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This paper seeks to explain Financial Industry Regulatory Authority (“FINRA”) Rule 4530, which requires members to report to FINRA certain internal and external findings of violative conduct and quarterly statistical and summary customer complaint information.

The paper explains the background and provides an overview of FINRA Rule 4530; analyzes key provisions of the Rule, including the way it differs from legacy NASD and New York Stock Exchange Reporting Rules; and discusses next steps for FINRA members.

FINRA Rule 4530 requires members to promptly report findings of internal and external violations and provides interpretive guidance regarding these requirements. The new Rule imposes obligations beyond those set forth in current NASD Rule 3070, requires reporting of internal findings, and alters the now familiar materiality standard applied to NYSE Rule 351(a).

The new Rule will require members to enhance their policies and procedures to address the reporting of internal findings to define potentially reportable violations, identify decision‐makers to assess potential violations, create or modify reporting escalation procedures, and institute appropriate controls over reporting. Members may want to review their internal audit processes to reflect the new guidance regarding reporting based on internal findings of violations.

The paper provides practical guidance from expert securities lawyers.

Critical thinking is a challenging term to describe but considered necessary for academic achievement, success in the global job market, and essential in developing a life-long learner (Dwyer, Hogan, & Stewart, 2012). Many definitions exist, but some of the components include the ability to analyse, reflect, judge, and strategise in a systematic way, to be able to solve problems (Dwyer et al., 2012). Some of the definitions, taxonomies, models, and theories of critical thinking have been built by Western culture, and the United States contributes information towards this Western approach (Nicholas & Raider-Roth, 2016; Wang, 2017). These definitions, taxonomies, models, and theories make a significant contribution to the pedagogical approaches to the teaching of critical thinking in the United States. This chapter details the structures that support the definitions of critical thinking and the history of the connections between critical thinking and classroom instruction in the United States.

Critical thinking is a necessary construct for twenty-first century learning and discussed in scholarly professional literature and popular media (Dwyer, 2017). The term is a part of the twenty-first century four Cs of learning: collaboration, communication, creativity, and critical thinking (Cunningham, 2018). The teaching of critical thinking can be challenging, and this chapter presents an overview of some helpful pedagogical approaches, including project-based learning, project-based design, e-learning, and active learning and descriptions of instructional pedagogy including the general, infusion, immersion, and mixed approaches (Abrami et al., 2008; Dwyer, 2017; Ennis, 1989; Marin & Halpern, 2011; Willingham, 2008). Quality assurance is an essential component in ensuring pedagogical approaches to critical thinking are effective. The contribution of core standards in the teaching of critical thinking in the United States will be discussed.

We seek to expand the disability theoretical toolkits of higher education scholars to include frameworks that view disability as multivalent. We start by describing limitations scholars can encounter when employing traditional medical, social, and minority frameworks. Then, we draw upon: (1) the temporal and fluid understandings of disability in critical disability theory, (2) the value critical realism gives to the body, impairment, and the environment, and (3) the work of Deaf epistemologies to call attention to the varied communication methods disabled college students use to encourage the use of frameworks that promote intersectional understandings that are authentic to lived experiences. We extend scholars’ toolkits by encouraging the use of frameworks that value diverse human neurology and draw attention to the hegemonic dominance of Western thought. We conclude by discussing four implications and two limitations for higher education scholars.

The purpose of this paper is to analyze to what extent and in what ways signaling theory has been explored within the field of international marketing. This paper systematically reviews the use of signaling theory in the field of international marketing. Communication is a core aspect of the international marketing process. Research in this field has explored effective and unique ways of improving the communication flow to reduce the asymmetry of information between international consumers and the firm. This notion is adopted, enhanced and strengthened by signaling theory. Signaling theory has recently received the attention of international marketing scholars.

The systematic review methodology was applied for the purpose of identifying the relevant studies. We extracted academic articles over the last 23 years from the domain of international marketing that directly contribute to signaling theory based on 57 journal articles extracted through the systematic review process.

Based on systematic research the results reveal that the topic has grown and continues to expand within the broader international marketing field. We offer a theoretical conceptual framework to better understand signaling theory in the context of international marketing.

