The Locator -- [(subject = "United States--Securities and Exchange Commission")]

635 records matched your query       


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Record 2
The federalization of corporate governance / Author: Steinberg, Marc I., Publisher: New York, NY : Oxford University Press, Date: [2018]   This title can be found in 1 Iowa libraries.
Record 3
Moralizing the market : how Gaullist France embraced the US model of securities regulation / Author: Pereon, Yves-Marie, Publisher: Baltimore, Maryland : Johns Hopkins University Press, Date: 2018.   This title can be found in 1 Iowa libraries.
Record 4
Fiduciary investment advice 2018 / Publisher: New York, New York : Practising Law Institute, Date: [2018]   This title can be found in 1 Iowa libraries.
Record 5
Fairness, inc. : the origins (and billion-dollar bonuses) of Rule 10b-5 as America's insider trading prohibition / Author: Colesanti, J. Scott, Publisher: Durham, North Carolina : Carolina Academic Press, LLC, Date: [2018]   This title can be found in 1 Iowa libraries.
Record 6
Financial services regtech and regulatory compliance forum 2018 / Publisher: New York, New York : Practising Law Institute, Date: [2018]   This title can be found in 1 Iowa libraries.
Record 7
Advanced swaps & other derivatives, 2018 / Publisher: New York, New York : Practising Law Institute, Date: [2018]   This title can be found in 1 Iowa libraries.
Record 8
Hedge fund management, 2018 / Publisher: New York, New York : Practising Law Institute, Date: [2018]   This title can be found in 1 Iowa libraries.
Record 9
Bank asset management and collective investment funds 2018 / Publisher: New York, New York : Practising Law Institute, Date: [2018]   This title can be found in 1 Iowa libraries.
Record 10
Principles of securities regulation / Author: Hazen, Thomas Lee, Publisher: St. Paul, MN : West Academic Publishing, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 11
Hedge fund management, 2017 / Publisher: New York, New York : Practising Law Institute, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 12
Securities law and practice, 2017 : how the SEC works / Publisher: New York, New York : Practising Law Institute, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 13
Advanced swaps & other derivatives, 2017 / Publisher: New York, New York : Practising Law Institute, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 14
Financial services conflicts of interest & fiduciary duties 2017 : navigating the emerging regulatory maze / Publisher: New York, New York : Practising Law Institute, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 15
Marketplace lending and crowdfunding, 2017 / Publisher: New York, New York : Practising Law Institute, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 16
Going public : my adventures inside the SEC and how to prevent the next devastating crisis / Author: Champ, Norm, Publisher: New York : McGraw-Hill Education, Date: [2017]   This title can be found in 2 Iowa libraries.
Record 17
Financial services industry regulatory compliance forum, 2017/ Publisher: New York, New York : Practising Law Institute, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 18
Master the 8-K / Publisher: New York, New York : Practising Law Institute, Date: [2017]   This title can be found in 1 Iowa libraries.
Record 19
Principles of securities regulation / Author: Hazen, Thomas Lee, Publisher: St. Paul, MN : West Academic Publishing, Date: [2016]   This title can be found in 1 Iowa libraries.
Record 20
Securities products of insurance companies, 2016 / Publisher: New York, New York : Practising Law Institute, Date: [2016]   This title can be found in 1 Iowa libraries.
Record 21
Advanced swaps & other derivatives, 2016 / Publisher: New York, New York : Practising Law Institute, Date: [2016]   This title can be found in 1 Iowa libraries.

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