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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: 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…

830

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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Available. Content available
Book part
Publication date: 18 September 2023

John Quin

Abstract

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Video
Type: Book
ISBN: 978-1-83753-756-3

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Article
Publication date: 10 February 2022

Jenny Mercer, Ella Williams Davies, Megan Cook and Nic J. Bowes

Amid concerns regarding prisoner well-being, growing evidence indicates that prison animal programmes (PAPs), most commonly involving dogs, have significant therapeutic potential…

449

Abstract

Purpose

Amid concerns regarding prisoner well-being, growing evidence indicates that prison animal programmes (PAPs), most commonly involving dogs, have significant therapeutic potential. Published research on this topic from the UK remains sparse, and more is needed to determine the type of programmes which work best and for whom. This study aims to explore the perceived benefits of a short-term PAP on the well-being of a sample of individuals assessed as at risk of self-harm.

Design/methodology/approach

Participants with complex mental health needs in a category B prison took part in a four-week programme where two dogs were brought in for interactions once a week. Semi-structured interviews were conducted with eight participants at the end of the programme.

Findings

Three themes were identified through thematic analysis: “A Safe Space for Emotional Experience”, “An Opportunity to Connect” and “Being Human”. The narratives offered a range of perceived benefits which illustrated the potential of dog based PAPs for enhancing well-being and consistency with desistance goals.

Practical implications

The findings illustrate that even short-term interactions with dogs can be impactful and provide evidence for other practitioners about how this approach may be used with individuals with complex mental health needs.

Originality/value

The study highlights the therapeutic potential of the presence of animals in prisons. The research contributes to the limited literature about PAPS in the UK.

Details

The Journal of Forensic Practice, vol. 24 no. 2
Type: Research Article
ISSN: 2050-8794

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Abstract

Many jurisdictions fine illegal cartels using penalty guidelines that presume an arbitrary 10% overcharge. This article surveys more than 700 published economic studies and judicial decisions that contain 2,041 quantitative estimates of overcharges of hard-core cartels. The primary findings are: (1) the median average long-run overcharge for all types of cartels over all time periods is 23.0%; (2) the mean average is at least 49%; (3) overcharges reached their zenith in 1891–1945 and have trended downward ever since; (4) 6% of the cartel episodes are zero; (5) median overcharges of international-membership cartels are 38% higher than those of domestic cartels; (6) convicted cartels are on average 19% more effective at raising prices as unpunished cartels; (7) bid-rigging conduct displays 25% lower markups than price-fixing cartels; (8) contemporary cartels targeted by class actions have higher overcharges; and (9) when cartels operate at peak effectiveness, price changes are 60–80% higher than the whole episode. Historical penalty guidelines aimed at optimally deterring cartels are likely to be too low.

Details

The Law and Economics of Class Actions
Type: Book
ISBN: 978-1-78350-951-5

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Article
Publication date: 1 November 1953

WITH record attendances during the first days of the Motor Show this year, Exhibitors are asking if it would not be possible to have certain times, or days, reserved for trade…

261

Abstract

WITH record attendances during the first days of the Motor Show this year, Exhibitors are asking if it would not be possible to have certain times, or days, reserved for trade buyers. The promoters are obviously concerned with any possible loss of gate money, but it is very true that at times, when stands are crowded with mere sight‐seers it is very difficult for genuine potential buyers and trade personnel to see what they want in the short time that may be at their disposal. These record attendances may not be repeated always; this year is the first time for a long time that anyone can order any car with a reasonable delivery date, and most cars with only a few weeks wait.

Details

Industrial Lubrication and Tribology, vol. 5 no. 11
Type: Research Article
ISSN: 0036-8792

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Article
Publication date: 24 August 2023

Tove Seiness Hunskaar and Greta Björk Gudmundsdottir

This paper aims to investigate how school-based mentors and preservice teachers (PTs) perceive mentoring conversations when applying a set of newly developed digital tools…

572

Abstract

Purpose

This paper aims to investigate how school-based mentors and preservice teachers (PTs) perceive mentoring conversations when applying a set of newly developed digital tools accompanied by discursive tools in mentoring in practicum.

