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Article
Publication date: 4 September 2017

Bradley J. Bondi, Charles A. Gilman, Kimberly C. Petillo-Décossard, John J. Schuster and Sara Ortiz

To explain a recent US Securities and Exchange Commission (SEC) administrative proceeding targeting a broker-dealer as part of the Commission’s continuing efforts to enforce…

73

Abstract

Purpose

To explain a recent US Securities and Exchange Commission (SEC) administrative proceeding targeting a broker-dealer as part of the Commission’s continuing efforts to enforce anti-money laundering (AML) regulations and reporting.

Design/methodology/approach

This article explores the factual and legal contours of a specific SEC administrative proceeding to better understand the affirmative steps the Commission expects of financial service providers as it relates to AML activities and reporting.

Findings

Given the SEC’s current enforcement focus, it is critical that financial institutions conduct their activities with a clear understanding of the AML regulations, investigatory expectations and related reporting requirements associated with the provision of brokerage and advisory services to US clients and customers.

Originality/value

This article highlights the SEC’s continuing interest in broker-dealer AML policies and compliance and provides analysis from experienced lawyers with expertise in financial services, securities and white collar crime.

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Article
Publication date: 23 September 2019

Helene R. Banks, Bradley J. Bondi, Charles A. Gilman, Elai Katz, Geoffrey E. Liebmann, Ross Sturman and Nicholas S. Millington

To explain the rule changes in Nasdaq’s new Listing Rule IM-5315-1, approved by the US Securities and Exchange Commission (SEC) on February 15, 2019, that permit direct listings…

175

Abstract

Purpose

To explain the rule changes in Nasdaq’s new Listing Rule IM-5315-1, approved by the US Securities and Exchange Commission (SEC) on February 15, 2019, that permit direct listings on Nasdaq without an initial public offering, similar to the New York Stock Exchange (NYSE) rule changes approved in 2018.

Design/methodology/approach

Explains the legislative and regulatory background, historic limitations on direct Nasdaq listings, and de-tailed provisions of Nasdaq’s new Listing Rule IM-5315-1.

Findings

The direct listing alternative to an IPO may appeal to cash-rich companies that do not need the publicity or new capital associated with a traditional IPO.

Originality/value

Expert analysis from experienced securities litigation and corporate governance lawyers.

Details

Journal of Investment Compliance, vol. 20 no. 3
Type: Research Article
ISSN: 1528-5812

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Book part
Publication date: 11 July 2024

Graham Crow

Abstract

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The Emerald Guide to Ann Oakley
Type: Book
ISBN: 978-1-80071-561-5

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Book part
Publication date: 6 September 2021

Jane Garner

This chapter explores the provision of library services to children residing in juvenile justice facilities. The small body of scholarly literature published on the topic over the…

Abstract

This chapter explores the provision of library services to children residing in juvenile justice facilities. The small body of scholarly literature published on the topic over the last 50 years is examined, followed by a description of the findings of a recent Australian survey of juvenile justice library provision in that country. Australia presents a very poor example of the provision of library services to children living in correctional detention. A contrast to the Australian context is provided through a case study of the library service to the South Carolina Birchwood School, in the United States. Housed in the South Carolina Juvenile Justice Centre, the Birchwood School library is presented as an example of better practice and an illustration of what can be achieved by a juvenile justice facility library when it is sufficiently staffed and funded. Opportunities for further research are identified and conclusions are drawn regarding the need for libraries in juvenile justice facilities.

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Exploring the Roles and Practices of Libraries in Prisons: International Perspectives
Type: Book
ISBN: 978-1-80043-861-3

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Article
Publication date: 1 January 1989

Stuart Hannabuss

The management of children′s literature is a search for value andsuitability. Effective policies in library and educational work arebased firmly on knowledge of materials, and on…

1012

Abstract

The management of children′s literature is a search for value and suitability. Effective policies in library and educational work are based firmly on knowledge of materials, and on the bibliographical and critical frame within which the materials appear and might best be selected. Boundaries, like those between quality and popular books, and between children′s and adult materials, present important challenges for selection, and implicit in this process are professional acumen and judgement. Yet also there are attitudes and systems of values, which can powerfully influence selection on grounds of morality and good taste. To guard against undue subjectivity, the knowledge frame should acknowledge the relevance of social and experiential context for all reading materials, how readers think as well as how they read, and what explicit and implicit agendas the authors have. The good professional takes all these factors on board.

