Journal of Investment Compliance: Volume 11 Issue 3

What does Merck & Co. v. Reynolds mean for the future of the statute of limitations defense in securities fraud litigation?

Andrew B. Weissman, Andrea J. Robinson, Christopher Davies, John A. Valentine, Theresa Titolo, Jennifer K. Birlem

The purpose of this paper is to analyze the US Supreme Court's April 27 decision in Merck & Co. v. Reynolds as it affects the statute of limitations defense in securities fraud…

SEC proposes large trader reporting system

Russell D. Sacks, Michael J. Blankenship

The purpose of this paper is to describe the Securities and Exchange Commission's recently proposed new rules to establish a large trading reporting system.

SEC adopts amendments to regulation SHO

Jessica Forbes, Gregory P. Gnall, Christine M. Lombardo

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.

FINRA proposes to require registration of back office and operations personnel

Michael R. Weissmann, Paul M. Tyrrell

The purpose of this paper is to explain FINRA's proposed new registration category, qualification examination, and continuing education requirements for certain back office and…

FSA imposes largest ever fine on an individual

Elisabeth Bremner, Sumitra Subramanian

The purpose of this paper is to explain the reason for the FSA's largest‐ever fine on an individual, for the FSA's continued emphasis on credible deterrence, and the likelihood of…

The new UK Financial Services Act 2010 makes significant reform; if trumped by recently elected coalition government proposals for a new regulatory structure

William Yonge

This paper aims to summarize and explain the recently enacted UK Financial Services Act 2010 (the FS Act) and the coalition government's proposals for a new regulatory structure.

Summary of selected FINRA regulatory notices April‐June 2010

Henry A. Davis

The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued in April, May…

Henry A. Davis Editor

Henry A. Davis