Artykuły w czasopismach na temat „Securities and Exchange Commission”
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Taylor, Eileen, James Bierstaker i Joseph Brazel. "Comments by the Auditing Standards Committee of the Auditing Section of the American Accounting Association on the Securities and Exchange Commission Proposed Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934". Current Issues in Auditing 5, nr 1 (1.01.2011): C16—C27. http://dx.doi.org/10.2308/ciia-50017.
Pełny tekst źródłaNathan, Daniel A., i Tiffany Rowe. "SEC charges broker-dealer for failure to protect against insider trading by employees". Journal of Investment Compliance 16, nr 1 (5.05.2015): 59–62. http://dx.doi.org/10.1108/joic-01-2015-0004.
Pełny tekst źródłaCampbell, M. K. "Accountability [US Securities and Exchange Commission role]". IEEE Potentials 21, nr 2(415) 2 (2002): 18–21. http://dx.doi.org/10.1109/45.998086.
Pełny tekst źródłaFeller, Robert H. "Securities and exchange commission and environmental disclosure". Journal of Cleaner Production 1, nr 2 (styczeń 1993): 107–17. http://dx.doi.org/10.1016/0959-6526(93)90049-h.
Pełny tekst źródłaN, Rishab Kumar Jain, i Sarah John. "The Intersection of Cryptocurrencies with Securities Law". April-May 2023, nr 33 (26.05.2023): 17–29. http://dx.doi.org/10.55529/ijrise.33.17.29.
Pełny tekst źródłaTrammell, Susan. "Staying Power: The Irrepressible Securities and Exchange Commission". CFA Institute Magazine 15, nr 5 (wrzesień 2004): 39–43. http://dx.doi.org/10.2469/cfm.v15.n5.2887.
Pełny tekst źródłaRajgopal, Shivaram, i Roger M. White. "Stock Trades of Securities and Exchange Commission Employees". Journal of Law and Economics 60, nr 3 (sierpień 2017): 441–77. http://dx.doi.org/10.1086/695691.
Pełny tekst źródłaMartin, David, David Engvall, Kerry Burke, Gerald Hodgkins, Matthew Franker i Reid Hooper. "US SEC report calls for better internal accounting controls for cyber-related threats". Journal of Investment Compliance 20, nr 1 (7.05.2019): 5–9. http://dx.doi.org/10.1108/joic-12-2018-0055.
Pełny tekst źródłaCressey, Donald R., i Susan P. Shapiro. "Wayward Capitalists: Target of the Securities and Exchange Commission." Contemporary Sociology 15, nr 4 (lipiec 1986): 627. http://dx.doi.org/10.2307/2069325.
Pełny tekst źródłaSchuck, Peter H., i Susan Shapiro. "Wayward Capitalists: Target of the Securities and Exchange Commission". Journal of Policy Analysis and Management 4, nr 2 (1985): 297. http://dx.doi.org/10.2307/3324678.
Pełny tekst źródłaKass, Stephen L., i Jean M. McCarroll. "law: Environmental Disclosure in Securities and Exchange Commission Filings". Environment: Science and Policy for Sustainable Development 39, nr 3 (kwiecień 1997): 4–43. http://dx.doi.org/10.1080/00139159709604366.
Pełny tekst źródłaWilliams, Cynthia A. "The Securities and Exchange Commission and Corporate Social Transparency". Harvard Law Review 112, nr 6 (kwiecień 1999): 1197. http://dx.doi.org/10.2307/1342384.
Pełny tekst źródłaLee, Seward. "finreportr: Financial Data from U.S. Securities and Exchange Commission". Journal of Open Source Software 1, nr 8 (5.12.2016): 119. http://dx.doi.org/10.21105/joss.00119.
Pełny tekst źródłaMitchum, Melissa Beck, i Bob Xiong. "Are your customer accounts in order? – SEC announces sweep of broker-dealers and implementation of the customer protection rule initiative". Journal of Investment Compliance 18, nr 1 (2.05.2017): 68–74. http://dx.doi.org/10.1108/joic-02-2017-0009.
Pełny tekst źródłaВихристюк, А. М. "ADMINISTRATIVE AND LEGAL STATUS OF THE NATIONAL COMMISSION OF SECURITIES AND THE STOCK MARKET AS AN ENTITY REGULATION OF STOCK EXCHANGES". Juridical science 1, nr 4(106) (2.04.2020): 72–78. http://dx.doi.org/10.32844/2222-5374-2020-106-4-1.09.
Pełny tekst źródłaBrigagliano, James, W. Hardy Callcott i Michael Warden. "SEC issues landmark order rejecting Nasdaq and NYSE Arca market data fee increases". Journal of Investment Compliance 20, nr 2 (1.07.2019): 24–27. http://dx.doi.org/10.1108/joic-02-2019-0012.
Pełny tekst źródłaDaniel, Jason. "SEC targets broker-dealer implications of transaction-based deal fees". Journal of Investment Compliance 17, nr 4 (7.11.2016): 75–76. http://dx.doi.org/10.1108/joic-09-2016-0041.
