.

Published in:

Economy & Society, 2009, v. 38, n. 3, p. 460, doi. 10.1080/03085140903020663

By:

Williams, James W.

Publication type:

Article

Market Integrity and Surveillance Effort.

Published in:

Journal of Financial Services Research, 2006, v. 29, n. 2, p. 149, doi. 10.1007/s10693-006-5923-z

By:

Comerton-Forde, Carole;
Rydge, James

Publication type:

Article

Self-Regulation and Securities Markets.

Published in:

Regulation, 2003, v. 26, n. 1, p. 32

By:

Pritchard, Adam C.

Publication type:

Article

SEC Bars 'Selective' Disclosure.

Published in:

Strategic Finance, 2000, v. 82, n. 3, p. 87

By:

Levinsohn, Alan

Publication type:

Article

Future of Securities Markets: Competition or Consolidation?

Published in:

Financial Analysts Journal, 2008, v. 64, n. 6, p. 15, doi. 10.2469/faj.v64.n6.5

By:

Stoll, Hans R.

Publication type:

Article

Arbitration and State Action.

Published in:

Brigham Young University Law Review, 2005, v. 2005, n. 1, p. 1

By:

Cole, Sarah Rudolph

Publication type:

Article

THE CRISIS OF 2008: LESSONS FOR AND FROM ECONOMICS.

Published in:

Critical Review (08913811), 2009, v. 21, n. 2/3, p. 185, doi. 10.1080/08913810902933788

By:

Acemoglu, Daron

Publication type:

Article

Talking Point: SRO for Planners?

Published in:: Journal of Financial Planning, 2009, v. 22, n. 8, p. 18
Publication type:: Article

How Do Planners Regard Regulation?

Published in:

Journal of Financial Planning, 2008, v. 21, n. 12, p. 10

By:

Powell, III, Robert J.

Publication type:

Article

From Sense to Nonsense and Back Again: SRO Immunity, Doctrinal Bait-and-Switch, and a Call for Coherence.

Published in:

2010

By:

Nafday, Rohit A.

Publication type:

Opinion

SELF-REGULATION IN THE SECURITIES INDUSTRY: THE ROLE OF THE SECURITIES AND EXCHANGE COMMISSION.

Published in:

Law & Contemporary Problems, 1964, v. 29, n. 3, p. 663, doi. 10.2307/1190553

By:

JENNINGS, RICHARD W.

Publication type:

Article

Avoiding Another Meltdown.

Published in:

Challenge (05775132), 2009, v. 52, n. 1, p. 5, doi. 10.2753/0577-5132520101

By:

Crotty, James;
Epstein, Gerald

Publication type:

Article

Self-Regulating Industry Behavior: Antitrust Limitations and Trade Association Codes of Conduct.

Published in:

Journal of Business Ethics, 1992, v. 11, n. 12, p. 915, doi. 10.1007/BF00871957

By:

Hemphill, Thomas A.

Publication type:

Article

AUTORÉGULATION ET CONTRÔLES OPÉRATIONNELS : RÉFLEXIONS SUR LA SURVEILLANCE DES PRODUITS DÉRIVÉS NÉGOCIÉS SUR LES MARCHÉS RÉGLEMENTÉS.

Published in:

Revue d'Économie Financière, 2006, v. 82, p. 1

By:

Corcoran, Andréa M.

Publication type:

Article

The Economist's Corner.

Published in:

Journal of Accounting, Auditing & Finance, 1979, v. 3, n. 1, p. 70

By:

Freund, William C.

Publication type:

Article

Going Long on the Nairobi Exchange.

Published in:

Pacific McGeorge Global Business & Development Law Journal, 2011, v. 23, n. 2, p. 243

By:

Shipp, Bryan T

Publication type:

Article

MUCH ADO ABOUT NOTHING: HOW THE SECURITIES SRO STATE ACTOR CIRCUIT SPLIT HAS BEEN MISINTERPRETED AND WHAT IT MEANS FOR DUE PROCESS AT FINRA.

Published in:

Georgia Law Review, 2013, v. 47, n. 3, p. 923

By:

Lukacs, Jerrod M.

