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The New York Stock Exchange and cooperation: another precinct heard from
Indek, Ben A.; Mixter, Christian J.; Southerling, E. Andrew - In: Journal of Investment Compliance 6 (2005) 2, pp. 38-43
Purpose – To discuss the implications of Information Memorandum No. 05‐65, issued on September 14, 2005, in which the NYSE's Division of Enforcement explains to the Exchange community its thinking on the meaning and virtues of corporate cooperation with regulators....
Persistent link: https://www.econbiz.de/10014893159
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SEC approves NASD and NYSE uniform branch office definition for broker‐dealers
Gittleman, Charles S.; Sacks, Russell D. - In: Journal of Investment Compliance 6 (2005) 2, pp. 4-9
Purpose – To describe and to discuss the implications of the new National Association of Securities Dealers, Inc. (NASD) and New York Stock Exchange (NYSE) uniform branch office definition for broker‐dealers, approved on September 9, 2005, as found in the definitions of “branch office”...
Persistent link: https://www.econbiz.de/10014893164
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The new supervisory rules regime: a practical look at areas of exposure for broker‐dealers and senior personnel
Hiler, Bruce; Kuczajda, Thomas; Rabie, Aseel - In: Journal of Investment Compliance 7 (2006) 1, pp. 34-42
Purpose – The purpose of this paper is to describe the exposure and the responsibilities of a broker‐dealer's senior management under NASD's and the NYSE's new rules, emphasizing a regular review of supervisory and compliance systems. Design/methodology/approach – Describes new rules,...
Persistent link: https://www.econbiz.de/10014893182
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The conflicting roles of the new New York Stock Exchange
Kramer, George R.; Sorcher, Alan E. - In: Journal of Investment Compliance 7 (2006) 3, pp. 51-66
Purpose – To examine whether the New York Stock Exchange (NYSE) in its recent rule changes has provided the appropriate separation between its supervisory authority and the management of the Exchange. Design/methodology/approach – Describes the regulatory and governance structure proposed by...
Persistent link: https://www.econbiz.de/10014893194
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SEC proposes changes to stock buyback safe harbor
Cerveny, Laurie A.; Wittlin, Floyd I.; O'Brien, Michael P. - In: Journal of Investment Compliance 11 (2010) 2, pp. 39-41
Purpose – The purpose of this paper is to explain the Securities and Exchange Commission's recently proposed amendments to Rule 10b‐18 under the Securities Exchange Act of 1934 that are intended to modernize Rule 10b‐18 to reflect changes in the market since the Rule's adoption....
Persistent link: https://www.econbiz.de/10014893343
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Hedge funds: The regulatory landscape at a crossroads
Wider, Jedd; Scanlan, Kevin - In: Journal of Investment Compliance 4 (2003) 1, pp. 7-12
Hedge funds increasingly are becoming a focus of investors and U.S. regulatory agencies including the U.S. Securities … dismal performance of U.S. stock market indices over the past several years, investors are turning to “absolute” return … laggard results. Investors’ ability to invest in hedge funds has been further enhanced by the increase of hedge funds …
Persistent link: https://www.econbiz.de/10014893054
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Preliminary steps to establishing research analyst independence
Winer, Samuel J.; Kroll, Amy N. - In: Journal of Investment Compliance 4 (2003) 1, pp. 13-17
On December 20, 2002, the Securities and Exchange Commission (“SEC”), the National Association of Securities Dealers (“NASD”), the New York Stock Exchange (“NYSE”), the New York Attorney General, and the North American Securities Administrators Association (“NASAA”) announced...
Persistent link: https://www.econbiz.de/10014893055
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Compliance in a multi‐regulatory environment
In: Journal of Investment Compliance 4 (2003) 1, pp. 18-21
The USA Patriot Act, Sarbanes‐Oxley, proxy voting disclosure, privacy regulations under Gramm‐Leach‐Bliley, fair valuation, hedge fund scrutiny, and the list goes on and on. Over the past two years, we have seen the Securities and Exchange Commission launch the most aggressive and...
Persistent link: https://www.econbiz.de/10014893056
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Complying with the SEC’s new proxy voting rules
Clarke, Kathleen K.; Miller, Paul M. - In: Journal of Investment Compliance 4 (2003) 1, pp. 22-25
In late January 2003, the Securities and Exchange Commission (SEC) adopted new rules for investment advisers under the Investment Advisers Act of 1940 (Advisers Act) requiring them to adopt and disclose to clients proxy voting policies and procedures. Concurrently, the SEC adopted new rules for...
Persistent link: https://www.econbiz.de/10014893057
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Private equity securities: A compliance update for broker‐dealers and investment advisers
Walsh, John H. - In: Journal of Investment Compliance 4 (2003) 1, pp. 26-32
attention and excitement resulted from the extraordinary market gains experienced by some investors in private equity securities … invested are down, and as one commentator put it, there has been an “exodus of momentum investors.” Nonetheless, private …
Persistent link: https://www.econbiz.de/10014893058