Matthew Kozora

Financial Industry Regulatory Authority (FINRA)

Financial Economist

Washington, DC

United States

SCHOLARLY PAPERS

4

DOWNLOADS

744

SSRN CITATIONS

7

CROSSREF CITATIONS

1

Scholarly Papers (4)

1.

Alternative Trading Systems in the Corporate Bond Market

FRB of New York Staff Report No. 938
Number of pages: 34 Posted: 06 Aug 2020
Financial Industry Regulatory Authority (FINRA), Rutgers University, Department of Economics, Financial Industry Regulatory Authority (FINRA), Federal Reserve Bank of New York and FINRA
Downloads 331 (168,074)

Abstract:

Loading...

corporate bonds, TRACE, electronic trading

2.

Security Recommendations and the Liabilities of Broker-Dealers

Number of pages: 43 Posted: 08 Jun 2016 Last Revised: 20 Feb 2023
Matthew Kozora
Financial Industry Regulatory Authority (FINRA)
Downloads 172 (317,012)

Abstract:

Loading...

Broker-Dealers, Investment Advisers, Arbitration, Fiduciary Duty, Suitability, Disclosure

3.

The Effect of Regulatory Regimes on the Provision of Retail Investment Advice

Number of pages: 52 Posted: 11 Sep 2013
Matthew Kozora
Financial Industry Regulatory Authority (FINRA)
Downloads 155 (346,300)
Citation 2

Abstract:

Loading...

Retail Investors, Broker-Dealers, Investment Advisers, Fiduciary Standard

4.

The Selection of Claims in Securities Arbitration for Settlement: A Text-Based Analysis

Number of pages: 59 Posted: 30 Dec 2021 Last Revised: 21 Nov 2023
affiliation not provided to SSRN, Financial Industry Regulatory Authority (FINRA), FINRA and FINRA
Downloads 86 (531,964)

Abstract:

Loading...

Securities Arbitration, Settlement, Statement of Claim, Textual Analysis