Publication type:

Article

SELF-REGULATION BY THE MEXICAN STOCK EXCHANGE: A PROMISING PATH TOWARD DEVELOPING MEXICO'S SECURITIES MARKET?

Published in:

Stanford Journal of International Law, 2011, v. 47, n. 1, p. 199

By:

Cardenas, Eugenio J.

Publication type:

Article

Analyst Impartiality and Investment Banking Relationships.

Published in:

Journal of Accounting Research (Wiley-Blackwell), 2005, v. 43, n. 4, p. 623, doi. 10.1111/j.1475-679X.2005.00184.x

By:

O'BRIEN, PATRICIA C.;
MCNICHOLS, MAUREEN F.;
LIN HSIOU-WEI

Publication type:

Article

From Crisis to Confidence: What Is the Role of Regulation?

Published in:

CPA Journal, 2009, v. 79, n. 6, p. 14

By:

Carcello, Joseph V.

Publication type:

Article

'Blue-Sky' Takes Many Forms.

Published in:

American Business Law Journal, 1970, v. 8, n. 1, p. 53, doi. 10.1111/j.1744-1714.1970.tb00743.x

By:

Corley, Robert N.

Publication type:

Article

BREAK FROM TRADITION: QUESTIONING THE PRIMACY OF SELF-REGULATION IN AMERICAN SECURITIES LAW.

Published in:

Michigan Business & Entrepreneurial Law Review, 2017, v. 7, n. 1, p. 93, doi. 10.36639/mbelr.7.1.break

By:

Sanders, John I.

Publication type:

Article

Someone Should Have Done Something! A Critical Examination of Liability for Failure to Supervise Under Federal Securities Laws.

Published in:

Business Lawyer, 2022, v. 78, n. 1, p. 81

By:

Catalano, Benjamin J.

Publication type:

Article

Self-Regulation for the Mortgage Industry.

Published in:

University of Chicago Legal Forum, 2013, p. 229

By:

Henderson, M. Todd

Publication type:

Article

WHERE YOU LEAD, I WILL FOLLOW: PROFESSIONAL ATHLETES' ABILITY TO INFLUENCE LOYAL FANS' CRYPTOCURRENCY INVESTMENTS AND THE BROADER NEED FOR CRYPTOCURRENCY REGULATION.

Published in:

Jeffrey S. Moorad Sports Law Journal, 2024, v. 31, n. 1, p. 143

By:

D'Eramo, Anna

Publication type:

Article

Race Discrimination Claim Ordered to Arbitration.

Published in:: Arbitration Journal, 1992, v. 47, n. 4, p. 4
Publication type:: Article

SECURITIES--SUCTIONS 2 AND 5 OF THE FEDERAL ARBITRATION ACT-- SUPREMACY CLAUSE--PREEMPTION--CONSTITUTIONALITY --FLORIDA STATUTES SECTION 517.122.

Published in:: Arbitration Journal, 1991, v. 46, n. 1, p. 67
Publication type:: Article

SUPERVISION ON THE SINGLE EUROPEAN INSURANCE MARKET -- INTERACTION BETWEEN REGULATION AND COMPETITION.

Published in:

Annals of the University of Oradea, Economic Science Series, 2008, v. 17, n. 3, p. 411

By:

Elly, Novac Laura;
Dumitru, Badea

Publication type:

Article

The US municipal securities market's self-regulatory organisation seeks efficiency and risk management improvements in securities operations.

Published in:

Journal of Securities Operations & Custody, 2017, v. 9, n. 1, p. 71, doi. 10.69554/jbnv1101

By:

Kelly, Lynnette;
Vouté, Barbara

Publication type:

Article

A modest proposal: Right-sizing exchange immunity.

Published in:

Journal of Securities Operations & Custody, 2015, v. 7, n. 3, p. 218, doi. 10.69554/rfls2716

By:

Flati, Zachary J.

Publication type:

Article

Settlement fails: A buy-side and sell-side perspective on how to minimise them.

Published in:

Journal of Securities Operations & Custody, 2008, v. 1, n. 2, p. 170, doi. 10.69554/heng2848

By:

Marzullo, Christopher;
Kelly, Peter W.;
Lipinski, Frederick

Publication type:

Article