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Article
Publication date: 1 July 2021

Jennifer Morton, Russell Sacks, Jenny Ding Jordan, Steven Blau, P. Sean Kelly, Taylor Pugliese, Andrew Lewis and Caitlin Hutchinson Maddox

This article provides a resource for traders and other market participants by providing an overview of certain automatic circuit breaker mechanisms and discretionary powers that…

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Abstract

Purpose

This article provides a resource for traders and other market participants by providing an overview of certain automatic circuit breaker mechanisms and discretionary powers that the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and the U.S. president, as applicable, can exercise to pause or stop the trading of individual securities or trading activities across exchanges during extreme market volatility, each of which can cause interruptions to trading activity.

Design/methodology/approach

This article surveys automatic and discretionary mechanisms to halt trading activity under extreme market conditions. In particular, the article examines automatic cross-market circuit breakers, limit up-limit down pauses, the alternative uptick rule, as well as discretionary authority to stop short selling of particular securities and to stop trading across exchanges.

Findings

The article concludes that market participants must be cognizant not only of automatic cross-market circuit breakers, but also several other forms of potential market disruptions that may occur due to increased market volatility during the COVID-19 pandemic and beyond.

Originality/value

By exploring various mechanisms that respond to market disruption, this article provides a valuable resource for traders and other market participants looking to identify and respond to potential interruptions to their trading activity.

Details

Journal of Investment Compliance, vol. 22 no. 3
Type: Research Article
ISSN: 1528-5812

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Article
Publication date: 6 November 2017

Russell Sacks, Jennifer Morton, Jenny Jordan, Steven Blau and Sean Kelly

In April 2017, FINRA issued a regulatory notice addressing the use of social media and digital communications by broker-dealers. The notice expanded on previous FINRA guidance on…

127

Abstract

Purpose

In April 2017, FINRA issued a regulatory notice addressing the use of social media and digital communications by broker-dealers. The notice expanded on previous FINRA guidance on these topics. This article provides clarity regarding how social media and digital communications fit within the requirements of various FINRA rules and provides guidance to firms and their registered representatives.

Design/methodology/approach

The principal topics addressed by FINRA’s regulatory notice are: (a) text messaging, (b) personal versus business communications, (c) third-party content and hyperlinks, (d) native advertising, (e) testimonials and endorsements and (f) links to BrokerCheck. This article presents an overview of each of these topics, respectively.

Findings

Under recordkeeping requirements, firms must ensure that they are able to retain communications made through text messaging and chat services. Business communications, which relate to the products or services of the firm, are subject to filing and content requirements, while personal communications are not. Under certain circumstances, third-party posts on social media sites established by the member and testimonials may be attributable to the firm. Native advertising, while permissible, must comply with content requirements. Firm-created electronic applications do not have to provide a link to BrokerCheck.

Originality/value

Firms and their registered representatives will gain a better understanding of what is permissible pursuant to FINRA and SEC rules as they communicate digitally and via social media.

Details

Journal of Investment Compliance, vol. 18 no. 4
Type: Research Article
ISSN: 1528-5812

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Article
Publication date: 27 February 2014

Charles S. Gittleman, Russell D. Sacks and Jennifer D. Morton

– The purpose of the paper is to describe the recent amendments to FINRA's IPO Allocation Rule that were approved by the US Securities and Exchange Commission.

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Abstract

Purpose

The purpose of the paper is to describe the recent amendments to FINRA's IPO Allocation Rule that were approved by the US Securities and Exchange Commission.

Design/methodology/approach

The paper provides a description of the IPO Allocation Rule and its operation, followed by a description of the IPO Allocation Rule amendments recently amended.

Findings

On November 27, 2013, the Securities and Exchange Commission approved a change to FINRA's IPO allocation rule 5131 (the “amendment”). The amendment allows a fund of funds or other collective investment account that is investing in an IPO to rely on a written representation from an unaffiliated private fund investor that does not look through to its beneficial owners, provided that such unaffiliated private fund is managed by an investment adviser, has assets greater than $50 million, and meets certain other indicia of independence that are described.

Originality/value

The paper provides practical guidance from experienced regulatory lawyers regarding an amendment to an important rule governing IPO sales and allocation practices.

