Works matching Securities industry laws

Results: 1020

Regulating Best Interest: SEC Confronts the Brave New Markets.

Published in:

University of Miami Business Law Review, 2023, v. 31, n. 3, p. 92

By:

Hossain, Rayaan

Publication type:

Article

Who Watches the Watchers?: FINRA, Self-Regulatory Organizations, and the Next Evolution of Appointment and Removal Jurisprudence.

Published in:

Minnesota Law Review, 2025, v. 109, n. 4, p. 1889

By:

Frank-Holzner, Hans M.

Publication type:

Article

WHAT YOU DO NOT KNOW CAN HURT YOU: HOW THE FINRA EXPUNGEMENT PROCESS IS ENDANGERING FUTURE INVESTORS THROUGH A LACK OF INFORMATION.

Published in:

Hofstra Law Review, 2014, v. 42, n. 4, p. 1227

By:

Farris, James T.

Publication type:

Article

Securities Law and Regulation. Legal Aspects of Professional Standards.

Published in:

Financial Analysts Journal, 1978, v. 34, n. 1, p. 10

By:

Gillis, John G.;
Cohn, Andrew H.

Publication type:

Article

ALTERNATIVE DATA AND INSIDER TRADING: ARE INVESTMENT MANAGERS ASLEEP AT THE WHEEL ON BIG DATA USE?

Published in:

Brooklyn Journal of Corporate, Financial & Commercial Law, 2021, v. 15, n. 1, p. 263

By:

Montemarano, William

Publication type:

Article

THE SAUDI SECURITIES LAW: REGULATION OF THE TADAWUL STOCK MARKET, ISSUERS, AND SECURITIES PROFESSIONALS UNDER THE SAUDI CAPITAL MARKET LAW OF 2003.

Published in:

Annual Survey of International & Comparative Law, 2012, v. 18, n. 1, p. 115

By:

Gouda, Bushra Ali Gouda

Publication type:

Article

FROM INACTIVITY TO FULL ENFORCEMENT: THE IMPLEMENTATION OF THE "DO NO HARM" APPROACH IN INITIAL COIN OFFERINGS.

Published in:

Michigan Technology Law Review, 2020, v. 26, n. 2, p. 175, doi. 10.36645/mtlr.26.2.from

By:

Dell'Erba, Marco

Publication type:

Article

SECURITIES VIOLATIONS IN 140 CHARACTERS OR LESS: SOCIAL MEDIA AND ITS GROWING IMPACT ON THE SECURITIES INDUSTRY.

Published in:

2012

By:

Etzel, Kevin

Publication type:

Opinion

CUMPLIMIENTO DE REQUISITOS DE IDENTIFICACIÓN DE INVERSORES (DA 3a- LEY 19/2003) EN EMISIONES DE VALORES ESPAÑOLES EN EEUU.

Published in:

Actualidad Jurídica (1578-956X), 2006, n. 13, p. 102

By:

TELLO, JESÚS LÓPEZ

Publication type:

Article

SEC "Monetary Penalties Speak Very Loudly," But What Do They Say? A Critical Analysis of the SEC's New Enforcement Approach.

Published in:

2014

By:

STEINWAY, SONIA A.

Publication type:

Opinion

EQUITY COMPENSATION AND NONQUALIFIED DEFERRED COMPENSATION: RECONCILING WHAT CONSTITUTES A "SUBSTANTIAL RISK OF FORFEITURE" UNDER SECTIONS 83 AND 409A OF THE INTERNAL REVENUE CODE.

Published in:

Creighton Law Review, 2017, v. 51, n. 1, p. 1

By:

LANGDON, PETER M.

Publication type:

Article

Registration of Company Charges Revisited: New and Familiar Problems.

Published in:

Edinburgh Law Review, 2019, v. 23, n. 2, p. 153, doi. 10.3366/elr.2019.0547

By:

MacPherson, Alisdair D J

Publication type:

Article

Standing on Ceremony: Can Lead Plaintiffs Claim Injury from Securities That They Did Not Purchase?

