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Summary of selected FINRA Regulatory Notices and disciplinary actions, April‐June 2008

Davis, Henry A. - In: Journal of Investment Compliance 9 (2008) 3, pp. 52-74

Purpose – The purpose of this paper is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices issued from April to June 2008 and a sample of disciplinary actions during that period. Design/methodology/approach – The paper provides excerpts from...

Persistent link: https://www.econbiz.de/10014893276

International initiatives in market regulation: the storm before the calm?

Grieve, Chuck; Gleeson, Simon; Crown, Simon - In: Journal of Investment Compliance 9 (2008) 4, pp. 5-8

regulators are taking to address those problems, and the likely direction of future regulation. Findings – More resource was put …

Persistent link: https://www.econbiz.de/10014893277

SEC proposes guidelines for directors overseeing mutual fund portfolio trading

Strench, Bibb L. - In: Journal of Investment Compliance 9 (2008) 4, pp. 27-32

Purpose – This paper aims to provide an update on the mutual fund industry about new brokerage review responsibilities for directors of mutual funds. Design/methodology/approach – The paper carefully reviews the SEC release proposing the Guidelines, including the appendices to the Release....

Persistent link: https://www.econbiz.de/10014893281

SEC staff highlights areas of focus in broker‐dealer, investment adviser and investment company exams

Blake, Margaret R. - In: Journal of Investment Compliance 9 (2008) 4, pp. 33-38

Purpose – The purpose of this paper is to summarize and comment on a July 22, 2008 SEC ComplianceAlert letter, which summarizes findings from recent compliance examinations by the SEC Office of Compliance Inspections and Examinations of investment advisers, mutual funds, broker‐dealers, and...

Persistent link: https://www.econbiz.de/10014893282

CFTC Reauthorization Act of 2008 enacted into law

Ervin, Susan C.; Hinkle, Philip T.; Fox, Brendan C.; … - In: Journal of Investment Compliance 9 (2008) 4, pp. 43-47

Purpose – The purpose of this paper is to summarize key provisions of the CFTC Reauthorization Act of 2008 which reauthorizes the Commodity Futures Trading Commission (CFTC) through the year 2013 and substantially enhances the CFTC's authority in several areas. Design/methodology/approach –...

Persistent link: https://www.econbiz.de/10014893284

Summary of selected FINRA regulatory notices, July‐August 2008

Davis, Henry A. - In: Journal of Investment Compliance 9 (2008) 4, pp. 79-91

Purpose – The purpose of this paper is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notes issued in July and August 2008. Design/methodology/approach – The paper provides excerpts from the June 2008 Supplement to the Options Disclosure Document;...

Persistent link: https://www.econbiz.de/10014893287

Summary of selected FINRA regulatory notices and disciplinary actions July‐August 2009

Davis, Henry A. - In: Journal of Investment Compliance 10 (2009) 4, pp. 65-83

Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) regulatory notices and disciplinary actions issued in July and August 2009 and a sample of disciplinary actions during that period. Design/methodology/approach – The paper...

Persistent link: https://www.econbiz.de/10014893289

Short sale update: SEC extends emergency actions through extraordinary rulemaking; US short selling ban expires

Sacks, Russell D. - In: Journal of Investment Compliance 10 (2009) 1, pp. 35-42

on September 17 and 18, 2008, relating to the regulation of short selling. Design/methodology/approach – The paper … Regulation SHO; and the Final Rule 10b‐21, each regulating short selling; and highlights each rule's new requirements, the … adopted. Findings – The Interim Temporary Rules, the Amendments to Regulation SHO and the Final Rule 10b‐21 are important …

Persistent link: https://www.econbiz.de/10014893291

Compliance with Sarbanes‐Oxley and do not call regulations is interdependent when telemarketing is a core part of a sales strategy

Ruch, Lisette - In: Journal of Investment Compliance 10 (2009) 1, pp. 56-60

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...

Persistent link: https://www.econbiz.de/10014893295

Summary of selected FINRA regulatory notices, September‐November 2008

Davis, Henry A. - In: Journal of Investment Compliance 10 (2009) 1, pp. 61-71

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...

Persistent link: https://www.econbiz.de/10014893296