Journal articles on the topic 'SEC Regulations'
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Kaya, Halil D. "Regulations and the characteristics of entrepreneurs." SocioEconomic Challenges 6, no. 3 (2022): 80–96. http://dx.doi.org/10.21272/sec.6(3).80-96.2022.
Full textBouchie, Aaron. "New SEC regulations could hinder biotech investment." Nature Biotechnology 20, no. 7 (July 2002): 639–40. http://dx.doi.org/10.1038/nbt0702-639b.
Full textMahoney, Paul. "Equity Market Structure Regulation: Time to Start Over." Michigan Business & Entrepreneurial Law Review, no. 10.1 (2021): 1. http://dx.doi.org/10.36639/mbelr.10.1.equity.
Full textHalil D. Kaya, Halil D. Kaya. "The global crisis, manufacturing firms, regulations and taxes." SocioEconomic Challenges 6, no. 4 (2022): 1–7. http://dx.doi.org/10.21272/sec.6(4).1-7.2022.
Full textRobinson, John R., Yanfeng Xue, and Yong Yu. "Determinants of Disclosure Noncompliance and the Effect of the SEC Review: Evidence from the 2006 Mandated Compensation Disclosure Regulations." Accounting Review 86, no. 4 (April 1, 2011): 1415–44. http://dx.doi.org/10.2308/accr-10033.
Full textJohnson, Christopher. "Audience Participation: Crowdfunding Large Scale Theatrical Productions Through Regulation A+." Michigan Business & Entrepreneurial Law Review, no. 6.1 (2016): 61. http://dx.doi.org/10.36639/mbelr.6.1.audience.
Full textBondi, Bradley J., Charles A. Gilman, Kimberly C. Petillo-Décossard, John J. Schuster, and Sara Ortiz. "SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme." Journal of Investment Compliance 18, no. 3 (September 4, 2017): 41–43. http://dx.doi.org/10.1108/joic-06-2017-0032.
Full textBurns, James R., James E. Anderson, Kimberly Beattie Saunders, and Charles F. Gyer. "SEC shortens standard settlement cycle to T+2." Journal of Investment Compliance 18, no. 3 (September 4, 2017): 11–15. http://dx.doi.org/10.1108/joic-06-2017-0028.
Full textRobock, Zachary. "The Risk of Money Laundering Through Crowdfunding: A Funding Portal's Guide to Compliance and Crime Fighting." Michigan Business & Entrepreneurial Law Review, no. 4.1 (2014): 113. http://dx.doi.org/10.36639/mbelr.4.1.risk.
Full textNicholas, Phil. "The Agency That Kept Going: The Late New Deal SEC and Shareholder Democracy." Journal of Policy History 16, no. 3 (July 2004): 212–38. http://dx.doi.org/10.1353/jph.2004.0017.
Full textAllen, David, James Aselta, and Russell Engel. "Cryptocurrencies for the Payment of Products or Services: Risks, Accounting Practices and Regulations." Accounting and Finance Research 8, no. 4 (September 8, 2019): 19. http://dx.doi.org/10.5430/afr.v8n4p19.
Full textAdamus, Rafał. "Wygaśnięcie roszczenia jako następstwo braku zgłoszenia wierzytelności w słowackim prawie restrukturyzacyjnym." Opolskie Studia Administracyjno-Prawne 17, no. 2 (December 3, 2019): 9–32. http://dx.doi.org/10.25167/osap.1535.
Full textDong, Bei, Stefanie L. Tate, and Le Emily Xu. "Unexpected Consequences: The Effects on Non-Accelerated Filers of an Accelerated Filing Deadline and SOX Section 404." Accounting Horizons 34, no. 3 (April 1, 2020): 87–112. http://dx.doi.org/10.2308/horizons-18-066.
