Matthew Kozora

Financial Industry Regulatory Authority (FINRA)

Financial Economist

Washington, DC

United States

  • Financial Industry Regulatory Authority (FINRA)

SCHOLARLY PAPERS

4

DOWNLOADS

893

TOTAL CITATIONS

3

Scholarly Papers (4)

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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
Matthew Kozora, Bruce Mizrach, Matthew Peppe, Or Shachar and Jonathan S. Sokobin
Financial Industry Regulatory Authority (FINRA), Rutgers University, Department of Economics, Financial Industry Regulatory Authority (FINRA), Federal Reserve Bank of New York and FINRA
Downloads 407 (156,781)

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 195 (335,371)

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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 176 (368,003)
Citation 2

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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: 52 Posted: 30 Dec 2021 Last Revised: 18 Feb 2025
Stephanie Denis, Matthew Kozora, Minwen Li and Jonathan S. Sokobin
affiliation not provided to SSRN, Financial Industry Regulatory Authority (FINRA), FINRA and FINRA
Downloads 115 (521,067)
Citation 1

Abstract:

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Securities Arbitration, Settlement, Statement of Claim, Textual Analysis