Pełny tekst źródłaAlain, Robert. "Le droit des valeurs mobilières et le retour des compagnies publiques au statut de compagnie privée". Les Cahiers de droit 20, nr 3 (12.04.2005): 539–82. http://dx.doi.org/10.7202/042328ar.
Pełny tekst źródłaAdler, Sara, Joel I. Greenberg, William G. LeBas i Ellen Fleishhacker. "US Securities and Exchange Commission (SEC) expands accredited investor definition". Journal of Investment Compliance 22, nr 1 (6.04.2021): 29–33. http://dx.doi.org/10.1108/joic-09-2020-0029.
Pełny tekst źródłaDemaline, Christopher J. "Image repair during a U.S. Securities and Exchange Commission investigation". Journal of Corporate Accounting & Finance 32, nr 3 (19.05.2021): 164–74. http://dx.doi.org/10.1002/jcaf.22500.
Pełny tekst źródłaGerde, Virginia W., i Craig G. White. "Auditor Independence, Accounting Firms, and the Securities and Exchange Commission". Business & Society 42, nr 1 (marzec 2003): 83–114. http://dx.doi.org/10.1177/0007650302250504.
Pełny tekst źródłaBoury, P. M. "Does the European Union need a securities and exchange commission?" Capital Markets Law Journal 1, nr 2 (1.11.2006): 184–94. http://dx.doi.org/10.1093/cmlj/kml013.
Pełny tekst źródłaPerri, Frank S., i Richard G. Brody. "The sleeping watch dog: aka the Securities and Exchange Commission". Journal of Financial Regulation and Compliance 19, nr 3 (26.07.2011): 208–21. http://dx.doi.org/10.1108/13581981111147856.
Pełny tekst źródłaRaghupathi, Wullianallur, Sarah Jinhui Wu i Viju Raghupathi. "Understanding Corporate Sustainability Disclosures from the Securities Exchange Commission Filings". Sustainability 15, nr 5 (24.02.2023): 4134. http://dx.doi.org/10.3390/su15054134.
Pełny tekst źródłaOfo, Nat. "Securities and Exchange Commission of Nigeria's Draft Revised Code of Corporate Governance: An Appraisal". Journal of African Law 55, nr 2 (14.09.2011): 280–99. http://dx.doi.org/10.1017/s0021855311000143.
Pełny tekst źródłaBondi, Bradley J., Charles A. Gilman, Kimberly C. Petillo-Décossard, John J. Schuster i 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, nr 3 (4.09.2017): 41–43. http://dx.doi.org/10.1108/joic-06-2017-0032.
Pełny tekst źródłaMarcacci, Antonio. "IOSCO and the Spreading of a US-Like Regulatory Philosophy around the World". European Business Law Review 25, Issue 6 (1.12.2014): 759–809. http://dx.doi.org/10.54648/eulr2014034.
Pełny tekst źródłaClayton, John. "The Two Faces of Janus: The Jurisprudential Past and New Beginning of Rule 10b-5". University of Michigan Journal of Law Reform, nr 47.3 (2014): 853. http://dx.doi.org/10.36646/mjlr.47.3.two.
Pełny tekst źródłaLohse, Tim, Razvan Pascalau i Christian Thomann. "Public enforcement of securities market rules: Resource-based evidence from the Securities and Exchange Commission". Journal of Economic Behavior & Organization 106 (październik 2014): 197–212. http://dx.doi.org/10.1016/j.jebo.2014.06.010.
Pełny tekst źródłaTeufel, Adam, i Christopher J. Geissler. "SEC approves new continued listing standards for ETFs". Journal of Investment Compliance 18, nr 3 (4.09.2017): 21–25. http://dx.doi.org/10.1108/joic-06-2017-0037.
Pełny tekst źródłaChatov, Robert. "WILLIAM O. DOUGLAS ON THE TRANSFER OF THE SECURITIES AND EXCHANGE COMMISSION'S AUTHORITY FOR THE DEVELOPMENT OF RULES FOR FINANCIAL REPORTING". Accounting Historians Journal 13, nr 2 (1.09.1986): 125–29. http://dx.doi.org/10.2308/0148-4184.13.2.125.
Pełny tekst źródłaParrino, Richard J., Peter Romeo i Alan Dye. "Securities and Exchange Commission announces enforcement initiative directed at reporting violations by public company insiders". Journal of Investment Compliance 16, nr 1 (5.05.2015): 19–24. http://dx.doi.org/10.1108/joic-01-2015-0002.
Pełny tekst źródłaZieliński, Jakub. "SECURITIES AND EXCHANGE COMMISSION V. RIPPLE LABS INC. CASE, AS THE GAME-CHANGER OF CRYPTOCURRENCIES’ HISTORY". Roczniki Administracji i Prawa 1, nr XXII (31.03.2022): 203–12. http://dx.doi.org/10.5604/01.3001.0015.9108.
Pełny tekst źródłaSenderowicz, Jeremy I., K. Susan Grafton, Timothy Spangler, Kristopher D. Brown i Andrew J. Schaffer. "SEC focuses on initial coin offerings: tokens may be securities under federal securities laws". Journal of Investment Compliance 19, nr 1 (8.05.2018): 10–14. http://dx.doi.org/10.1108/joic-02-2018-0017.
