Matthew Kozora

Financial Industry Regulatory Authority (FINRA)

Financial Economist

Washington, DC

United States

SCHOLARLY PAPERS

3

DOWNLOADS

254

SSRN CITATIONS

1

CROSSREF CITATIONS

1

Scholarly Papers (3)

1.

Security Recommendations and the Liabilities of Broker-Dealers

Number of pages: 43 Posted: 08 Jun 2016 Last Revised: 29 Jul 2016
Matthew Kozora
Financial Industry Regulatory Authority (FINRA)
Downloads 124 (250,376)

Abstract:

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

2.

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 103 (285,830)
Citation 2

Abstract:

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

3.

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 27 (528,945)

Abstract:

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corporate bonds, TRACE, electronic trading