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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.

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.

The purpose of this paper is to explain the incompatibility of anti‐money laundering (AML) and counter‐terrorist financing (CTF) measures as a hasty over‐reaction after 9/11, focusing on the compliance burdens that this imposes on the regulated sector, most notably financial institutions.

This paper explains the fundamental differences between money laundering and terrorist financing. It follows the evolution of the marriage between AML and CTF measures in the USA and the UK, comparing the pre and post‐9/11 phases. Consequently, the specific legal burdens placed on financial institutions as a result of this marriage are discussed.

The paper, while recognising the importance of targeting terrorist money, contends that inherent differences exist between money laundering and terrorist financing, and fusing them together is a hasty reaction to the 9/11 attacks. It argues that the need of the hour is to focus on terrorist profiling, rather than attempting to target terrorist financing through the AML regime. It also concludes that financial institutions are unfairly burdened with the task of “suspecting” terrorist funds, while receiving little or no guidance in this respect.

This paper is of value to governments, regulators, and financial institutions considering the effective implementation of the AML‐CTF regime in the UK and the USA.

The purpose of this paper is to explore the effects of USA Executive Order 13224, one of the most important US counter‐terrorist finance measures, on corporations operating in countries with designated terrorist organizations.

The effects of Executive Order 13224 are focused on the case of Chiquita Brands International, a major US banana‐exporting corporation that operated in Uraba, Colombia until 2004. The US Government prosecuted Chiquita for “engaging in transactions” with an illicit, Colombian paramilitary group considered by the US a Foreign Terrorist Organization and as a specially‐designated global terrorist. This paper presents the duress defense that Chiquita could have raised at trial under US federal law.

Executive Order 13224 was drafted hastily and under pressure leading to over‐inclusive language and over‐broad implementation. Chiquita's case suggests that Executive Order 13224, drafted with the intention of reducing terrorist funding, has made it possible for an extortion victim to be prosecuted for payments it has not chosen to make. This paper will suggest narrowly tailoring the language of Executive Order 13224 or providing an exculpatory provision.

Counter‐terrorist finance measure Executive Order 13224 has not been sufficiently examined by scholars. Research on this topic should go hand in hand with enquiry into possible defenses for corporations operating in countries with designated terrorist organizations and having to make extortion payments.

Suggestions are put forward for corporations operating in countries with designated terrorist organizations as well as for drafters of counter‐finance terrorist measures.

Although the designation of terrorist organizations under the executive order has been discussed, few scholars have addressed cases of over‐broad application of the executive order. The unexamined case of Chiquita is a unique case in that the extortion victim, and not the extortion perpetrator, is prosecuted. Also, Chiquita was prosecuted for an activity (making extortion payments to the Autodefensas Unidas Campesinas that became a crime after Chiquita began its engagement with such an activity. Furthermore, examining this case thoroughly is important because it has repercussions on at least two public policy levels: the US' War on terrorism and the rights and remedies of corporations investing in countries with designated terrorist organizations.

Absent Chief Entrepreneur/Intrapreneur (‘Ntrepreneur) Officer (CNO) Churchill’s un wavering commitment of significant resources to the unproven radar (Decision to Dare) as early as the autumn of 1937, Great Britain would have not survived as a nation: No country survival. Absent Watson, Jr.’s unwavering determination to push IBM into computers, launching in 1951 the Defense Calculator, which at $3 million “was by far the most expensive project in IBM history,” IBM would not have survived: No corporate survival. From the [rather flimsy] briefing by Dr. R.V. Jones weaving fact and fancy, how did Churchill draw the firm conclusion that radar would be invented; and risk rewriting the entire plans for the air defense of Great Britain around radar? How did Watson, Jr. dismiss the unanimous recommendation of IBM’s 18 best systems experts that magnetic tape had no place at IBM; and launch the most expensive project at IBM to break into the unknown field of computers? Based on first‐person narratives, how could the single input of relatively flimsy data produce as the output, the certain realization of a futuristic technology? The most‐cited work on the psychology of decision‐making (Kahneman‐Tversky) is seen to be in applicable. Sigmund Freud’s Self‐Analysis offers a method of systematic introspection/ret rospection. We develop an established sequence of ordered procedures (Protocol) of memory management (Memory Management Disequilibria Dimensions (MD2) Protocol) which applies equally well to both the country and corporate survival decisions, and offers some suggestions to improve Memory Management for Decisions to Dare.

This paper aims to quantify the relative importance of reasons used to explain consumers’ selection and rejection of ethical products, accounting for differences in ethical orientations across consumers.

Reviewing previous literature and drawing on in-depth interviews, a taxonomy of reasons for and against ethical purchasing is developed. An online survey incorporating best–worst scaling (BWS) determines which reasons feature more in shaping ethical consumerism. Cluster analysis and multinomial regression are used to identify and profile segments.

Positively orientated consumers (42 per cent of respondents) purchase ethical products more so because of reasons relating to impact, health, personal relevance, and quality. Negatively orientated consumers (34 per cent of respondents) reject ethical alternatives based on reasons relating to indifference, expense, confusion and scepticism. A third segment is ambivalent in their behaviour and reasoning; they perceive ethical purchasing to be effective and relevant, but are confused and sceptical under what conditions this can occur.

Preferences were elicited using an online survey rather than using real market data. Though the task instructions and methods used attempted to minimise social-desirability bias, the experiment might still be subject to its effects.

