<--- Back to Details
| First Page | Document Content | |
|---|---|---|
 Date: 2013-07-23 14:57:4073rd United States Congress United States Securities and Exchange Commission Financial economics Corruption Insider trading Securities Exchange Act Employment Business ethics Conflict of interest United States securities law Law Financial regulation |
| UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK ----------------------------------------------------------x UNITED STATES SECURITIES AND : EXCHANGE COMMISSION,DocID: 1t6bI - View Document |
| How Widespread and Predictable is Stock Broker Misconduct?∗ Craig McCann, PhD, CFA† Chuan Qin, PhD‡ Mike Yan, PhD, CFA, FRM§ AbstractDocID: 1rpew - View Document |
| SR-FINRANotice of Filing and Immediate EffectivenessDocID: 1rngb - View Document |
| United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT Argued April 14, 2016 Decided June 14, 2016DocID: 1rn4k - View Document |
| COMPENSATION COMMITTEE CHARTER (updated as of JuneI. Purpose and AuthorityDocID: 1rmL5 - View Document |