Full textKruś, Maciej, and Katarzyna Zańko. "Problematyka przejęcia w trybie art. 98 ustawy o gospodarce nieruchomościami gruntu oddanego w użytkowanie wieczyste w kontekście zakazu wywłaszczania nieruchomości stanowiących własność Skarbu Państwa." Studia Prawa Publicznego, no. 2 (38) (August 30, 2022): 59–83. http://dx.doi.org/10.14746/spp.2022.2.38.3.
Full textDelligatti, Paul J., and William P. Lane. "U.S. Securities and Exchange Commission (SEC) Staff issues no-action relief to facilitate implementation of Markets in Financial Instruments Directive II (MiFID II) research provisions." Journal of Investment Compliance 19, no. 1 (May 8, 2018): 53–57. http://dx.doi.org/10.1108/joic-02-2018-0014.
Full textMalec-Lewandowski, Paweł. "Kompetencje organów Sejmu i Senatu związane z ochroną powagi izb." Studia Prawa Publicznego, no. 4 (36) (December 30, 2021): 33–58. http://dx.doi.org/10.14746/spp.2021.4.36.2.
Full textLach, Daniel Eryk. "Przetwarzanie i ochrona danych dotyczących zdrowia przez organizatora systemu opieki zdrowotnej." Studia Prawa Publicznego, no. 3 (31) (October 15, 2020): 53–72. http://dx.doi.org/10.14746/spp.2020.3.31.3.
Full textBruno, Sabrina. "Climate Corporate Governance: Europe vs. USA?" European Company and Financial Law Review 16, no. 6 (December 6, 2019): 687–723. http://dx.doi.org/10.1515/ecfr-2019-0027.
Full textSzwed, Katarzyna. "Konstytucyjny obowiązek prowadzenia polityki zapewniającej bezpieczeństwo ekologiczne współczesnemu i przyszłym pokoleniom." Przegląd Prawa Konstytucyjnego 67, no. 3 (June 30, 2022): 65–77. http://dx.doi.org/10.15804/ppk.2022.03.05.
Full textP.S, Dr Velmurugan, and Ashitha T. "critical evaluation of Women on Board, Regulations and Reality with special reference to India." Restaurant Business 118, no. 12 (December 5, 2019): 114–29. http://dx.doi.org/10.26643/rb.v118i12.13081.
Full textCassell, Cory A., Lauren M. Dreher, and Linda A. Myers. "Reviewing the SEC's Review Process: 10-K Comment Letters and the Cost of Remediation." Accounting Review 88, no. 6 (June 1, 2013): 1875–908. http://dx.doi.org/10.2308/accr-50538.
Full textGao, Feng. "To Comply or Not to Comply: Understanding the Discretion in Reporting Public Float and SEC Regulations." Contemporary Accounting Research 33, no. 3 (September 25, 2015): 1075–100. http://dx.doi.org/10.1111/1911-3846.12170.
Full textSaluzzi, Joseph. "Low cost compliance technology being used to implement new SEC and FSA regulations governing “soft dollars”." Journal of Investment Compliance 6, no. 4 (October 2005): 67–74. http://dx.doi.org/10.1108/15285810510681892.
Full textBedard, Jean C., Nathan Cannon, and Anne L. Schnader. "The Changing Face of Auditor Reporting in the Broker-Dealer Industry." Current Issues in Auditing 8, no. 1 (June 1, 2014): A1—A11. http://dx.doi.org/10.2308/ciia-50691.
Full textMcCallum, James B. "Mutual fund market timing: A tale of systemic abuse and executive malfeasance." Journal of Financial Regulation and Compliance 12, no. 2 (June 1, 2004): 170–77. http://dx.doi.org/10.1108/13581980410810704.
Full textJordão, Eduardo P., and Jorge R. Leitão. "Sewage and Solids Disposal: Are Processes Such as Ocean Disposal Proper? The Case of Rio de Janeiro (Brazil)." Water Science and Technology 22, no. 12 (December 1, 1990): 33–43. http://dx.doi.org/10.2166/wst.1990.0098.
