Category:Accounting and Finance
Table Of Contents: Volume 10 Issue 1
Short sale update: SEC extends emergency actions through extraordinary rulemaking; US short selling ban expiresRussell 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…
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…
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 strategyLisette 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…
The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) regulatory notices issued from September to November 2008.
Online date, start – end:2000
Copyright Holder:Emerald Publishing Limited
- Dr Henry Davis