Category:Accounting and Finance
Table Of Contents: Volume 20 Issue 3
FINRA’s disciplinary actions in 2018:Increased fines ordered with significant drop in number of casesBrian Rubin, Adam Pollet
To analyze FINRA’s 2018 disciplinary actions, the issues that resulted in the most significant fines and restitution, and the emerging enforcement trends from 2018 and beyond.
To explain the significance of a recently issued interpretive letter in which FINRA staff agreed to permit the use of pre-inception index performance data by passively…
To analyze the CFTC’s approach to regulating cryptocurrencies and blockchain technologies in light of their cross-border nature, limitations on the CFTC’s extraterritorial…
To explain FINRA’s new 529 Plan Share Class Initiative, which encourages broker-dealers to self-report violations.
To review the findings of the Financial Conduct Authority's consumer research on cryptoassets.
To explain the rule changes in Nasdaq’s new Listing Rule IM-5315-1, approved by the US Securities and Exchange Commission (SEC) on February 15, 2019, that permit direct…
The US Commodity Futures Trading Commission (CFTC), to date, has not directly addressed how liability for Commodity Exchange Act (CEA) violations involving blockchain or…
This paper aims to analyze the March 6, 2019 enforcement advisory in which the Division of Enforcement (Division) of the US Commodity Futures Trading Commission (CFTC or…
SEC reporting obligations for insiders and large traders under Section 13 and Section 16 of the Exchange ActArthur L. Zwickel, Keith D. Pisani, Alicia M. Harrison
The purpose of this paper is to provide investment advisers, broker dealers, individual investors and other securities firms with a current and detailed summary of the…
To summarize FinCEN’s new interpretive guidance on how its regulations apply to business models involving convertible virtual currencies (“CVCs”).
Online date, start – end:2000
Copyright Holder:Emerald Publishing Limited
- Dr Henry Davis