Journal of Investment Compliance: Volume 2 Issue 1

Gramm‐Leach‐Bliley Review: Has the Promise of Less Regulation Led to More Rules?

Alan E. Sorcher

An overview of the Act and the implementing regulations—with most of the focus on the regulations and how they affect the securities industry, along with a review of its effect on…

Contesting Price‐Fixing Class Action Claims in Commodities Futures Markets

Steven Wolowitz, Scott E. Mortman

An analysis of the defense of these cases contrasting them to similar cases on the equity side. The authors explore some technical and real defenses that are uniquely applicable…

Are Self‐Regulatory Organizations State Actors? Two Recent Cases Take Contrasting Perspectives

Betty Santangelo, Margaret Jacobs

An analysis of two recent decisions concerning both the NASD and the NYSE involving determinations as to whether or not there are colorable claims that each SRO is acting in a…

SEC PROVIDES GUIDANCE ON INVESTMENT COMPANY PORTFOLIO VALUATION

Lawrence A. Friend, Anthony S. Evangelista

In a much anticipated letter to the Investment Company Institute (ICI) the Securities and Exchange Commission (SEC) on April 30, 2001, set out its position on certain portfolio…

Accounts Owned by Foreign Officials: Automatic Red Flags?

David Meister

A topical examination of the risks undertaken by United States financial institutions who undertake to carry accounts for foreign officials; with some helpful direction on…

The Road to Transparency: New SEC Order Disclosure Requirements

Joan L. Lavell

A basic primer on dealing with the SEC Order handling rules. There are several compliance deadlines that rapidly approach for these disclosure requirements.

Privacy Regulation in the United States and in Europe: Can a Firm Comply with Both?

Thomas F. Swift, Dennis C. Hensley

The author provides an examination and a comparison of the New Privacy rules under Regulation S‐P here in the United States with differing and conflicting rules in member states…

NASDR Takes a Stand on Online Suitability Standards

James A. Tricarico

This provides an introduction to the new notice issued by the National Association of Security Dealers Regulation with regard to the applicability of the suitability rule to…