Published in:

University of Chicago Law Review, 2014, v. 81, n. 3, p. 1079

By:

Brady, Corey K.

Publication type:

Article

SHAREHOLDER PROPOSALS AND THE LIMITS OF ENCRYPTED INTERPRETATIONS.

Published in:

Villanova Law Review, 2018, v. 63, n. 1, p. 35

By:

BROWN JR., J. ROBERT

Publication type:

Article

WHO BEARS THE COST OF EXCESSIVE EXECUTIVE COMPENSATION (AND OTHER CORPORATE AGENCY COSTS)?

Published in:

Villanova Law Review, 2012, v. 57, n. 3, p. 653

By:

WALKER, DAVID I.

Publication type:

Article

THE USE OF FEDERAL LAW TO CURB EXCESSIVE EXECUTIVE COMPENSATION: LESSONS IN PAST FAILURES AND LESSONS FOR THE FUTURE.

Published in:

Villanova Law Review, 2012, v. 57, n. 3, p. 551

By:

KENNEDY, KATHRYN J.

Publication type:

Article

CURRENT TAX READING.

Published in:: Canadian Tax Journal / Revue Fiscale Canadienne, 2016, v. 64, n. 1, p. 327
Publication type:: Article

LIMITATION ON CIRCUMVENTING AN ACQUISITION OF CONTROL.

Published in:

Canadian Tax Journal / Revue Fiscale Canadienne, 2016, v. 64, n. 1, p. 221

By:

Barrett, Tim;
Lamothe, Kyle B.

Publication type:

Article

Policy Forum: Reflections on the First-Time Donor Credit--The Link Between Donation Incentives and the Regulation of Legal Charity.

Published in:

Canadian Tax Journal / Revue Fiscale Canadienne, 2013, v. 61, n. 4, p. 1109

By:

Parachin, Adam

Publication type:

Article

Copthorne Holdings Ltd. v. The Queen.

Published in:

Canadian Tax Journal / Revue Fiscale Canadienne, 2009, v. 57, n. 3, p. 563

By:

Kopstein, Robert;
Sidhu, Jasmine

Publication type:

Article

Estudios sobre el derecho de la huelga. Homenaje a Santiago Pérez del Castillo.

Published in:

Revista de Derecho (15105172), 2023, v. 22, n. 43, p. 239, doi. 10.47274/DERUM/43.11

By:

Pérez del Castillo, Matías

Publication type:

Article

Jornada sobre el anteproyecto de ley de Reforma Previsional: El evento contó con la presentación del Director Nacional de Seguridad Social.

Published in:: Revista de Derecho (15105172), 2022, v. 21, n. 42, p. 210
Publication type:: Article

THE TEXAS STOCK AND BOND LAW AND ITS ADMINISTRATION.

Published in:

Quarterly Journal of Economics, 1907, v. 22, n. 1, p. 109, doi. 10.2307/1883353

By:

Miller, E. T.

Publication type:

Article

LATER HISTORY OF THE STEEL CORPORATION'S BOND CONVERSION.

Published in:

Quarterly Journal of Economics, 1905, v. 19, n. 2, p. 316, doi. 10.2307/1882869

By:

Ripley, William Z.

Publication type:

Article

RÉGIMEN JURÍDICO DE LA EMISIÓN DE OBLIGACIONES: PRINCIPALES NOVEDADES INTRODUCIDAS POR LA LEY 5/2015, DE 27 DE ABRIL, DE FOMENTO DE LA FINANCIACIÓN EMPRESARIAL.

Published in:

Actualidad Jurídica (1578-956X), 2015, n. 41, p. 19

By:

PEREDA, JAIME

Publication type:

Article

USUFRUTO DE ACÇÕES. ANÁLISE EM PARTICULAR DOS DIREITOS DO USUFRUTUÁRIO DE ACÇÕES.

Published in:

Actualidad Jurídica (1578-956X), 2014, n. 38, p. 73

By:

PINTO, ALEXANDRE MOTA

Publication type:

Article

MERCANTIL.