Full textWeiner, Perrie Michael, Patrick Hunnius, and Grant Alexander. "Prepare for the magnifying glass: SEC hikes scrutiny of asset managers – 4 steps to consider." Journal of Investment Compliance 16, no. 1 (May 5, 2015): 49–51. http://dx.doi.org/10.1108/joic-01-2015-0012.
Full textLopez, Jonathan A., Courtney J. Linn, Edward Eisert, and Lauren Muldoon. "Anti-money laundering program and suspicious activity report filing requirements for registered investment advisors: practicalities and implications of FinCEN’s proposed new rule." Journal of Investment Compliance 17, no. 2 (July 4, 2016): 54–60. http://dx.doi.org/10.1108/joic-04-2016-0016.
Full textKainz, Harald, and Herbert Hofstetter. "Adaption of the main waste water treatment plant in Vienna to meet Austrian emission regulations." Water Science and Technology 33, no. 12 (June 1, 1996): 65–72. http://dx.doi.org/10.2166/wst.1996.0304.
Full textLibby, Robert, and William R. Kinney. "Does Mandated Audit Communication Reduce Opportunistic Corrections to Manage Earnings to Forecasts?" Accounting Review 75, no. 4 (October 1, 2000): 383–404. http://dx.doi.org/10.2308/accr.2000.75.4.383.
Full textBaryeh, Loretta, Jui-Chin Chang, and Huey-Lian Sun. "Does audit committee independence improve information content of earnings under the Sarbanes-Oxley act?" Corporate Ownership and Control 5, no. 2 (2008): 168–78. http://dx.doi.org/10.22495/cocv5i2c1p2.
Full textMazzoli, Camilla, Claudia Pigini, and Sabrina Severini. "Back to the Origins of the Initial Public Offerings Price Range: Underwriter-Funds Network and Information Production Timeline." International Journal of Economics and Finance 12, no. 11 (October 20, 2020): 91. http://dx.doi.org/10.5539/ijef.v12n11p91.
Full textPutranto, Dinar Dwi Anugerah, Agus Lestar Yuono, and MA Muzakki Effendi. "Analisis Profil Dasar Saluran Untuk Mengurangi Kecepatan Aliran Pada Pengalihan Sungai." Cantilever: Jurnal Penelitian dan Kajian Bidang Teknik Sipil 9, no. 1 (June 8, 2020): 47–56. http://dx.doi.org/10.35139/cantilever.v9i1.38.
Full textGórski, Marek. "Postępowanie z odpadami niebezpiecznymi w świetle prawa – wybrane zagadnienia." Studia Prawa Publicznego, no. 3 (39) (November 24, 2022): 161–74. http://dx.doi.org/10.14746/spp.2022.3.39.7.
Full textPaduch, Andrzej. "The Right to a Fair Trial Under Article 6 ECHR During the Covid-19 Pandemic:." Central European Public Administration Review 19, no. 2 (November 29, 2021): 7–25. http://dx.doi.org/10.17573/cepar.2021.2.01.
Full textChan, Kam C., Samir El-Gazzar, Rudolph A. Jacob, and Picheng Lee. "Compliance and determinants of US-listed foreign firms’ 20-F filings under the new Securities and Exchange Commission accelerated deadline." Journal of Financial Regulation and Compliance 23, no. 2 (May 11, 2015): 161–78. http://dx.doi.org/10.1108/jfrc-02-2014-0008.
Full textBurkhardt, Björn. "Some Questions and Comments on What is Called “The Mental Element of the Offence”." Israel Law Review 30, no. 1-2 (1996): 82–105. http://dx.doi.org/10.1017/s0021223700014965.
Full textLord, Heather L. "Annual Reports: A Literature Review (1989–2001)." Journal of Technical Writing and Communication 32, no. 4 (October 2002): 367–89. http://dx.doi.org/10.2190/28lm-3hqr-r5qm-fcau.