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Article
Publication date: 27 February 2014

Henry Davis

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Abstract

Details

Journal of Investment Compliance, vol. 15 no. 1
Type: Research Article
ISSN: 1528-5812

Available. Content available
Article
Publication date: 27 February 2014

Henry Davis

0

Abstract

Details

Journal of Investment Compliance, vol. 15 no. 1
Type: Research Article
ISSN: 1528-5812

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Article
Publication date: 11 April 2023

Thomas Morton, Shirley Evans, Ruby Swift, Jennifer Bray and Faith Frost

The COVID-19 pandemic caused major disruption in community support for vulnerable older people and is thought to have exacerbated existing issues within UK adult social care. This…

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Abstract

Purpose

The COVID-19 pandemic caused major disruption in community support for vulnerable older people and is thought to have exacerbated existing issues within UK adult social care. This study aims to examine the legacy of that disruption on how meeting centres for people affected by dementia have been impacted in continually evolving circumstances.

Design/methodology/approach

Semi-structured interviews and focus group discussions were conducted at three meeting centre case study sites. Ninety-eight participants, including people living with dementia, family carers, staff, volunteers, trustees and external partners, were asked about the impact and legacy of the pandemic upon meeting centres. A thematic analysis was carried out on the data.

Findings

Ten themes were identified: ability to re-open venues; increased health decline and loss of members due to isolation; closure or halting of linking services and dementia community support; disruption to diagnosis and referrals; increase in outreach, building communities and overall reach; digital access and use of technology (boom and decline); changes to carer involvement and engagement; continued uncertainty and changes to funding, resources and governance; staff and volunteer recruitment issues; and relief at/wish for return to pre-pandemic norms.

Originality/value

This paper offers new insight into a still-developing situation, namely, the legacy effects of the pandemic upon third-sector community support for people affected by dementia and the health and social care services that support it. The reduction in maintenance of pandemic-era technological innovations is a key finding.

Details

Working with Older People, vol. 28 no. 1
Type: Research Article
ISSN: 1366-3666

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Article
Publication date: 25 September 2024

Regina Yanga, Lisa Underwood, Anja Schoeps, Karen Elizabeth Waldie, Susan M.B. Morton and Elizabeth Ruth Peterson

This study retrospectively investigates the parenting experiences of mothers of two-year-old children who expressed concerns that their child may have autism up to when they were…

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Abstract

Purpose

This study retrospectively investigates the parenting experiences of mothers of two-year-old children who expressed concerns that their child may have autism up to when they were 4.5 years old. This study aims to identify early parenting challenges and joys and explore whether certain challenges are associated with a subsequent autism diagnosis.

Design/methodology/approach

Using a longitudinal design, this study draws from a cohort of 6,853 children, focusing on 103 mothers who reported concerns that their child may have autism when they were between 2 and 4.5 years old, compared to a demographically matched control group. It also tracks whether children initially flagged for autism concerns at 2 to 4.5 years had received a formal diagnosis by age eight.

Findings

Mothers of autistic children were more likely to mention early challenges with their child’s psychosocial development and family cohesion. However, the nature of the challenges discussed within these categories were similar across the two groups, suggesting that these two challenges, while important, are not definitive indicators of autism on their own. Many mothers highlighted their love and joy in watching their child develop. By age eight, 56% of the children who were flagged with autism concerns at aged 4.5 had an autism diagnosis, underscoring the importance of early concerns.

Originality/value

This novel research leverages a large, diverse longitudinal cohort to retrospectively explore mothers’ views on raising two-year-old children who were subsequently recognised as being autistic. It uniquely balances the exploration of parenting challenges with the highlights, offering a more holistic view of parenting a child who may later be diagnosed with autism, and considers the link between early parental concerns and challenges and subsequent autism diagnosis.

Details

Advances in Autism, vol. 10 no. 4
Type: Research Article
ISSN: 2056-3868

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Article
Publication date: 14 September 2022

Shirley Evans, Jennifer Bray, Dawn Brooker and Nathan Stephens

Meeting Centres (MCs) are a complex community-based psychosocial intervention to support people affected by dementia. The purpose of this paper is to describe the process of…

153

Abstract

Purpose

Meeting Centres (MCs) are a complex community-based psychosocial intervention to support people affected by dementia. The purpose of this paper is to describe the process of identifying the essential features of MCs from a UK perspective.

Design/methodology/approach

The essential features were examined within a concept analysis framework, which combines both static and evolutionary methods, enabling multiple stakeholder groups to be included in the process in an iterative manner.

