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Competitive forces and cost‐based analysis in SEC review of SRO market data fee filings: NetCoalition v. Securities and Exchange Commission

Ferraro, Edward J. - In: Journal of Investment Compliance 12 (2011) 1, pp. 5-29

Market Information, the effects of decimalization and the 2005 adoption of Regulation NMS. It focuses on market data fee …'s policy regarding SRO market data fees including the 1999 Concept Release on Market Information, the Advisory Committee on … securities regulatory lawyers and financial analysts and investors following the stock exchange and financial information …

Persistent link: https://www.econbiz.de/10014893364

Lower courts extend Morrison but SEC asserts Dodd‐Frank Act overrules Morrison for enforcement actions

Weidner, James; Lane, Christopher; Peterson, Sean - In: Journal of Investment Compliance 12 (2011) 2, pp. 33-36

Purpose – The purpose of this paper is to assess the effects of several lower court decisions, the enactment of the Dodd‐Frank Wall Street Reform & Consumer Protection Act of July 2010, and subsequent Securities and Exchange Commission statements on the extraterritorial application of...

Persistent link: https://www.econbiz.de/10014893380

2012 Awards for Excellence

In: Journal of Investment Compliance 14 (2013) 1

Persistent link: https://www.econbiz.de/10014893586

Strengthening corporate governance regulations

Proimos, Alex - In: Journal of Investment Compliance 6 (2005) 4, pp. 75-84

. Originality/value – Highlights the importance of effective corporate governance regulation in the prevention of future corporate …

Persistent link: https://www.econbiz.de/10014893177

Regulation of market misconduct in the United Kingdom

Falkner, Robert; Gerty, Jon - In: Journal of Investment Compliance 6 (2005) 4, pp. 35-53

Purpose – To introduce and summarize the key features of market‐misconduct‐related offenses in the UK with a particular focus on insider dealing. Design/methodology/approach – Provides a detailed overview of: the market abuse regime of the UK's financial regulator, the Financial Services...

Persistent link: https://www.econbiz.de/10014893180

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

The Investment Advisers Act: the need for clarity in the post‐Goldstein era

Wider, Jedd - In: Journal of Investment Compliance 7 (2006) 4, pp. 12-15

Private Investment Entities provided clarification on recordkeeping requirements for performance information, performance … environment for hedge funds by an attorney who specializes in investment fund regulation. …

Persistent link: https://www.econbiz.de/10014893202

Draft amendments to the German Investment Act

Zeller, Sven - In: Journal of Investment Compliance 8 (2007) 2, pp. 52-57

Purpose – The purpose of this paper is to summarize recent draft amendments to the German Investment Act as reflected in the second Draft dated 2 April 2007. Design/methodology/approach – The paper summarizes proposed changes in regulations for investment companies and product‐related...

Persistent link: https://www.econbiz.de/10014893225

Final Section 409A regulations and their effect on offshore hedge fund deferral arrangements

Shea Fries, Elizabeth; Scerbak, Adrienne A.; Tse, Marian A. - In: Journal of Investment Compliance 8 (2007) 3, pp. 60-63

Purpose – The purpose of this paper is to explain restrictions on nonqualified deferred compensation arrangements contained in Section 409A of the Internal Revenue Code. Design/methodology/approach – The study explains the background to Section 409A, how Section 409A applies to hedge funds,...

Persistent link: https://www.econbiz.de/10014893232

China introduces margin trading and securities lending

Yang, TieCheng; Wang, Lucas - In: Journal of Investment Compliance 8 (2007) 3, pp. 64-70

Purpose – The aim of this paper is to explain the details of a trial program in China to introduce margin trading and securities lending. Design/methodology/approach – The paper describes eligibility requirements for securities companies and their clients; accounts for margin trading and...

Persistent link: https://www.econbiz.de/10014893233

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