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Summary of selected FINRA regulatory notices January‐March 2010

Davis, Henry A. - In: Journal of Investment Compliance 11 (2010) 2, pp. 49-62

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...

Persistent link: https://www.econbiz.de/10014893346

SEC adopts amendments to regulation SHO

Forbes, Jessica; Gnall, Gregory P.; Lombardo, Christine M. - In: Journal of Investment Compliance 11 (2010) 3, pp. 14-19

Purpose – This paper aims to explain the SEC's new Rule 201 and amended Rule 200(g), which are designed to improve the regulations that address harmful shortselling practices. Design/methodology/approach – The paper summarizes Rule 201, discusses the reasoning behind the “alternative...

Persistent link: https://www.econbiz.de/10014893349

Summary of selected FINRA regulatory notices April‐June 2010

Davis, Henry A. - In: Journal of Investment Compliance 11 (2010) 3, pp. 34-57

excerpts from FINRA Regulatory Notice 10‐18, Master Accounts and Sub‐Accounts; 10‐22, Regulation D Offerings; 10‐23, Trade … rules – to conduct a reasonable investigation of securities that it recommends, including those sold in a Regulation D …

Persistent link: https://www.econbiz.de/10014893353

FINRA's sanctions in 2009: a sign of things to come?

Heilizer, Deborah G.; Rubin, Brian L.; Gillespie, Shanyn L. - In: Journal of Investment Compliance 11 (2010) 4, pp. 4-8

Purpose – The purpose of the paper is to summarize a review of all of FINRA's 2009 notices and releases to understand the areas in which FINRA has focused and to try to predict where FINRA may be going in the coming year. Design/methodology/approach – The paper summarizes fines, disciplinary...

Persistent link: https://www.econbiz.de/10014893354

US financial reform law: key changes for private fund managers under the US Investment Advisers Act and changes to certain investor eligibility qualifications

Holton, Thomas John; Raymond, Paul B.; Stefanak, Curtis - In: Journal of Investment Compliance 11 (2010) 4, pp. 9-18

using Regulation D. Findings – The Act will require many US and non‐US investment advisers and fund managers to register …

Persistent link: https://www.econbiz.de/10014893355

US Financial Reform Law: key changes for non‐US advisers and certain investors in hedge and private equity funds

Godfrey, Anne Marie; Holton, Thomas John; Raymond, Paul B. - In: Journal of Investment Compliance 11 (2010) 4, pp. 19-26

Purpose – The purpose of this paper is to to summarize Advisers Act registration implications for non‐US advisers that now rely on the “private adviser” exemption from Advisers Act registration and to summarize the principal changes affecting investors in funds managed by non‐US...

Persistent link: https://www.econbiz.de/10014893356

Enhanced protection of investors and other changes to securities regulations

Martin, David B.H.; Gay, Brandon K. - In: Journal of Investment Compliance 11 (2010) 4, pp. 27-36

enhancements to federal securities regulation contained in the Dodd‐Frank Wall Street Reform and Consumer Protection Act. Design … Act, including by directing the SEC to enact rules to disqualify “bad actors” from relying on Rule 506 of Regulation D and … relying on Rule 506 of Regulation D; adjustments to net worth requirements related to accredited investor status; rules on …

Persistent link: https://www.econbiz.de/10014893357

Dodd‐Frank beefs up SEC and CFTC enforcement

Bayless, David; Kornblau, David L. - In: Journal of Investment Compliance 11 (2010) 4, pp. 37-40

Purpose – The purpose of the paper is to summarize key provisions in the Dodd‐Frank Wall Street Reform and Consumer Protection Act Affecting SEC and CFTC Enforcement. Design/methodology/approach – The paper summarizes provisions on new SEC causes of action, including greater power to bring...

Persistent link: https://www.econbiz.de/10014893358

FinCEN and regulators issue joint guidance on obtaining beneficial ownership information, potentially expanding certain financial institutions' USA PATRIOT Act obligations

Santangelo, Betty; Stokes, Amber - In: Journal of Investment Compliance 11 (2010) 4, pp. 45-50

Purpose – The purpose of this paper is to describe guidance (“the Guidance”) issued by the Financial Crimes Enforcement Network (“FinCEN”), the Federal Banking Regulators and the Securities and Exchange Commission on obtaining beneficial ownership information for certain accounts and...

Persistent link: https://www.econbiz.de/10014893360

In Rule 12b‐1 overhaul, SEC proposes dramatic changes to mutual fund distribution arrangements

Greene, Nathan J. - In: Journal of Investment Compliance 11 (2010) 4, pp. 51-55

Purpose – The purpose of this paper is to explain the SEC's proposal to establish a new framework for mutual fund distribution charges by replacing Rule 12b‐1 with a new Rule 12b‐2 combined with an amended Rule 6c‐10. Design/methodology/approach – The paper discusses the background of...

Persistent link: https://www.econbiz.de/10014893361