Journal of Investment Compliance: Volume 1 Issue 3

Regulation FD from the Perspective of the Market Analyst

David DeMuro, Howard Schneider, Edward H. Cohen

With all of the noise surrounding the promulgation of Regulation FD, It will be the subject of many articles and much analysis. This piece gives a background view of the origins…

Trends in Failure to Supervise Cases: Responding to Red Flags

Harry J. Weiss, Jolie F. Zimmerman

Supervision remains a significant issue in our regulatory framework. The cases surrounding this concept are ongoing and the law evolving. This article explores the newer “red…

Independent Contractor Broker‐Dealers: Reflections on Supervision

Robert G. Brunton, Michael K. Wolensky

Independent contractor broker dealers have been described as “one of the regulatory black holes.” This article seeks to identify common problems and issues relating to the…

NEW FORM ADV AND THE IARD: HOW WILL THE CHANGES AFFECT YOU?

David B. Berg

Beginning in January 2001, investment advisers registered with the Securities and Exchange Commission (“SEC”) will begin filing their registration forms electronically through the…

NASD Dispute Resolution Securities Mediation 2000: Survey Results

Kenneth L. Andrichik, Elizabeth A. McCoy

This is an exploration of the effectiveness of the NASD Dispute Resolution's mediation program from the user's point of view. There is a user survey that has been conducted to…

NASD Proposes Changes to Rule 2710 on Treating Securities as Underwriting Compensation

Dennis C. Hensley

The NASD has had a rule in place governing underwriting compensation, but with the expanded pace and types of services available, defining what falls into this category has proven…

Third‐Party Investigations and the Fair Credit Reporting Act

George R. Kramer

This article discusses a recent interpretation of the Fair Credit Reporting Act by the Federal Trade Commission. Under this interpretation, a range of potentially onerous…

SEC Adopts New Insider Trading Rules and Protection for Prearranged Trades

John H. Sturc, Ronald O. Mueller, Amy L. Goodman, Gillian McPhee

This article delves into the new rules concerning insider trading and protection for prearranged trades, which were adopted at the same time Regulation FD was adopted. This starts…