Journal of Investment Compliance: Volume 3 Issue 3
Table of contents
Stock analysts’ conflicts of interest: the road to “independence” in stock research
Jacob H. ZamanskyIn the two years following the bursting of the high‐technology and telecommunications stock “bubble”, various legal proceedings and regulatory actions have brought Wall Street to…
E‐mail and instant messaging retention, review, and production
Michael D. WolkThe SEC and the SROs have demonstrated through the threat of significant enforcement action that the rules requiring the capture, retention, and review of e‐mail communications…
Disclosure obligations of brokers‐dealers that market 529 college savings plans
Ernesto A. LanzaCollege savings plans established and maintained by states as “qualified tuition programs” under Section 529 of the Internal Revenue Code, as amended, are increasingly popular…
Mutual fund distribution payments: navigating the conflicts
Kent KnudsonWith over 8,400 mutual funds available to U.S. investors, the battle for shelf space has never been more intense. Fund advisers or “manufacturers” are caught in a classic squeeze…
One step or two? (Delaware’s going‐private dichotomy)
Clifford E. NeimethAfter a series of recent Delaware Chancery Court and Delaware Supreme Court decisions and the standard of judicial review applied in challenges to “going‐private” transactions…
Inconsistent application of the SEC’s “all holders‐best price” rule continues to chill tender offers
Clifford E. NeimethThis article addresses, in the third‐party acquisition context, how a series of U.S. Circuit Court of Appeals and District Court decisions have chilled the use of tender offers as…
The compliance imperative: lessons from the federal sentencing guidelines – the world beyond the guidelines
Richard D. MarshallAt the heart of the commentary on recent financial scandals and the legislative response in Sarbanes‐Oxley has been attention to the need for effective compliance programs at…
New ways to make ’em talk: real‐time inforcement, Sarbanes‐Oxley, and the corporate order
Aegis J. Frumento“Real‐time” enforcement has been the hallmark of Harvey Pitt’s tenure as Chairman of the Securities and Exchange Commission (the “SEC” or “Commission”). However, real‐time…
Slipping back to business as usual: Six months after the passage of Sarbanes‐Oxley
Steven N. Berk, Cyrus MehriWhen it passed in the summer of 2002, the Sarbanes‐Oxley Act was hailed as the most significant reform legislation of the markets since the Great Depression. An initial flurry of…
SEC adopts and proposes new rules under Sarbanes‐Oxley
Guy P. LanderSince the implementation of the Sarbanes‐Oxley Act of 2002, the SEC has adopted new rules for certifications and proposed many other new rules. The proposals cover financial…
ISSN:
1528-5812Online date, start – end:
2000 – 2021Copyright Holder:
Emerald Publishing LimitedEditor:
- Henry A. Davis