Design/methodology/approach

This study performed a thematic analysis of 12 interviews (5 with mentors and 7 with PTs) to explore how the participants perceived mentoring conversations when applying a combination of digital and discursive tools in school-based mentoring conversations. This study uses a model of adaptive expertise to discuss the findings.

Findings

This analysis revealed that the tools could alter the typical order of mentoring conversations. Mentors reported a change in their mentoring routines in which mentees took a more active role in conversations. The use of tools also allowed for richer conversations. From the perspective of PTs, the tools provided a structure for mentoring sessions, provided an alternative opening for mentoring conversations and enhanced their awareness of certain aspects of their own teaching.

Originality/value

This study's results suggest that the application of tools in mentoring enhances mentoring by facilitating reflection among PTs and mentors and fostering the development of adaptive expertise.

Details

International Journal of Mentoring and Coaching in Education, vol. 12 no. 4
Type: Research Article
ISSN: 2046-6854

Keywords

Available. Content available
Article
Publication date: 11 October 2019

Jenny K. Rodriguez, Maranda Ridgway and Linzi J. Kemp

804

Abstract

Details

Gender in Management: An International Journal , vol. 34 no. 7
Type: Research Article
ISSN: 1754-2413

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Article
Publication date: 3 April 2017

Jenny Palm and Fredrik Backman

This paper studies a Swedish municipality that wants to go beyond its own operations, involving the local industry in saving energy to improve the environment. The paper aims to…

471

Abstract

Purpose

This paper studies a Swedish municipality that wants to go beyond its own operations, involving the local industry in saving energy to improve the environment. The paper aims to analyse the experiences and practical implications of using policy networks for implementing energy-efficiency measures in private industrial companies.

Design/methodology/approach

The researchers closely followed a Swedish municipality and its work to engage the local industry in energy-efficiency activities. Participatory observations of meetings and workshops and semi-structured interviews with involved actors were conducted.

Findings

The study examines a Swedish municipality that has started addressing energy efficiency in local businesses by creating a network involving 60 companies. This network was tested in relation to four hypotheses on how policy networks develop. The study finds that the network has too broad a problem definition, which does not help unify the involved actors. The companies’ involvement is based on passive participation in which they are receivers of information. The network has been unable to use a social control mechanism because there have been few company-to-company meetings. In conclusion, for a network to be an efficient policy tool, its structure is as important as the ideas for action and clear goals.

Research limitations/implications

This case study of one Swedish municipality allows for analytical but not statistical generalization.

Originality/value

The paper uniquely calls for reflection on whether municipalities and local authorities have enough competence to drive industrial energy efficiency.

Details

International Journal of Energy Sector Management, vol. 11 no. 1
Type: Research Article
ISSN: 1750-6220

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Book part
Publication date: 1 March 2021

Siti Khomsatun, Hilda Rossieta, Fitriany Fitriany and Mustafa Edwin Nasution

The unique characteristic of Islamic bank leads in governance and disclosure. Using stakeholder, signaling, and market discipline theory, governance and adequate disclosure may…

Abstract

The unique characteristic of Islamic bank leads in governance and disclosure. Using stakeholder, signaling, and market discipline theory, governance and adequate disclosure may increase bank soundness. This study aims to investigate the relationship of sharia disclosure and Sharia Supervisory Board in influencing Islamic bank soundness in the different regulatory framework of the country. Using purposive sampling, the research covered 84 Islamic banks in 16 countries during the period 2013–2015 with lag data of Islamic bank soundness. The result shows sharia disclosure influences on Islamic bank soundness for management efficiency, capital adequacy ratio, asset quality, and liquidity. The results also show that sharia disclosure mediates the indirect effect of SSB on Islamic bank soundness. The regulatory framework (sharia accounting standard and SSB regulation) shows moderating effect of regulation framework proved on the association of sharia disclosure with management efficiency, capital, and liquidity. The effect is indirectly depending on the regulatory framework for proxy management efficiency, capital, and liquidity. The implication of the research suggests that sharia disclosure could increase the market discipline mechanism of Islamic bank stream. The Islamic bank can increase the transparency using sharia disclosure as a branding for increasing public trust, even though in the deficient Islamic bank regulation countries.

Details

Recent Developments in Asian Economics International Symposia in Economic Theory and Econometrics
Type: Book
ISBN: 978-1-83867-359-8

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