Journal of Investment Compliance: Volume 6 Issue 2

SEC approves NASD and NYSE uniform branch office definition for broker‐dealers

Charles S. Gittleman, Russell D. Sacks

To describe and to discuss the implications of the new National Association of Securities Dealers, Inc. (NASD) and New York Stock Exchange (NYSE) uniform branch office definition…

Certain broker‐dealers deemed not to be investment advisers: background, summary and status of new rule

Elizabeth C. Green

The aim of this article is to provide a description of the rule proposals and other events that preceded the SEC's adoption of the 2005 Final Rule, a summary of the terms of the…

Registered investment adviser compliance in a hedge fund environment

David E. Scott

The purpose of this article is to explore what the author believes to be some of the key challenges facing hedge fund managers that are preparing for registration with the…

The EU Market Abuse Directive: understanding the implications

Alan Mangelsdorf

To discuss the implications of the European Union Market Abuse Directive, which was adopted in December 2002, came into force at the close of 2003, and was adopted by member…

The New York Stock Exchange and cooperation: another precinct heard from

Ben A. Indek, Christian J. Mixter, E. Andrew Southerling

To discuss the implications of Information Memorandum No. 05‐65, issued on September 14, 2005, in which the NYSE's Division of Enforcement explains to the Exchange community its…

Securities offering reform proposal

David A. Sirignano, Stephen P. Farrell

To summarize changes to the communication, registration, and offering process under the Securities Act of 1933 as adopted by the Securities and Exchange Commission on June 29…

The perils of electronic communication: results of a financial services industry survey

Paul Johns

This article discusses the perils of electronic communication, the regulators' response to its proliferation, the findings of a recent survey by Orchestria, and the traditional…