Research Handbook on Securities Regulation in the United States
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Published By Edward Elgar Publishing

9781782540076

Latest Documents Most Cited Documents Contributed Authors Related Sources Related Keywords

Exemptions from 1933 Act registration

Research Handbook on Securities Regulation in the United States ◽

10.4337/9781782540076.00009 ◽

2014 ◽

pp. 109-155 ◽

Cited By ~ 3

Author(s):

Thomas L. Hazen

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The rise of risk-based regulatory capital: liquidity and solvency standards for financial intermediaries

Research Handbook on Securities Regulation in the United States ◽

10.4337/9781782540076.00012 ◽

2014 ◽

pp. 201-227

Author(s):

José Gabilondo

Keyword(s):

Financial Intermediaries ◽

Regulatory Capital

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Preface

Research Handbook on Securities Regulation in the United States ◽

10.4337/9781782540076.00005 ◽

2014 ◽

pp. ix-x

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An overview of compliance-related issues in broker-dealer regulation

Research Handbook on Securities Regulation in the United States ◽

10.4337/9781782540076.00017 ◽

2014 ◽

pp. 348-377

Author(s):

James Fanto

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Investment adviser regulation

Research Handbook on Securities Regulation in the United States ◽

10.4337/9781782540076.00013 ◽

2014 ◽

pp. 228-243 ◽

Cited By ~ 1

Author(s):

Wulf A. Kaal

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The past, present and future of securities arbitration between customers and brokerage firms

Research Handbook on Securities Regulation in the United States ◽

10.4337/9781782540076.00019 ◽

2014 ◽

pp. 412-456

Author(s):

Barbara Black

Keyword(s):

The Past ◽

Brokerage Firms

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Regulation of derivative instruments

Research Handbook on Securities Regulation in the United States ◽

10.4337/9781782540076.00016 ◽

2014 ◽

pp. 316-347

Author(s):

Jerry W. Markham

Keyword(s):

Derivative Instruments

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Corporate governance and the regulation of mergers and acquisitions

Research Handbook on Securities Regulation in the United States ◽

10.4337/9781782540076.00014 ◽

2014 ◽

pp. 244-281

Author(s):

Jerry W. Markham ◽

Rigers Gjyshi

Keyword(s):

Corporate Governance ◽

Mergers And Acquisitions

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Overview

Research Handbook on Securities Regulation in the United States ◽

10.4337/9781782540076.00006 ◽

2014 ◽

pp. 1-11

Author(s):

Jerry W. Markham

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The Sarbanes-Oxley Act of 2002: a regulatory hodge-podge arising from highly visible financial fraud

Research Handbook on Securities Regulation in the United States ◽

10.4337/9781782540076.00015 ◽

2014 ◽

pp. 282-315

Author(s):

Joan MacLeod Heminway

Keyword(s):

Financial Fraud ◽

Sarbanes Oxley

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Research Handbook on Securities Regulation in the United StatesLatest Publications

TOTAL DOCUMENTS

H-INDEX

Published By Edward Elgar Publishing

Exemptions from 1933 Act registration

The rise of risk-based regulatory capital: liquidity and solvency standards for financial intermediaries

Preface

An overview of compliance-related issues in broker-dealer regulation

Investment adviser regulation

The past, present and future of securities arbitration between customers and brokerage firms

Regulation of derivative instruments

Corporate governance and the regulation of mergers and acquisitions

Overview

The Sarbanes-Oxley Act of 2002: a regulatory hodge-podge arising from highly visible financial fraud

Research Handbook on Securities Regulation in the United States
Latest Publications