Search results

To inform readers of new FINRA Rule 2165 and amended FINRA Rule 4512, which are aimed at protecting seniors from financial exploitation.

This article discusses the scope of the FINRA Rules and amendments, including provisions for temporary holds on disbursements of funds or securities and the revised National Adjudicatory Council (NAC) Sanction Guidelines, and provides the author’s analysis.

This article concludes that the while FINRA Rule 2165 and the accompanying amendments to FINRA Rule 4512 take the apparent position that financial professionals are an initial line of defense against exploitation, brokers could face challenges in implementing the changes, including with the decision-making discretion afforded to them with respect to the “reasonable belief” elements of the rules.

This article contains valuable information about recent FINRA Rules and guidance from an experienced investment management lawyer.

Workplace voice is well-established and encompasses behaviors such as prosocial voice, informal complaints, grievance filing, and whistleblowing, and it focuses on interactions between the employee and supervisor or the employee and the organizational collective. In contrast, our chapter focuses on employee prosocial advocacy voice (PAV), which the authors define as prosocial voice behaviors aimed at preventing harm or promoting constructive changes by advocating on behalf of others. In the context of a healthcare organization, low quality and unsafe patient care are salient and objectionable states in which voice can motivate actions on behalf of the patient to improve information exchanges, governance, and outreach activities for safer outcomes. The authors draw from the theory and research on responsibility to intersect with theories on information processing, accountability, and stakeholders that operate through voice between the employee-patient, employee-coworker, and employee-profession, respectively, to propose a model of PAV in patient-centered healthcare. The authors complete the model by suggesting intervening influences and barriers to PAV that may affect patient-centered outcomes.

This study aims to explore the impact of high-performance work systems (HPWS) on open innovation and the moderating role of information technology (IT) capability on the relationship between HPWS and open innovation.

This study conducted a questionnaire survey in the industrial parks of the Yangzi River Delta in China and obtained 108 useful responses.

HPWS positively impacts open innovation. IT exploration capability strengthens the relationship between HPWS and open innovation, whereas IT exploitation capability and ambidexterity do not strengthen such relationship.

Firms should use HPWS to improve employees' motivation of external learning and searching for enhancing innovation openness. They should acknowledge the enabling role of IT exploration capability in facilitating employees' learning and searching toward open innovation and discreetly develop IT exploitation capability and ambidexterity during external knowledge searching, which may not achieve the desired facilitation purpose.

This study contributes to human resource management (HRM) by suggesting that a new antecedent, which is HPWS in our case, should be taken into account when considering the influence of HRM in the process of open innovation. This study has important implications for HPWS, IT capability and open innovation; open innovation can be improved by using HPWS and IT capability. This study also expands IT ambidexterity to HRM and innovation studies.

The purpose of this paper is to provide a selected bibliography of recent resources on library instruction and information literacy.

Introduces and annotates periodical articles, monographs, and audiovisual material examining library instruction and information literacy.

Provides information about each source, discusses the characteristics of current scholarship, and describes sources that contain unique scholarly contributions and quality reproductions.

The information may be used by librarians and interested parties as a quick reference to literature on library instruction and information literacy.

Endeavoring to expand their global market presence, firms often launch products into emerging markets where managers face the daunting task of deploying products by managing available, and often limited, supply chain resources. Yet, literature has not empirically examined managerial resource orchestration in this context. Accordingly, by embedding resource orchestration theory (ROT) into the emerging market context, the authors offer middle-range theorizing on supply chain resource orchestration (SCRO) and empirically test how acquiring, bundling and leveraging activities impact new product launch performance.

The authors test the model by analyzing empirical data from 175 individual product launches into emerging markets using a survey methodology.

The authors’ results suggest that SCRO holds the promise of being a viable middle-range theory in the supply chain field, especially where managers face limited resources and must “work with what they have to do what they can.”

The authors’ study also has some limitations. First, because a panel data service company was used to collect the data, the authors were not provided with any information regarding the respondents' company names or other identifying data. Second, because the authors did not directly interact with the respondents nor were the authors able to contact multiple individuals from their respective organizations, the study was limited to a single-respondent design. However, to counter issues associated with single-response bias, the central constructs in the study referenced phenomena related to a specific product launch project as opposed to constructs at the firm or inter-firm relational level.

The authors’ results reveal that SCRO activities can enhance the performance of new product launches, even in resource-starved emerging market contexts.

The results validate measures for several of the SCRO processes (i.e. supply chain resource acquisition, supply chain resource bundling and supply chain leveraging) and provide evidence that supply chain resource bundling and supply chain leveraging mediate the relationship between supply chain resource acquisition and product launch performance. Further, soft logistics infrastructure is found to be an important boundary condition for these relationships.

Innovative behavior is a microfoundation of an organization’s innovation. Knowledge workers are the main creators of innovations. With the boundaries between work and family becoming increasingly ambiguous, the purpose of this study is to explore how the work–family conflict affects knowledge workers’ innovative behavior and when such a conflict arises.

To test the theoretical model, this study collected data from a time-lagged matched sample of 214 dual-career couples. The data were analyzed with the bias-corrected bootstrapping method.

The results of this study showed that work-to-family conflict had not only a direct negative effect on knowledge workers’ innovative behavior but also an indirect effect through spouses’ within-family emotional exhaustion and knowledge workers’ family-to-work conflict. If wives’ gender role perceptions are traditional, then the indirect serial mediating effect is weakened, but if such perceptions are egalitarian, then the mentioned effect is aggravated.

In terms of organizational implications, managers could alter their approach by reducing detrimental factors such as work–family conflict to improve knowledge workers’ innovative behavior. Emotional assistance programs for both knowledge workers and their spouses can be used to prevent the detrimental effect of work–family conflict on innovative behavior. As to social implications, placing dual-career couples into a community of likeminded individuals and promoting their agreement on gender role identity will greatly reduce the negative effects of work–family conflict.

Starting from the perspective of the behavior outcome of knowledge management, this study advances the existing knowledge management literature by enriching the antecedents of knowledge workers’ innovative behavior, illuminating a spillover–crossover–spillover effect of work–family conflict on knowledge workers’ innovative behavior and identifying the boundary condition of this transmission process.

The second in a new series about mental health in old age, this article reviews policies and research evidence on services for people with dementia at the end of their lives, and looks at future commissioning priorities

This year’s annual bibliography includes materials reflecting various aspects of library instruction and information literacy. The academic literature continues to generate the greatest number of citations in these areas, but a small increase in the special libraries area was noted for 2000. The themes of standards for information literacy and assessment were apparent in all areas of the literature.