Journal of Investment Compliance: Volume 1 Issue 2

The SEC's Privacy Rule

BRANDON BECKER, YOON‐YOUNG LEE, FRANCA HARRIS

This article gives an in‐depth examination of the Securities and Exchange Commission's new Regulation S‐P. This rule implements the privacy requirements of last year's financial…

How Safe Is the Bank Secrecy Act Safe Harbor?

BETTY SANTANGELO, TIM O'NEAL LORAH

The blurring of the lines between banks, insurance companies and broker‐dealers continues. As we go to press, yet another merger has been announced. The application of the…

A Primer on the Perils and Pitfalls of Referral Arrangements

GERALD F. RATH, STEVEN W. HANSEN

The Securities and Exchange Committee has, in the recent past and continues, to pay particular attention to referral arrangements. The rules concerning the appropriate types of…

Effecting Client Transactions under the Investment Advisers Act

TERRANCE J. O'MALLEY, THOMAS J. SMITH

This article outlines, in a very practical manner, the various methods available to investment advisors when trying to effect securities transactions for their clients. The…

TRADE AGGREGATION, ALLOCATION AND IPOS ON THE SEC'S RADAR SCREEN

KAREN B. CLARK

One current and long‐term blip on the Securities and Exchange Commission's (SEC) radar screen is trade allocation, including the allocation of initial public offerings (IPOs). In…

Federal Validation of the Digital Dotted Line: The Electronic Signatures in Global and National Commerce Act

JAMES A. TRICARICA, STEPHEN I. WINER

The advent of the e‐commerce age has cried out for uniform rules to govern commercial transactions. The securities industry has obviously been on the front line of this change…

How to Regulate Global Markets

DANIEL M. SIBEARS

The future of self‐regulation in the securities industry is one of the most hotly debated topics around today. In a speech given in May at the International Organization of…