Findings

Eleven essential features were developed, providing a conceptual model of the UK MCs. The underpinning rationale is sufficiently flexible to enable community-based development, while at the same time providing a robust platform upon which to build the evidence base.

Originality/Value

While some features may be common to other types of community-based support, the combination of characteristics and the underpinning ethos differentiates MCs and enables each one to meet the needs of its own community.

Details

Working with Older People, vol. 27 no. 3
Type: Research Article
ISSN: 1366-3666

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Book part
Publication date: 19 February 2020

Fabio Maria Montagnino

In The Great Derangement, the Indian writer Amitav Ghosh examines the present inability to understand and represent the scale and violence of the environmental crisis. The book is…

Abstract

In The Great Derangement, the Indian writer Amitav Ghosh examines the present inability to understand and represent the scale and violence of the environmental crisis. The book is a passionate awakening call for collective action to drive change, with Ghosh clearly identifying the limits of the present framework of values, which inhibits politicians, industrialists and economists from moving towards a truly sustainable civilization. In the Anthropocene, non-human and post-human factors are raising questions about the concept of a silent Nature that can be domesticated for human advantage and the perspective of continuous progress – both of which have dominated the modern age. Nevertheless, the detailed scientific analysis of the violation of the planet’s limited capacities continues to be refuted, triggering irrational, short-term utilitarian behaviours which are preventing the fundamental changes required for the transition to sustainable development. Artists, philosophers and writers can play an invaluable role in reframing our ways of thinking, filling the gap between scientific knowledge and emotional perception. Pioneering artistic experiments are appearing all over the world, from both well-established and emerging artists, and through collective processes, and this cultural movement is setting the scene for a new wave of eco-entrepreneurs driven by the altruistic mission of saving the planet. As has happened in many previous crises, it is again in the hands of artists to redefine how we perceive ourselves and so to support the emergence of new ideas, new learning, and finally to shape society and the economy around a renewed sense of the future for humankind on Earth.

Details

Innovation and the Arts: The Value of Humanities Studies for Business
Type: Book
ISBN: 978-1-78973-886-5

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Article
Publication date: 13 June 2022

Pranjal Gupta, Jennifer L. Burton and Letícia Costa Barros

The purpose of this research is to extend theoretical knowledge of key variables and their interactions that impact the persuasiveness of online influencers. The study explores…

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Abstract

Purpose

The purpose of this research is to extend theoretical knowledge of key variables and their interactions that impact the persuasiveness of online influencers. The study explores the interactions between influencer gender, follower gender, influencer physical attractiveness, influencer product-match and influencer-follower homophily on persuasiveness of influencer product promotions. Although the extant literature shows the persuasive impact of attractiveness, product-match, gender and homophily, less is known about the interactions of these variables with each other and the gender of the influencer and his or her followers. These gaps in the literature are explored.

Design/methodology/approach

The study is a scenario-based experiment where respondents were randomly assigned to cells where influencer attractiveness and product-match were manipulated. The variables of homophily and respondent gender were measured and recorded, respectively. The data were collected through an online survey done through Qualtrics.

Findings

The findings show that for female influencers, homophily felt by their followers is a dominant persuasive factor, which tends to supersede the variables of attractiveness and product-match. For male influencers, homophily is an incremental persuasive variable. That is, homophily, attractiveness and product-match interact such that persuasiveness is highest when all three variables are strong.

Research limitations/implications

Limitations are that the authors used a student sample and a hypothetical scenario-based experiment. Theoretical implications are interesting in that the authors have results which add to theory on the factors that make an online influencer more persuasive. Specifically, the authors contribute by extending theoretical knowledge about the interactions of key variables that influence the impact of online influencers.

Practical implications

For a manager marketing products using influencers, it is very important to stress homophily cues for female influencers more than other variables. However, for male influencers, product knowledge or match, homophily and attractiveness all need to work simultaneously to maximize influencer persuasiveness.

Social implications

One needs to understand that physical attractiveness and perceived homophily with the influencer have significant influence and persuasiveness, regardless of product or service. Hence, there needs to be social responsibility in what is advertised and promoted, given that followers may be persuaded by influencers no matter what the product or service is.

Originality/value

To the best of the authors' knowledge, this is the first study that explores the persuasiveness of online influencers from the perspective of the variable interactions described above.

Details

Internet Research, vol. 33 no. 2
Type: Research Article
ISSN: 1066-2243

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