Purpose – This paper aims to discuss the SEC's investigatory program with respect to market manipulation in the securities of certain financial institutions and to provide constructive steps for firms to take prior to and after they receive a subpoena or other inquiry from the SEC staff....

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 a recently adopted Ordinance (the “Reform Act”) and amendments to the General Regulation of the Autorité des Marchés Financiers (AMF) intended to improve the competitiveness of the French financial market and to harmonize the French...

Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) regulatory notices and disciplinary actions issued in September, October, and November 2009 and a sample of disciplinary actions during that period....

Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued in January, February, and March 2010. Design/methodology/approach – The paper provides excerpts from FINRA Regulatory...

Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued in April, May, and June 2010. Design/methodology/approach – The paper provides excerpts from FINRA Regulatory Notice...

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, August, and September 2010. Design/methodology/approach – The paper provides excerpts from FINRA Regulatory...

Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued in October, November, and December 2010. Design/methodology/approach – The paper provides excerpts from FINRA Regulatory...

Purpose – The aim of this paper is to provide hedge fund and other private fund managers with a brief recap of regulatory changes in 2010 and a reminder of certain “best practices” they should consider as they prepare for 2011. Design/methodology/approach – The paper provides 2010...