Matthew Kozora

Financial Industry Regulatory Authority (FINRA)

Financial Economist

Washington, DC

United States

SCHOLARLY PAPERS

4

DOWNLOADS

556

SSRN CITATIONS

4

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 227 (207,333)

Abstract:

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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 148 (301,938)

Abstract:

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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 130 (334,131)
Citation 2

Abstract:

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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
affiliation not provided to SSRN, Financial Industry Regulatory Authority (FINRA), FINRA and FINRA
Downloads 51 (580,393)

Abstract:

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Securities Arbitration, Settlement, Statement of Claim, Textual Analysis