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To explain FINRA’s new 529 Plan Share Class Initiative, which encourages broker-dealers to self-report violations.

This article provides an overview of 529 plans, the various fee structures of the underlying investment funds, and guidance that broker-dealers should tailor their recommendations to the needs of the individual customer. The article discusses FINRA’s initiative for broker-dealers to self-report if they have violations in this area. It describes various supervisory failures brokerage firms may experience in connection with recommending 529 plans, eligibility for the self-reporting initiative and benefits of self-reporting.

This FINRA initiative provides an opportunity for firms to reflect on their supervisory systems and provide restitution to harmed customers. It also provides relevant fee-based investment information to customers.

529 plans are valuable tax-advantaged tools to encourage saving for the future educational expenses of a designated beneficiary. If brokerage firms lack reasonable supervisory procedures to recommend appropriate investments based on the length of the investment horizon, this FINRA initiative provides a unique and limited opportunity for firms to assess their supervisory systems and procedures governing 529 Plan share-class recommendations, to identify and remediate any defects, and to compensate any investors harmed by supervisory failures, while possibly avoiding fines for such conduct.

Expert guidance from experienced financial services regulatory and public finance lawyers.

This chapter aims at discussing sustainable development goals (SDGs) and entrepreneurship from an economic and social perceptive. More specifically, this chapter aims at discussing the challenges facing small & medium enterprises (SMEs) applying the goal of ensuring sustainable consumption and production patterns to their day-to-day operations. In this chapter, a synthesis of a field of research related to sustainable developmental goals SDGs and SMEs is provided, with a focus on entrepreneurs who believe their SME needs to act as a “good corporate citizen” with the responsibility to (1) sustain the environment for future generations and (2) care about the well-being of society at large. This field of research is presented to identify important opportunities and challenges for entrepreneurs with SDGs within a Multiple Framework Approach.

The tragedy of the War has come very close to librarians in the death of Mr. W. G. C. Gladstone, M.P., from wounds received in action in Flanders on April 14th. About two years ago he became interested in the new Libraries Bill, and took charge of it in the House of Commons. He worked assiduously, and his historic name, and his genial, unaffected manner won over men on all sides of the House, insomuch that the backers of the Bill included members of every political complexion. War has intervened, and prevented the Bill's progress, and now our Parliamentary leader has given his life for a greater cause. Regret for his loss is widespread throughout the country, and no one will feel it more keenly than librarians.

This paper contributes to the development of the knowledge management and human resource management literatures through developing the linkages between them. Increasingly it is being acknowledged that the success of knowledge management initiatives is fundamentally predicated on having workers who are prepared to share their knowledge. It is suggested that HRM concepts and frameworks could be utilized to improve our understanding of what shapes the willingness (or reluctance) of workers to share their knowledge. Specifically the paper considers how the motivation of workers to share their knowledge may be shaped by their level of organizational commitment. Guest and Conway’s model of the psychological contract is modified to link commitment with knowledge‐sharing attitudes and behaviours. Finally, it is suggested that, if commitment is linked to knowledge‐sharing attitudes, then the apparently low commitment levels reported by a number of surveys may mean this represents a key problem for knowledge management initiatives.

The purpose of this paper is to present a literature review on human factors in aircraft maintenance and to analyze and synthesize the findings in the literature on human factors engineering in aircraft maintenance.

The review adopts a threefold approach: searching and collecting the scientific literature; sorting them on the basis of relevance and applications; and review of the scientific evidences. Broad areas of aircraft maintenance regulations are identified and each area was explored to study the level of scientific growth and publications. Notable theories, models and concepts are being summarized.

Application of human factor principles in aviation spread beyond the technical arena of man-machine interface. The discipline has created a great impact on aircraft design, operations and maintenance. Its applications have percolated into design of aircraft maintenance facilities, task cards and equipment. Human factor concepts are being used for maintenance resource management. The principles are applied to shape the safety behavior and culture in aviation maintenance workplace. Nevertheless, the review unfolds immense potential for future research.

Research outcomes of non-aviation studies are also reviewed and consolidated to extend the applications to the aviation industry.

This review would be a consolidated source of information confining to the physical aspect of human factors engineering in aircraft maintenance. It is intended to serve as a quick reference guide to the researchers and maintenance practitioners.

It brought out the benefits of adopting the principles of human factor engineering in aircraft maintenance. Application of human factor philosophy ensures enhanced safety in air transport, personal safety and well-being of maintenance personnel.

This is a unique review based on aircraft maintenance regulations that are baseline performance standards made mandatory by regulatory authorities. Therefore, the review has been considered to be made on aircraft maintenance regulatory requirements that surpass corporate or competitive strategies in aviation maintenance organization.

This paper aims to study the correlation between knowledge management (KM) enablers and performance indices of KM.

Referring to the literature reviews, it attempts to construct the KM process performance index, analyze its importance, and further analyze a company's characteristics, the relationship between KM enablers with the importance of the KM process performance index, and try to adopt four KM enablers as independent variables. Lastly, it intends to explore whether the relationship between the importance of the KM process performance and financial performance indices affects the importance of the financial performance index.

