Purpose – This paper aims to explain the importance of a do not call (DNC) regulations compliance program for broker‐dealers and other investment companies as part of an overall Sarbanes‐Oxley (SOX) compliance strategy. Design/methodology/approach – The paper explains why an effective...

Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) regulatory notices issued from September to November 2008. Design/methodology/approach – The paper provides excerpts from FINRA Regulatory Notice 08‐54, Guidance on...

Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued from April to June 2009 and a sample of disciplinary actions during that period. Design/methodology/approach – The paper...

Purpose – The purpose of this paper is to explain the SEC's final rule, issued on July 27, 2009, making the “close‐out” requirement in Interim Temporary Final Rule 204T permanent and eliminating the short sale and position reporting requirements in Form SH. Design/methodology/approach...

Purpose – The purpose of this paper is to explain new regulations for foreign securities offerings by Russian issuers. Design/methodology/approach – The paper explains existing restrictions for insurance of depositary receipts (DRs) by Russian issuers, details additional restrictions...

Purpose – The purpose of this paper is to draw attention to the Hong Kong Securities and Futures Commission (SFC) Consultation Paper on Proposals to Enhance Protection for the Investing Public, issued on September 23, 2009, and some of the key issues that financial services providers operating...