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Keywords: Information
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (1)
Published: 26 April 2013
... Circuits Coalitions Information Market position Article Type: 2012 Awards for Excellence From: Journal of Investment Compliance, Volume 14, Issue 1 The following article was selected for this year's Outstanding Paper Award forJournal of Investment Compliance...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (2): 33–36.
Published: 14 June 2011
... © Authors 2011 Legal process Securities Information In June 2010,the United States Supreme Court in Morrison v. National Australia Bank Ltd 1 changed the paradigm for extraterritorial application of Section 10(b) of the Securities Exchange Act of 1934 (“Exchange...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (1): 5–29.
Published: 12 April 2011
.... It also seeks to consider the effect on the court's decision of the Dodd‐Frank Act amendments to Section 19(b) of the Exchange Act. Design/methodology/approach The paper analyzes the evolution of the SEC's policy regarding SRO market data fees including the 1999 Concept Release on Market Information...
