| 1754010 |
International initiatives in market regulation: the storm before the calm?
Chuck Grieve, Simon Gleeson, Simon Crown
(pp. 5-8)
Keywords:
Banks,
Economic cycles,
Financial markets,
Financial services,
Regulation
ArticleType: Technical paper
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(43 KB)
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| 1754011 |
Pitfalls for non-US financial institutions undertaking business in the US
Chuck Grieve, Tim Plews, Thomas Pax, Robert Houck
(pp. 9-12)
Keywords:
Banks,
Financial services,
United States of America
ArticleType: Technical paper
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(43 KB)
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| 1754012 |
SEC holds round-table on fair value accounting and auditing standards
Thomas J. Friedmann, Anthony H. Zacharski, Margaret A. Bancroft, Roger Mulvihill, Susan A. Reading, Robert J. Williams, Alan Rosenblat
(pp. 13-17)
Keywords:
Accountants,
Auditing,
Financial reporting,
Investors,
United States of America
ArticleType: Technical paper
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(59 KB)
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| 1754013 |
SEC provides guidance regarding use of company web sites to disclose information for investors
Laurence S. Lese, Azim Chowdhury
(pp. 18-21)
Keywords:
Companies,
Disclosure,
United States of America
ArticleType: Technical paper
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(47 KB)
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| 1754014 |
SEC proposes mandatory use of XBRL tagging of financial statements
Peter J. Romeo, Richard J. Parrino, Julie A. Bell
(pp. 22-26)
Keywords:
Financial reporting,
Investors,
Markup languages,
United States of America
ArticleType: Technical paper
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(48 KB)
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| 1754015 |
SEC proposes guidelines for directors overseeing mutual fund portfolio trading
Bibb L. Strench
(pp. 27-32)
Keywords:
Compensation,
Investments,
Regulation,
United States of America
ArticleType: Technical paper
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(56 KB)
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| 1754016 |
SEC staff highlights areas of focus in broker-dealer, investment adviser and investment company exams
Margaret R. Blake
(pp. 33-38)
Keywords:
Bonds,
Financial control,
Insurance companies,
Regulation
ArticleType: Technical paper
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(56 KB)
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| 1754017 |
President's working group committee reports weigh in on side letters
Lior J. Ohayon, Terisa H. Lee
(pp. 39-41)
Keywords:
Disclosure,
Financial reporting,
Investors,
United States of America
ArticleType: Technical paper
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(39 KB)
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| 1754018 |
CFTC Reauthorization Act of 2008 enacted into law
Susan C. Ervin, Philip T. Hinkle, Brendan C. Fox, Alan Rosenblat
(pp. 43-47)
Keywords:
Commodity markets,
Financial control,
Regulation,
United States of America
ArticleType: Technical paper
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(52 KB)
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| 1754019 |
Pleading scienter after Tellabs in Section 10(b) cases generally and in the “subprime” context
Caryn Jacobs, Jeffrey M. Strauss, John J. Tharp Jr, Katherine Agonis
(pp. 48-67)
Keywords:
Securities markets,
Supreme courts,
United States of America
ArticleType: Technical paper
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(137 KB)
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| 1754020 |
Removal of class actions filed in state court alleging federal securities law violations
Caryn Jacobs, Jeffrey M. Strauss, John J. Tharp Jr, Katherine Agonis
(pp. 68-78)
Keywords:
Financial control,
Supreme courts,
United States of America
ArticleType: Technical paper
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(88 KB)
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| 1754021 |
Summary of selected FINRA regulatory notices, July-August 2008
Henry A. Davis
(pp. 79-91)
Keywords:
Financial markets,
Regulation,
Securities markets,
United States of America
ArticleType: Technical paper
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(90 KB)
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