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SEC staff expands relief from broker-dealer registration under US Securities Exchange Act for intermediaries in private M&A transactions

Kahn, Henry; Welp, Robert; Parrino, Richard - In: Journal of Investment Compliance 15 (2014) 2, pp. 22-25

Purpose – To review the M&A Brokers “no-action” letter issued in February 2014 by the staff of the USA Securities and … SEC as broker-dealers under the USA Securities Exchange Act of 1934. Design/methodology/approach – Examines the new SEC … staff interpretative guidance on activities of M&A brokers in light of USA federal securities laws and previous staff no …

Persistent link: https://www.econbiz.de/10014893748

Tweeting corporate disclosures: SEC staff issues guidance permitting hyperlinks to cautionary statements and legends in social media communications

J. Parrino, Richard; K. Greenslade, Kevin - In: Journal of Investment Compliance 15 (2014) 3, pp. 28-31

Purpose – To review guidance issued in April 2014 by the staff of the USA Securities and Exchange Commission (SEC) that …

Persistent link: https://www.econbiz.de/10014893805

SEC administrative law judge bars investment manager for misrepresenting GIPS compliance

S. Caccese, Michael; Y. Charton, Douglas; A. Grossetti, … - In: Journal of Investment Compliance 15 (2014) 3, pp. 38-40

Purpose – To explain an administrative law judge (ALJ) decision, along with a censure, fine, and industry disbarment, against an investment adviser for misleading advertising and false claims of compliance with Global Investment Performance Standards (GIPS). Design/methodology/approach –...

Persistent link: https://www.econbiz.de/10014893806

SEC settles with adviser over failure to consider account aggregation requests in applying fee breakpoint discounts

Galloway, Jackson; Griffin, Nicole - In: Journal of Investment Compliance 15 (2014) 3, pp. 32-34

Purpose – To review SEC enforcement action taken against an adviser over: failure to grant advisory fee breakpoint discounts based on the aggregation of related accounts requested by clients and related deficiencies in the adviser’s administration of the account aggregation feature....

Persistent link: https://www.econbiz.de/10014893807

Cybersecurity: SEC is starting to scrutinize registrants’ practices

A. Nathan, Daniel; J. Greismann, Libby - In: Journal of Investment Compliance 15 (2014) 4, pp. 4-6

Purpose – To alert broker-dealers to the SEC’s plans to examine their cybersecurity practices, and offer advice on compliance. Design/methodology/approach – Reviews the SEC’s proposed cybersecurity framework and provides suggestions for broker-dealers to address and respond to these...

Persistent link: https://www.econbiz.de/10014893808

SEC’s enforcement action against hedge fund adviser for retaliation against a whistleblower highlights challenges employers face

B. House, Bryan; L. Johnston, Pam; Worcester, Courtney - In: Journal of Investment Compliance 15 (2014) 4, pp. 7-10

Purpose – To explain a recent enforcement action by the USA Securities and Exchange Commission (SEC) whereby the SEC …

Persistent link: https://www.econbiz.de/10014893835

Commodity Futures Trading Commission provides new streamlined process for commodity pool operators to request no-action relief for delegating certain activities to registered CPOs

Khuri, Walid; M. McLauglin, Robert; S. Mitchell, David; … - In: Journal of Investment Compliance 15 (2014) 3, pp. 41-46

Purpose – To provide an overview of a new, streamlined process from the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) by which a commodity pool operator (CPO) may request expedited no-action relief for failure to register under...

Persistent link: https://www.econbiz.de/10014893837

Recent regulatory developments provide some clarifications regarding the market access rule for broker-dealers

H. Newman, Bruce; Mitchell, Elizabeth; R. Nicolas, Stephanie - In: Journal of Investment Compliance 15 (2014) 3, pp. 10-19

Purpose – To provide an overview of recent developments relating to the Securities and Exchange Commission (SEC)’s Market Access Rule, Rule 15c3-5 promulgated under the Securities Exchange Act of 1934. Design/methodology/approach – Provides a brief overview of the Rule’s requirements;...

Persistent link: https://www.econbiz.de/10014893838

High-frequency traders: a review of the challenges in registering them as dealers

Fitterman, Mark; Sandoval, Ignacio - In: Journal of Investment Compliance 15 (2014) 3, pp. 3-9

Purpose – To describe some of the challenges that the Securities and Exchange Commission (SEC) will face in requiring that high-frequency traders register as dealers. Design/methodology/approach – This paper provides a brief overview of the dealer-trader distinction, an analytical framework...

Persistent link: https://www.econbiz.de/10014893839

SEC announces first investment adviser ‘pay-to-play’ enforcement action

Norman Goldberger, M.; C. Grugan, John; O’Neil, Christine - In: Journal of Investment Compliance 15 (2014) 3, pp. 35-37

Purpose – To explain the first enforcement action the USA Securities and Exchange Commission (SEC) has brought under …

Persistent link: https://www.econbiz.de/10014893840