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To explain two new Financial Industry Regulatory Authority (FINRA) rule provisions, effective February 5, 2018, that were designed to provide firms with more effective…
To explain two new Financial Industry Regulatory Authority (FINRA) rule provisions, effective February 5, 2018, that were designed to provide firms with more effective tools to address suspected financial exploitation of seniors and other vulnerable adults, a new Rule 2165, Financial Exploitation of Specified Adults, and an amended Rule 4512, the “Trusted Contact Person” amendment.
Mentions FINRA’s and US Securities and Exchange Commission’s (SEC’s) longstanding concern about schemes targeting the financial assets of seniors. Provides an overview of the rule changes, including the safe harbor under Rule 2165, which specifies the conditions under which it is permissible for a firm to place a temporary hold on a disbursement, the obligations generated by the decision to place such a temporary hold, and the requirement under amended Rule 4512 for a firm to make reasonable efforts to obtain the name and contact information of a Trusted Contact Person (TCP) for each non-institutional customer’s account.
The new FINRA rule provisions create obligations for firms and also provide firms with optional additional tools to address potential financial exploitation of certain customers.
Firms should be mindful that they must develop appropriate procedures, controls, and training around the authority to place a temporary hold on a customer disbursement.
This article contains valuable information about recent FINRA rule changes and practical guidance from experienced securities lawyers.
The purpose of this paper is to examine libraries’ responsibility to engage with and support communities of color as they challenge systemic racism, engage in the…
The purpose of this paper is to examine libraries’ responsibility to engage with and support communities of color as they challenge systemic racism, engage in the political process, and exercise their right to free speech. Many libraries have ignored the Black Lives Matter (BLM) movement, citing the need to maintain neutrality. Despite extensive scholarship questioning the validity of this concept, the framing of library neutrality as nonpartisanship continues. This paper examines librarianship’s engagement with, and disengagement from black communities through the lens of the BLM movement. It also explores the implications of education, engagement, and activism for people of color and libraries today.
The authors have engaged the topic from a critical race perspective as a practice in exercising voice – telling stories, presenting counterstories, and practicing advocacy (Ladson-Billings, 1998).
The assertion that libraries have been socially and politically neutral organizations is ahistorical. When libraries decide not to address issues relevant to people of color, they are not embodying neutrality; they are actively electing not to support the information and service needs of a service population. In order for libraries to live up to their core values, they must engage actively with communities, especially when those communities are in crisis.
As a service field, librarianship has an ethos, values, and history that parallel those of many other service fields. This paper has implications for developing understanding of questions about equitable service provision.
The purpose of this paper is to examine the capacity for trade unions to mobilise internationally by considering how stevedores in Australia successfully internationalised…
The purpose of this paper is to examine the capacity for trade unions to mobilise internationally by considering how stevedores in Australia successfully internationalised a major dispute.
The paper reports the findings of a single case study of the “waterfront dispute” of 1998, an industrial dispute in the Australian stevedoring industry which included the mobilisation of unions internationally. This case study is one of the four cases in a PhD research project, which examined international trade union activity in the mining, manufacturing, banking and stevedoring industries. The methodology included semi‐structured interviews with trade union leaders and activists, as well as document analysis, and involved comparative analysis across the four case studies.
Australian stevedores or “wharfies” were well placed to mobilise internationally due to a combination of internal and external factors. In particular, the Maritime Union of Australia's long‐standing support for international causes, largely due to its left‐wing, internationalist politics, resulted in the union gaining significant support from unions internationally. Important external factors included the nature of the stevedoring industry, with its organic link to other industry sectors, combined with the neo‐liberal approach adopted in Australia which also influenced the internationalisation of the union campaign.
The study provides the opportunity to consider capacity for international mobilisation in the stevedoring industry and the contingent nature of international campaigns, with wider implications for union strategies in other industry sectors.
The paper contains an in‐depth analysis of a major dispute in the Australian stevedoring industry and makes a significant contribution to the expanding literature on the internationalisation of union campaigns and union strategy.