Competitive positioning strategies can be better designed knowing which barriers to ethical purchasing are more relevant. The paper challenges the benefits in altruistic-based positioning and outlines shortcomings in communication about ethical products, including those relating to product labelling.

Through their purchase behaviours across a number of categories, ethical consumers aim to minimise the harm and exploitation of humans, animals and the natural environment. This research provides insights into the potential reasons why the uptake of ethical products is not being achieved and how it can be addressed to make improvements in making this movement more mainstream.

This research examines an extensive list of reasons for and against ethical purchasing used by a general population of consumers. By forcing respondents to make trade-offs, this is the first study quantifying the relative importance of reasons utilised by consumers. It also highlights the value in using cluster analysis on best–worst scores to identify underlying segments.

In spite of the increased interest of academics, there has not been a thorough examination of the actors and factors of accessible tourism (AT) development. The purpose of this study is to investigate the relationships between stakeholders’ attitudes, collaborative intervention and corporate sustainability and responsibility (CS&R) and the implementation of accessible tourism (IAT).

Focus group discussion, an expert content validity test and structural equation modelling were all used as part of a mixed-methods approach. At the longest sea beach in the world, located in Bangladesh, data was collected from the tourism stakeholders using an on-site questionnaire survey.

Stakeholders’ attitude is significantly related to their collaborative intervention, but accessibility inclusive corporate substantiality and responsibility (AICSR) mediates the relationships between attitude and implementation, as well as collaborative intervention and implementation. As a result, AICSR is identified as a key driver in the IAT.

Purposive sampling was used to select stakeholders from Bangladesh’s most popular tourist destination. Nonetheless, the statistically valid model of this exploratory study can be tested for generalization in other contexts with a large sample size. The findings will bring diverse stakeholders to light and encourage barrier-free tourist growth that could improve the destinations’ comparative advantage and competitiveness.

This study is, to the best of the authors’ knowledge, one of the first studies to use rigorous quantitative methods to investigate AT implementation with a focus on CS&R. It adds to the existing AT literature by providing a scale and model of IAT while highlighting the extent to which AT can be implemented within CS&R.

尽管学术界对无障碍旅游发展的参与者和因素越来越感兴趣, 但还没有相关研究对此领域进行彻底的调查。本研究的目的是调查利益相关者的态度、协作干预、企业可持续性和责任 (CS&R) 与实行无障碍旅游 (IAT)之间的关系。

本文采用的混合研究方法包括了焦点小组讨论、专家内容有效性测试和结构方程模型 (SEM)。在位于孟加拉国的世界上最长的海滩上, 我们通过现场问卷调查从旅游利益相关者那里收集了数据。

利益相关者的态度与其协作干预显著相关, 但企业可持续性和责任的无障碍包容性（AICSR）在态度与实施以及协作干预与实施之间的关系中起中介作用。因此, AICSR 被确定为实施无障碍旅游的关键驱动力。

立意抽样法用于从孟加拉国最受欢迎的旅游目的地选择利益相关者。尽管如此, 该探索性研究的统计有效模型可以在具有大样本量的其他情况下进行泛化测试。调查结果将揭示不同的利益相关者, 并鼓励无障碍的旅游增长, 从而提高目的地的比较优势和竞争力。

本文是最早以CS&R为重点, 使用严格的定量方法调查实行无障碍旅游的研究之一。它通过提供 IAT 的规模和模型来补充现有的无障碍旅游文献, 同时强调无障碍旅游可以在 CS&R 中实施的程度。

A pesar del creciente interés de los académicos, no se han examinado a fondo los actores y factores del desarrollo del turismo accesible. El propósito de este estudio es investigar las relaciones entre las actitudes de los actores, la intervención colaborativa y la sostenibilidad y responsabilidad corporativa (RSC) y la implementación del turismo accesible (ITA).

El estudio utiliza un enfoque de métodos mixtos que incluye una discusión de grupo focal, una prueba de validez de contenido de expertos y un modelo de ecuaciones estructurales (MEE). En la playa marítima más larga del mundo, situada en Bangladesh, se recogieron datos de los agentes turísticos mediante una encuesta con cuestionario in situ.

La actitud de las partes interesadas está significativamente relacionada con su intervención colaborativa, pero la sustancialidad y la responsabilidad corporativa inclusiva de la accesibilidad (SRCIA) media las relaciones entre la actitud y la implementación, así como la intervención colaborativa y la implementación. Como resultado, la SRCIA se identifica como un factor clave en la implementación del turismo accesible.

Se utilizó un muestreo discrecional para seleccionar a las partes interesadas del destino turístico más popular de Bangladesh. No obstante, el modelo estadísticamente válido de este estudio exploratorio puede probarse para su generalización en otros contextos con una muestra grande. Las conclusiones mostrarán diversos grupos de interés y fomentarán el crecimiento del turismo sin barreras que podría mejorar la ventaja comparativa y la competitividad de los destinos.

Se trata de uno de los primeros estudios que utilizan métodos cuantitativos rigurosos para investigar la implantación del turismo accesible centrándose en la RSC. Contribuye a la bibliografía existente sobre turismo accesible al proporcionar una escala y un modelo de ITA, al tiempo que pone de relieve hasta qué punto se puede implementar el turismo accesible dentro de la RSC.