Published in:

Actualidad Jurídica (1578-956X), 2012, n. 32, p. 198

By:

Paredes Galego, Carlos;
Walkowicz, Justyna;
Bueno Casanovas, Guillermo;
García-Escudero Ramos, Pío;
Oroz Nuin, Iñigo;
Ferreira Malaquias, Pedro;
Goreti Rebêlo, Maria;
Frias, Helder;
Almeida Carvalho, Mafalda;
Geraldes, Lara;
Torres Ereio, Joana

Publication type:

Article

UN NUEVO PASO EN LA REFORMA FINANCIERA: ANÁLISIS CRÍTICO DEL REAL DECRETO-LEY 2/2012.

Published in:

Actualidad Jurídica (1578-956X), 2012, n. 32, p. 31

By:

SAN MIGUEL BARBÓN, FRANCISCO

Publication type:

Article

AS «NOVAS» ACÇÕES SEM VALOR NOMINAL COMO ALTERNATIVA DE FINANCIAMENTO PARA AS EMPRESAS PORTUGUESAS.

Published in:

Actualidad Jurídica (1578-956X), 2011, n. 28, p. 107

By:

De Oliveira, Catarina Gonçalves;
Pinhal, Joana

Publication type:

Article

PRODUTOS FINANCEIROS COMPLEXOS.

Published in:

Actualidad Jurídica (1578-956X), 2010, n. 27, p. 104

By:

De Oliveira, Catarina GonçAlves

Publication type:

Article

SOBRE EL DERECHO DE UNA «CLASE» DE PARTICIPACIONES SOCIALES A NOMBRAR MIEMBROS DEL ÓRGANO DE ADMINISTRACIÓN (A PROPÓSITO DE LA RDGRN DE 15 DE SEPTIEMBRE DE 2008).

Published in:

2009

By:

RUIZ-CÁMARA BAYO, JAVIER

Publication type:

Opinion

EMISIONES DE OBLIGACIONES EN EL EXTRANJERO POR SOCIEDADES ESPAÑOLAS Y LA NECESIDAD DE CONSTITUIR SINDICATO DE OBLIGACIONISTAS Y NOMBRAR UN COMISARIO.

Published in:

Actualidad Jurídica (1578-956X), 2006, n. 15, p. 100

By:

Espeso, Jaime Pereda

Publication type:

Article

LAS EMISIONES DE VALORES DE DEUDA POR ENTIDADES ESPAÑOLAS EN LOS MERCADOS DE CAPITALES NORTEAMERICANOS.

Published in:

Actualidad Jurídica (1578-956X), 2006, n. 15, p. 103

By:

Acuña, Luis;
Samaniego, Víctor Manuel Martín

Publication type:

Article

Uncertainty In Auditing.

Published in:

International Journal of Computer Auditing, 2023, v. 5, n. 1, p. 52, doi. 10.53106/256299802023120501005

By:

Toshifumi Takada

Publication type:

Article

Effectiveness of Procedural Agreements in Securities Law.

Published in:

Católica Law Review, 2024, v. 8, n. 2, p. 69, doi. 10.34632/catolicalawreview.2024.16796

By:

Piterman, Marcel

Publication type:

Article

Rules and Practical Challenges of Cross-Border Healthcare in the European Union.

Published in:

Acta Humana - Human Rights Publication, 2024, v. 12, n. 1, p. 71, doi. 10.32566/ah.2024.1.4

By:

BÍRÓNÉ, BRIGITTA MALUSTYIK

Publication type:

Article

Trabajadores de países miembros de la UE en España y su régimen de Seguridad Social. Especial consideración de las cooperativas.

Published in:

e-Revista Internacional de la Protección Social, 2021, v. 6, n. 2, p. 126, doi. 10.12795/e-RIPS.2021.i02.07

By:

Dólera Sevilla, Isabel

Publication type:

Article

حركة المعارضة السياسية في المملكة العربيّة السعوديّة ١٩٠٢ - ٢٠١٤

Published in:

Journal of Literature Ink, 2016, v. 1, n. 12, p. 563

By:

محمد علي محمد تميم

Publication type:

Article

IMPORTANT WARNING OR DANGEROUS MISDIRECTION: RETHINKING CAUTIONS ACCOMPANYING INVESTMENT PREDICTIONS.