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Library Management, vol. 10 no. 1
Type: Research Article
ISSN: 0143-5124

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Book part
Publication date: 15 July 1991

Abstract

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Advances in Librarianship
Type: Book
ISBN: 978-0-12024-615-1

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Book part
Publication date: 26 July 2016

Mary Jo Deegan

This chapter challenges and augments the received view of the history of symbolic interaction at the University of Chicago. The history of the discipline’s development at the…

Abstract

This chapter challenges and augments the received view of the history of symbolic interaction at the University of Chicago. The history of the discipline’s development at the University of Chicago between 1889 and 1935 is well-known, especially the work of George Herbert Mead and John Dewey, sometimes called “the Chicago school of sociology” or symbolic interaction. But the Hull-House school of sociology, led by Jane Addams, is largely unknown. In this chapter I explore her founding role in feminist symbolic interaction. Her perspective analyzes micro, meso, and macro levels of theory and practice. Feminist symbolic interaction is structural, political, rational, and emotional, and employs abstract and specific models for action. Addams led a wide network of people, including sociologists, her neighbors, and other citizens, who implemented and institutionalized their shared visions. Addams led many controversial social movements, including the international peace movement, recognized in 1931 by the Nobel Peace Prize. “Feminist symbolic interaction” expands the scope of symbolic interaction by being more action-oriented, more political, and more focused on a successful social change model than the traditional approach to this theory. In addition, many new sociologists are added to the lists of important historical figures.

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The Astructural Bias Charge: Myth or Reality?
Type: Book
ISBN: 978-1-78635-036-7

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Book part
Publication date: 9 February 2024

Edith Kuiper

Hazel Kyrk, one of the first women economists at the Economic Department of the University of Chicago and author of A Theory of Consumption (1923), conducted groundbreaking…

Abstract

Hazel Kyrk, one of the first women economists at the Economic Department of the University of Chicago and author of A Theory of Consumption (1923), conducted groundbreaking research for the Bureau of Home Economics of the US Department of Agriculture and the Bureau of Labor Statistics. Kyrk made a considerable contribution to the development of standards for a “decent living,” the Consumer Price Index, and the conceptualization of what would later turn into the definition of the poverty line. This chapter evaluates Kyrk’s use of eugenic notions of gender and race that were widely used in Kyrk’s day. This chapter shows that eugenic reasoning impacts Kyrk’s theoretical work only superficially but does structure her research on consumption standards through her focus on the white middle-class family as the unit of analysis for consumer behavior. This chapter also makes clear that the American Institutionalist approach to consumer behavior, rather than marginalized and side-tracked due to a lack of theoretical progress, was relegated to the margins of economics science together with the research of women economists into Home Economics departments and policy research at government institutions.

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Research in the History of Economic Thought and Methodology: Including a Symposium on Hazel Kyrk's: A Theory of Consumption 100 Years after Publication
Type: Book
ISBN: 978-1-80455-991-8

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Book part
Publication date: 3 October 2006

Martin Ruef

Although recent public attention has focused on boom-and-bust cycles in industries and financial markets, organizational theorists have made only limited contributions to our…

Abstract

Although recent public attention has focused on boom-and-bust cycles in industries and financial markets, organizational theorists have made only limited contributions to our understanding of this issue. In this chapter, I argue that a distinctive strategic insight into the mechanisms generating boom-and-bust cycles arises from a focus on entrepreneurial inertia – the lag time exhibited by organizational founders or investors entering a market niche. While popular perceptions of boom-and-bust cycles emphasize the deleterious effect of hasty entrants or overvaluation, I suggest instead that slow, methodical entries into an organizational population or market may pose far greater threats to niche stability. This proposition is explored analytically, considering the development of U.S. medical schools since the mid-18th century.

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Ecology and Strategy
Type: Book
ISBN: 978-1-84950-435-5

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Article
Publication date: 18 June 2019

Roseline Barbara Easmon, Adelaide Naa Amerley Kastner, Charles Blankson and Mahmoud Abdulai Mahmoud

The purpose of this paper is to understand the direct impact of social capital and the influence of market-based capabilities as intervening variables on the export performance of…

1124

Abstract

Purpose

The purpose of this paper is to understand the direct impact of social capital and the influence of market-based capabilities as intervening variables on the export performance of small and medium-sized enterprises (SMEs) in Ghana.

Design/methodology/approach

Questionnaire-based survey was used to collect data from top executives and senior managers of exporting companies in Ghana. Data obtained were analysed using the structural equation modelling.

Findings

The findings revealed that social capital of SMEs exert the greatest influence on their export performance. Innovation and marketing capabilities are also key drivers of export performance among SMEs as they fully mediate the social capital–export performance relationship. Notwithstanding, marketing capabilities appear to exert a greater influence than innovation capabilities on the export performance of SMEs.

Research limitations/implications

The study used perceptual measures of international performance by managers of SMEs in the Ghanaian exporting sector making it difficult to determine respondent bias.

Practical implications

Managers of exporting firms should build stronger relationships with their customers and suppliers who contribute significantly to their export performance. SMEs would also have to hone their innovation and marketing skills as strategic components in enhancing their export performance.

Social implications

Market-based resources such as marketing and innovation should not be taken for granted by SMEs in the export business.

Originality/value

The study offers some lessons on how small firms can sharpen their marketing and innovation capabilities to derive export performance benefits from social capital. Theoretically, while the findings offer strong evidence reinforcing the DC theory, an exploration of the nexus of the theories brings to the fore the need to reassess the resource-based view and SC theories.

Details

African Journal of Economic and Management Studies, vol. 10 no. 3
Type: Research Article
ISSN: 2040-0705

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