Among KM enablers, the factor strategy and leadership appears to be one of the most significant positive relationships among all of the KM process performance indices. The importance of performance indices in knowledge creation and knowledge internalization on the operational and customer sides show a positive, significant relationship in the importance of the financial performance index.

With the constraint of the number of samples, this study does not construct the KM process performance indices of every industry category or strategy.

The main contribution of the paper is that it explores the causes that influence KM process performance indices, and this enriches empirical research literatures in the domain of the KM process performance indices.

This paper aims at identifying segments among knowledge management (KM) practitioners and analyzes whether performance varies across these segments. The field of KM aims at enhancing performance through knowledge practitioners. However, not all KM implementations have similar outcomes.

A literature review is conducted through secondary sources. Based on the themes identified for research, qualitative research through a focus group discussion (FGD) and personal interviews is used to explore the themes. This is used to develop a conceptual KM framework. An instrument is developed which is tested for validity and reliability. The instrument is administered to respondents and 313 responses are obtained. Convenience sampling is used to select the respondents. Further, k-means cluster is used to identify segments among KM practitioners. A one-way analysis of variance (ANOVA) test is conducted to determine if the average scores of KM constructs varied between the three clusters. Further, ANOVA test is also used to analyze whether organizational and financial performance scores vary between the three clusters. Post hoc test is used to determine the extent of variation between cluster pairs.

The results show that the sample comprises three segments which were subsequently labeled as active, partly and passive KM practitioners. It was found that active KM practitioners scored highest on various KM constructs, passive KM practitioners scored the least and partly KM practitioners had scores in between the two. One-way ANOVA results showed that the average scores of KM constructs varied significantly between the three clusters. The results show that a significant difference is found in organizational as well as financial performance between any two cluster pairs.

The sample comprises 313 respondents, of which around 65 per cent are from services industry and 67 per cent from private sector. A higher representation from public sector and manufacturing industry would have made the comparison more meaningful. The findings are based on data collected from India, and therefore, the results may not be generalizable to all economies.

The three clusters identified from the sample data may help organizations who have initiated the KM process to benchmark themselves with the obtained clusters and identify the trust areas important to their KM initiative.

The study builds upon both qualitative methodology through FGD and personal interviews and quantitative methodology through questionnaire and surveys. This comprehensive coverage of KM constructs and identification of respondent clusters is insightful. It also provides researchers useful means to enhance performance through KM within clusters.

Knowledge and technology transfer (KTT) and particularly academic entrepreneurship (Klofsten and Jones-Evans, 2000) are indispensable for economic growth and wealth creation. In many European countries including Germany, substantially fewer women than men participate in KTT. Recently, decision makers from scientific, political, and commercial organisations have increased their attention to the gender dimension (e.g. Moser, 2007; Schiebinger, 2013). The purpose of this paper is to evaluate in what ways and to what degree gender is currently integrated in German KTT.

By following an abductive approach (Suddaby, 2006) and building upon existing models (Klofsten and Jones-Evans, 2000; Carlsson et al., 2002; Lundvall, 2010), the authors developed an analytical framework for evaluating the position of the gender dimension in KTT, conducted a comprehensive literature review, and 22 key informant interviews.

The findings indicate that the gender dimension is barely integrated in German KTT, which particularly manifests itself through the fact that there are fewer than 10 per cent women among academic entrepreneurs. Current organisational practices and attitudes of decision makers continue to reinforce traditional gender roles and “typically male” approaches and behaviours (Connell, 2005; Redien-Collot, 2009).

The authors were the first to synthesise a variety of sources into one unified framework and to rigorously analyse the gender dimension in German KTT – both quantitatively and qualitatively and on different levels. This framework can help decisions makers, both in- and outside of Germany, re-envision KTT practices, and create new opportunities for its diverse participants.

This study aims to explore the challenges to knowledge sharing (KS) in the context of public sector universities in developing countries. Furthermore, it explores why knowledge hoarding behaviour is flourishing even when employees are encouraged to share their knowledge in organisations and are rewarded for doing so.

Research data were collected from vice chancellor, registrar, professors, assistant professors and lecturers using an interview technique. They shared their knowledge, expertise, experiences and understanding about issues relating to KS practices in public universities. These interviews were thematically analysed using the NVivo 11-Plus software and different themes emerged.

The results reveal that hoard knowledge to gain power, authority, influence, promotion opportunities and employee favouritism negatively influence KS practices. Furthermore, an unsupportive culture and a poor linkage between KS and rewards negatively influence KS practices in public sector universities.

The present study aids academic leadership in designing policies and strategies to enhance KS among faculty staff and to create a supportive KS culture. These results are useful for top management officials of public sector universities, especially in developing countries, and for policy makers, who can plan and execute effective policies to foster KS behaviour.

The originality can be viewed as a new window open towards the motivation of the university staff to hoard their knowledge instead of sharing it. This study gives the novel conceptual model based on why people do not share their knowledge and how KS practices can be fostered among the employees in public sector universities. Few studies have been conducted to explore KS issues in the real context of developing countries, and specifically in the Asian culture.