Full textde la Viña, Lynda Y., and Stephanie Lee Black. "US Equity Crowdfunding: A Review of Current Legislation and A Conceptual Model of the Implications for Equity Funding." Journal of Entrepreneurship 27, no. 1 (February 12, 2018): 83–110. http://dx.doi.org/10.1177/0971355717738600.
Full textAlyas, Tahir, Sikandar Ali, Habib Ullah Khan, Ali Samad, Khalid Alissa, and Muhammad Asif Saleem. "Container Performance and Vulnerability Management for Container Security Using Docker Engine." Security and Communication Networks 2022 (August 10, 2022): 1–11. http://dx.doi.org/10.1155/2022/6819002.
Full textLin, Mao, Xiaoteng Zhang, Mingsheng Wen, Chuanqi Zhang, Xiangen Kong, Zhiyang Jin, Zunqing Zheng, and Haifeng Liu. "Effects of Unconventional Additives in Gasoline on the Performance of a Vehicle." Energies 15, no. 5 (February 22, 2022): 1605. http://dx.doi.org/10.3390/en15051605.
Full textKristiana, I., B. P. Allpike, C. A. Joll, A. Heitz, and R. Trolio. "Understanding the behaviour of molecular weight fractions of natural organic matter to improve water treatment processes." Water Supply 10, no. 1 (March 1, 2010): 59–68. http://dx.doi.org/10.2166/ws.2010.788.
Full textThornton, John M. "User Primacy, Positive Accounting Theory, and Nonaudit Services: Evidence from the SEC's Independence Hearings." Accounting and the Public Interest 3, no. 1 (January 1, 2003): 36–57. http://dx.doi.org/10.2308/api.2003.3.1.36.
Full textHagerman, Robert L., and Joanne P. Healy. "The impact of SEC-required disclosure and insider-trading regulations on the bid/ask spreads in the over-the-counter market." Journal of Accounting and Public Policy 11, no. 3 (September 1992): 233–43. http://dx.doi.org/10.1016/0278-4254(92)90009-m.
Full textCherry, Alan A., and Bill N. Schwartz. "Whats The Rush? IFRS, The SEC, And The Pressure On Accounting Instructors To Teach Still More Financial Reporting Rules." American Journal of Business Education (AJBE) 6, no. 2 (February 27, 2013): 161–76. http://dx.doi.org/10.19030/ajbe.v6i2.7708.
Full textAktug, Rahmi Erdem, Nandu (Nandkumar) Nayar, and Jesus M. Salas. "Are credit rating agency analysts valuable?" Journal of Risk Finance 16, no. 4 (August 17, 2015): 378–94. http://dx.doi.org/10.1108/jrf-11-2014-0159.
Full textRossi, Matthew, Greg Deis, Jerome Roche, and Kathleen Przywara. "Recent civil and criminal enforcement action involving high frequency trading." Journal of Investment Compliance 16, no. 1 (May 5, 2015): 5–12. http://dx.doi.org/10.1108/joic-01-2015-0017.
Full textDuncan, Leah. "The Proxy Problem: Using Nonprofits to Solve Misaligned Incentives in the Proxy Voting Process." Michigan Business & Entrepreneurial Law Review, no. 9.2 (2020): 235. http://dx.doi.org/10.36639/mbelr.9.2.proxy.
Full textMorgera, Francesca, Margaret R. Sallah, Michelle L. Dubuke, Pallavi Gandhi, Daniel N. Brewer, Chavela M. Carr, and Mary Munson. "Regulation of exocytosis by the exocyst subunit Sec6 and the SM protein Sec1." Molecular Biology of the Cell 23, no. 2 (January 15, 2012): 337–46. http://dx.doi.org/10.1091/mbc.e11-08-0670.
Full textVukovic, Gorica, Snezana Pavlovic, and M. S. Ristic. "Comparison of two sample preparation procedures for HPLC determination of ochratoxin A." Archives of Biological Sciences 61, no. 4 (2009): 639–44. http://dx.doi.org/10.2298/abs0904639v.
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