Journal of Investment Compliance: Volume 13 Issue 4
Table of contents
Large trader reporting rule: a temporary reprieve for broker‐dealers and broadening of exemptions for capital markets transactions
Russell D. Sacks, Michael J. BlankenshipThe purpose of the paper is to describe the temporary and permanent exemptions issued by the Securities and Exchange Commission (SEC) to the large trader identification…
US$500 and a click: investing the “crowdfunding” way
Stuart H. Gelfond, Anthony D. FotiThe purpose of this paper is to provide a preliminary explanation of “crowdfunding,” as defined in the Jumpstart Our Business Startups (JOBS) Act, subject to more specific rules…
Tough on money laundering … and on the EU: UK authorities chart their course on AML policy
Martin Saunders, Chris StottThe purpose of this paper is to discuss recent trends in anti‐money laundering enforcement by UK regulatory authorities and the UK's response to recent EU anti‐money laundering…
SEC adopts consolidated audit trail
James Brigagliano, Kevin Campion, David Katz, Andrew BlakeThe purpose of this paper is to explain the requirements of SEC Rule 613 under the Securities Exchange Act of 1934, which requires national securities exchanges and FINRA jointly…
Who's in and who's out? CFTC and SEC finalize the swap entity definitions
Anthony R.G. Nolan, Susan I. Gault‐Brown, Lawrence B. PatentThe purpose of this paper is to explain a final rule adopted by the SEC and the CFTC that clarifies Dodd‐Frank Act definitions for the new terms “swap dealer,” “security‐based…
Investment advisers to ERISA plans and plan asset funds will be subject to new disclosure obligations effective July 1, 2012
Ira Bogner, Robert Projansky, Steven Weinstein, Adam ScollThe purpose of this paper is to explain the US Department of Labor's final regulations under Section 408(b)(2) of ERISA, concerning the fact that information investment advisers…
More unintended consequences of use restrictions in confidentiality agreements
Gordon Caplan, Jeffrey Korn, Robert T. Langdon, Robert B. StebbinsThe purpose of this paper is to highlight the importance of careful review and negotiation of confidentiality agreements in corporate transactions and to discuss certain issues…
Selected FINRA notices and disciplinary actions, June‐August 2012
Henry A. DavisThe purpose of this paper is to provide selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued in June, July, and August 2012.
ISSN:
1528-5812Online date, start – end:
2000 – 2021Copyright Holder:
Emerald Publishing LimitedEditor:
- Henry A. Davis