Journal of Investment Compliance: Volume 11 Issue 4
Table of contents
FINRA's sanctions in 2009: a sign of things to come?
Deborah G. Heilizer, Brian L. Rubin, Shanyn L. GillespieThe 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…
US financial reform law: key changes for private fund managers under the US Investment Advisers Act and changes to certain investor eligibility qualifications
Thomas John Holton, Paul B. Raymond, Curtis StefanakThe purpose of this paper is to explain certain SEC and state registration, disclosure, and recordkeeping requirements for US and non‐US investment advisers and fund managers as…
US Financial Reform Law: key changes for non‐US advisers and certain investors in hedge and private equity funds
Anne Marie Godfrey, Thomas John Holton, Paul B. Raymond, Curtis StefanakThe 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…
Enhanced protection of investors and other changes to securities regulations
David B.H. Martin, Brandon K. GayThe purpose of the paper is to summarize and discuss selected investor‐protection and other related enhancements to federal securities regulation contained in the Dodd‐Frank Wall…
Dodd‐Frank beefs up SEC and CFTC enforcement
David Bayless, David L. KornblauThe 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.
Supreme Court holds that §10(b) of the Exchange Act applies only to domestic securities transactions
Harry Frischer, Charles E. Dropkin, Jennifer R. Scullion, Richard L. SpinogattiThe purpose of this paper is to explain the June 24, 2010 decision of the US Supreme Court in Morrison v. National Australia Bank Ltd concerning the territorial scope of the…
FinCEN and regulators issue joint guidance on obtaining beneficial ownership information, potentially expanding certain financial institutions' USA PATRIOT Act obligations
Betty Santangelo, Amber StokesThe 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…
In Rule 12b‐1 overhaul, SEC proposes dramatic changes to mutual fund distribution arrangements
Nathan J. GreeneThe 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…
Second Circuit rules securities fraud claim of mutual fund shareholders relating to affiliated transfer agent arrangements may proceed, but upholds dismissal of breach of fiduciary duty claim
William K. Dodds, Brian S. VargoThe purpose of this paper is to explain a February 2010 US Second Circuit Court decision in Operating Local 649 Annuity Trust Fund v. Smith Barney Fund Management LLC that…
Summary of selected FINRA Regulatory notices July‐September 2010
Henry A. DavisThe purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued in July, August…
ISSN:
1528-5812Online date, start – end:
2000 – 2021Copyright Holder:
Emerald Publishing LimitedEditor:
- Henry A. Davis