Search Results

Display Settings
Results per page: 10
Sort By: Relevance
Filter
  • 1-10 of  210,719 results for ""UNITED States. Securities & Exchange Commission""

Your Filters

Reset filters
Item request has been placed! ×
Item request cannot be made. ×
loading  Processing Request
Periodical

The SEC Secures Major Trial Victory in Its First 'Shadow Trading' Insider Trading Enforcement Action.

Subjects: *INSIDER trading in securities; *INSIDER trading laws; *CONTRACTSUNITED States. Securities & Exchange Commission

  • Source: Corporate Governance Advisor. Jul/Aug2024, Vol. 32 Issue 4, p22-24. 3p.

Record details

Read Online Read More Add to Saved list
×
Periodical

SEC, Treasury want RIA help in money-laundering fight.

Subjects: *INVESTMENT advisors; *MUTUAL funds; *TREASURY billsUNITED States. Securities & Exchange Commission

  • Source: Financial Planning. Jul/Aug2024, Vol. 56 Issue 6, p10-11. 2p. 1 Color Photograph.

Record details

Read Online Read More Add to Saved list
×
Periodical

Boards Confront New Standards Amid Regulatory Limbo.

Subjects: *SMALL business; *EXECUTIVES' liability insurance; *FORFEITUREUNITED States. Securities & Exchange Commission ; BOARD of Governors of the Federal Reserve System (U.S.)

  • Source: NACD Directorship. Summer2024, Vol. 50 Issue 3, p13-15. 3p.

Record details

Read Online Read More Add to Saved list
×
Periodical

UNDERSTANDING BOND FUND YIELDS.

Subjects: *BONDS (Finance); *BOND funds; *INTEREST ratesUNITED States. Securities & Exchange Commission

  • Source: Kiplinger Personal Finance. Jul2024, Vol. 78 Issue 7, p96-97. 2p. 1 Color Photograph.

Record details

Read Online Read More Add to Saved list
×
Periodical

SUSTAINABILITY AT A GLOBAL SCALE: Leveraging smart building tech for business advantages.

Subjects: *ENERGY consumption of lighting; INTELLIGENT buildings; SUSTAINABLE development reportingUNITED States. Securities & Exchange Commission

  • Source: Facility Management Journal (FMJ). Jul/Aug2024, Vol. 34 Issue 4, p52-55. 4p.

Record details

Read Online Read More Add to Saved list
×
Periodical

Financial Industry Regulatory Authority Adopts Residential Supervisory Location and Remote Inspection Rules.

Subjects: *TELECOMMUTING; *FINANCIAL services industry; *FLEXIBLE work arrangementsFINANCIAL Industry Regulatory Authority ; UNITED States. Securities & Exchange Commission

  • Source: Investment Lawyer. Jun2024, Vol. 31 Issue 6, p25-27. 3p.

Record details

Read Online Read More Add to Saved list
×
Periodical

D.C. District Court Rules Proxy Voting Advice Beyond the Scope Of Federal Proxy Rules.

Subjects: *PROXY; ADVICE; VOTINGWASHINGTON (D.C.)UNITED States. Securities & Exchange Commission ; UNITED States. District Court (District of Columbia)

  • Source: Corporate Governance Advisor. May/Jun2024, Vol. 32 Issue 3, p17-19. 3p.

Record details

Read Online Read More Add to Saved list
×
Periodical

Commonwealth fights fine that could have ripple effect.

Subjects: *INVESTMENT advisors; *MUTUAL funds; *ASSET-liability managementUNITED States. Securities & Exchange Commission

  • Source: Financial Planning. May2024, Vol. 54 Issue 4, p15-17. 3p. 1 Color Photograph.

Record details

Read Online Read More Add to Saved list
×
Periodical

What ‘finfluencers’ can teach the industry.

Subjects: *EXCHANGE traded funds; *FINANCIAL planners; *INVESTORSCFA Institute ; UNITED States. Securities & Exchange Commission

  • Source: Financial Planning. Apr2024, Vol. 54 Issue 3, p35-36. 2p. 1 Color Photograph.

Record details

Read Online Read More Add to Saved list
×
Periodical

DOL retirement proposal faces pre-election hurdles.

Subjects: *INDIVIDUAL retirement accounts; *401(K) plans; *RETIREMENTUNITED States. Securities & Exchange Commission

  • Source: Financial Planning. Apr2024, Vol. 54 Issue 3, p12-13. 2p.

Record details

Read Online Read More Add to Saved list
×
  • 1-10 of  210,719 results for ""UNITED States. Securities & Exchange Commission""