Published in:

Maryland Law Review, 2024, v. 83, n. 3, p. 752

By:

GEVURTZ, FRANKLIN A.

Publication type:

Article

CAN BAD LAW DO GOOD? A RETROSPECTIVE ON CONFLICT MINERALS REGULATION.

Published in:

Maryland Law Review, 2019, v. 78, n. 2, p. 291

By:

WOODY, KAREN E.

Publication type:

Article

A GLASS-HALF-EMPTY APPROACH TO SECURITIES REGULATION.

Published in:

Maryland Law Review, 2017, v. 76, n. 2, p. 360

By:

COUTURE, WENDY GERWICK

Publication type:

Article

Los determinantes de confianza y riesgo percibido sobre los usuarios de bitcoin.

Published in:

Retos, Revista de Ciencias Administrativas y Económicas, 2021, v. 11, n. 22, p. 199, doi. 10.17163/ret.n22.2021.01

By:

Roberto López-Zambrano, Carlos;
Camberos-Castro, Mario;
Villarreal-Peralta, Edna María

Publication type:

Article

Person Authentication for Restricted Areas using Number Plate Detection and Face Recognition.

Published in:

Grenze International Journal of Engineering & Technology (GIJET), 2024, v. 10, n. 2,Part 4, p. 4785

By:

Damdoo, Rina;
Munot, Kush;
Valecha, Varsha;
Mandal, Sagar;
Pathak, Gaurav

Publication type:

Article

中國大陸證券特別代表人訴訟激勵機制之反思與完善.

Published in:

Taiwan Law Review, 2023, n. 338, p. 147, doi. 10.53106/1025593133808

By:

丁朋超;
葉曉彤

Publication type:

Article

財報不實損害賠償案件如何計算損害金額 ── 新方法的思考.

Published in:

Taiwan Law Review, 2022, n. 331, p. 54, doi. 10.53106/1025593133104

By:

劉連煜

Publication type:

Article

Using Securities Disclosures to Advance Human Rights: A Consideration of Dodd-Frank Section 1502 and the Securities and Exchange Commission Conflict Minerals Rule.

Published in:

Journal of Human Rights, 2015, v. 14, n. 2, p. 201, doi. 10.1080/14754835.2015.1007222

By:

Taylor, Celia R.

Publication type:

Article

Supply Chain Risk Management in Young and Mature SMEs.

Published in:

Journal of Risk & Financial Management, 2022, v. 15, n. 8, p. 328, doi. 10.3390/jrfm15080328

By:

Foli, Samuel;
Durst, Susanne;
Davies, Lidia;
Temel, Serdal

Publication type:

Article

An Assessment of the Impact of Legal Regulation on Financial Security in OECD Countries.

Published in:

Journal of Risk & Financial Management, 2022, v. 15, n. 2, p. N.PAG, doi. 10.3390/jrfm15020086

By:

Vaitkus, Robertas;
Vasiliauskaitė, Asta

Publication type:

Article

AZƏRBAYCANDA KREDİT TƏŞKİLATLARININ QİYMƏTLİ KAĞIZLAR BAZARINDA İŞTİRAKI VƏ İNVESTİSİYA FƏALİYYƏTİ.

Published in:

Scientific Works / Elmi Eserler, 2022, n. 2, p. 132, doi. 10.58225/sw.2022.2.132-137

By:

Niftalı, Quliyeva Cahan

Publication type:

Article

INTEGRATED BORDER MANAGEMENT AND INTERFERENCE COOPERATION OF THE REPUBLIC OF NORTH MACEDONIA.

Published in:

Vizione, 2019, n. 33, p. 265

By:

SHABANI, Fadil

Publication type:

Article