The authors map and critically evaluate the use of signaling theory in international marketing. Relevance of signaling theory in international marketing is growing and authors present an integrative framework that organizes the existing literature, and provides scholars to further expand on emerging themes of the domain. The paper offers some useful future research directions.

This study aims to examine the ability of the social influence heuristics framework to capture skillful and creative social media influencer (SMI) marketing in long-form video content on YouTube for influencer-owned brands and products.

The theoretical lens was a framework of seven evidence-based social influence heuristics (reciprocity, social proof, consistency, scarcity, liking, authority and unity). For the methodological lens, a qualitative case study approach was applied to a purposeful sample of 6 SMIs and 15 videos on YouTube.

The evidence shows that self-promotional influencer marketing in long-form video content is relatable to all seven heuristics and shows signs of high elaboration, innovativeness and skillfulness.

The study reveals that a heuristic-based account of self-promotional influencer marketing in long-form video content can greatly contribute to the understanding of how various well-established marketing concepts (e.g. source attractivity) might be expressed in real-world communications and behaviors. Based on this improved, in-depth understanding, current research efforts, such as experimental studies using one video with a more or less arbitrary influencer and pre-post measure, are advised to explore research questions via designs that account for the observed subtle and complex nature of real-world influencer marketing in long-form video content.

This structured account of skillful and creative marketing can be used as educational and instructive material for influencer marketing practitioners to enhance their creativity, for consumers to increase their marketing literacy and for policymakers to rethink policies for influencer marketing.

Prior research has created a body of knowledge on influencer marketing. However, a conceptual disconnect has hampered the advancement of the field. The social influence heuristics framework is a highly functional conceptual bridge that links the qualitative and quantitative evidence and will advance the understanding of influencer marketing more effectively.

Describes an attempt to predict the value of private properties in the Stafford area from information typically available about the properties’ physical characteristics and location. Discusses the factors influencing property values, including the complicating effect of location, and attempts to build a predictive model using the statistical technique of multiple regression analysis, based on physical characteristics only and ignoring the effect of location. Makes further refinements to the predictions produced by incorporating an additional location effect modelled by means of surface‐fitting techniques within a geographical information system. The results, many of which are presented graphically, are shown to be a significant improvement on the location‐blind model. Offers suggested directions for further research and development of the technique.

Institutions are collective responses to collective concerns, with the underlying link between concern and response being the purpose of the institution. With this conceptual lens, we analyze the history of the Aktiengesellschaft (AG), which emerged in Austria and Germany around 1800. While any analysis of the organizational features of the form would have diagnosed marked stability over the past two centuries, our historical study reveals significant shifts of the AG’s purpose and meaning: from a vehicle in the service of the public interest, shareholders, and employees to a persona with legitimate self-interests and the will to survive. We suggest to regard such purpose drifts as distinct variant of institutional change. In addition, we conclude that the AG’s essentially political actorhood institutionalizes the ever fragile and delicate quest for a balance between the different legitimate interests on whose behalf a corporation acts (including those of the self). Such a view, we argue, can offer a future for the corporation as organizational form.

The sociology of education has various traditions which examine the connections between education, culture, and inequality. Two of these traditions, symbolic interactionism and critical theory, tend to ignore each other. This paper creates a dialogue between these traditions by applying symbolic interactionist (SI) and radical interactionist (RSI) sensibilities to an important study for resistance theory, Paul Willis’ classic ethnography Learning to Labor (1977). The SI reading of Learning to Labor emphasizes the importance of group interactions and the creation of meaning, while the RSI reading highlights how domination unfolds in social interaction. We argue that SI and RSI have much to offer Learning to Labor, as these readings can avoid some of the critiques commonly leveled on the book regarding the linkage between theory and data, structure and agency, and the book’s conceptualization of culture. Likewise, we argue that the data in Learning to Labor have much to offer SI and RSI, as the material provides grist to further understand the role of symbols in domination while identifying escalating dominance encounters that create a set of patterned interactions that we describe as a “grinding” social order.