Pełny tekst źródłaOdders-White, Elizabeth R. "Third Market Reforms: The Overlooked Goal of the SEC's Order Handling Rules". Journal of Financial and Quantitative Analysis 39, nr 2 (czerwiec 2004): 277–304. http://dx.doi.org/10.1017/s0022109000003070.
Pełny tekst źródłaGoforth, Carol R. "Regulation of Crypto: Who Is the Securities and Exchange Commission Protecting?" American Business Law Journal 58, nr 3 (wrzesień 2021): 643–705. http://dx.doi.org/10.1111/ablj.12192.
Pełny tekst źródłaJohnston, Rick, i Reining Petacchi. "Regulatory Oversight of Financial Reporting: Securities and Exchange Commission Comment Letters". Contemporary Accounting Research 34, nr 2 (czerwiec 2017): 1128–55. http://dx.doi.org/10.1111/1911-3846.12297.
Pełny tekst źródłaLohse, Tim, i Christian Thomann. "Are bad times good news for the Securities and Exchange Commission?" European Journal of Law and Economics 40, nr 1 (9.08.2014): 33–47. http://dx.doi.org/10.1007/s10657-014-9455-y.
Pełny tekst źródłaZwickel, Arthur L., Keith D. Pisani i Alicia M. Harrison. "SEC reporting obligations for insiders and large traders under Section 13 and Section 16 of the Exchange Act". Journal of Investment Compliance 20, nr 3 (14.10.2019): 39–53. http://dx.doi.org/10.1108/joic-07-2019-0040.
Pełny tekst źródłaRusselo, Gerald J., Stephen L. Cohen i Jose F. Sanchez. "The SEC Speaks 2018: the US Securities and Exchange Commission’s current priorities and conference overview". Journal of Investment Compliance 19, nr 3 (3.09.2018): 1–4. http://dx.doi.org/10.1108/joic-04-2018-0025.
Pełny tekst źródłaIngerman, Brett, Michael D. Hynes, Brian H. Benjet i Kristina Neff. "Not just a compliance program, but an effective compliance program: SEC, DOJ issue strong reminders". Journal of Investment Compliance 16, nr 4 (2.11.2015): 4–5. http://dx.doi.org/10.1108/joic-08-2015-0054.
Pełny tekst źródłaTajti, Tibor. "What makes the securities criminal law system of the United States work: 'All-embracing' 'blanket' securities crimes and the linked enforcement framework". Pravni zapisi 12, nr 1 (2021): 146–83. http://dx.doi.org/10.5937/pravzap0-30658.
Pełny tekst źródłaBurnett, Brian M., Daphne Hart, Bjorn N. Jorgensen i Gregory W. Martin. "Multiple Regulators and Accounting Restatements: Evidence from Canada". Journal of International Accounting Research 18, nr 2 (1.06.2019): 3–29. http://dx.doi.org/10.2308/jiar-52494.
Pełny tekst źródłaJames, Monte F. "Exempt Security Offerings Available in Texas". Texas Wesleyan Law Review 2, nr 1 (lipiec 1995): 97–114. http://dx.doi.org/10.37419/twlr.v2.i1.3.
Pełny tekst źródłaBirkett, Brenda S. "THE RECENT HISTORY OF CORPORATE AUDIT COMMITTEES". Accounting Historians Journal 13, nr 2 (1.09.1986): 109–24. http://dx.doi.org/10.2308/0148-4184.13.2.109.
Pełny tekst źródłaBhana, N. "The recommendations of the De Kock Commission of Inquiry and its implications for foreign security investments by South African residents". South African Journal of Business Management 16, nr 4 (31.12.1985): 204–8. http://dx.doi.org/10.4102/sajbm.v16i4.1097.
Pełny tekst źródłaS. Gittleman, Charles, Russell D. Sacks i Jennifer D. Morton. "SEC approves amendment to FINRA IPO allocation rule 5131, easing compliance for fund investors". Journal of Investment Compliance 15, nr 1 (27.02.2014): 52–57. http://dx.doi.org/10.1108/joic-01-2014-0002.
Pełny tekst źródłaLopez, Jonathan A., Courtney J. Linn, Edward Eisert i 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, nr 2 (4.07.2016): 54–60. http://dx.doi.org/10.1108/joic-04-2016-0016.
Pełny tekst źródłaBalsam, Steven, i Wonsun Paek. "Insider Holding Requirements, Stock Options, and Stock Appreciation Rights". Journal of Accounting, Auditing & Finance 16, nr 3 (lipiec 2001): 227–48. http://dx.doi.org/10.1177/0148558x0101600305.
Pełny tekst źródłaEames, Michael J., Steven M. Glover i Jane Jollineau Kennedy. "Stock Recommendations as a Source of Bias in Earnings Forecasts". Behavioral Research in Accounting 18, nr 1 (1.01.2006): 37–51. http://dx.doi.org/10.2308/bria.2006.18.1.37.
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