Journal of Investment Compliance: Volume 10 Issue 1

ERISA for securities professionals: 2008 update

Richard K. Matta

The purpose of this paper is to provide an overview of how the Employee Retirement Income Security Act (“ERISA”) of 1974, as amended , applies to securities professionals such as…

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

Russell D. Sacks

This paper aims to provide a detailed description of the four releases issued by the US Securities and Exchange Commission (the “SEC”) on October 14 and 15, 2008 in connection…

What the government's expanded investigations of market manipulation may mean (and what you should do before and after the subpoena arrives)

Gary J. Mennitt, Paul Huey‐Burns, Robert J. Jossen

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…

SEC amends disclosure and reporting

Richard J. Parrino, Miyun Sung

This paper aims to explain the US SEC's final rules amending disclosure and reporting requirements for foreign private issuers.

Summary prospectus may cause many to re‐consider e‐delivery and consent strategies

Len Driscoll

This paper aims to describe current moves by the securities industry toward e‐consent and e‐delivery of prospectuses and other financial communications.

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

Lisette Ruch

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…

Summary of selected FINRA regulatory notices, September‐November 2008

Henry A. Davis

The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) regulatory notices issued from September to November 2008.

Editor column

Henry A. Davis