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Journal Articles

SEC's short selling crackdown highlights role of inspections in enforcement actions and continuing need for compliance vigilance

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Elizabeth Gray, Daniel Schloendorn, Howard Kramer
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (4): 31–33.
https://doi.org/10.1108/JOIC-10-2013-0039
Published: 25 November 2013
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Journal Articles

SEC adopts large trader reporting system

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Roger D. Blanc, Daniel Schloendorn, Howard L. Kramer, Martin R. Miller, Matthew B. Comstock
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (4): 31–39.
https://doi.org/10.1108/15285811111188144
Published: 29 November 2011
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