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The paper aims to explain the new Financial Industry Regulatory Authority (FINRA) rules governing communications with the public approved by the Securities and Exchange Commission (SEC) on March 29, 2012.

The following are explained: categories of communication, pre‐use approval and record‐keeping requirements, filing requirements, content standards, use of investment company rankings in retail communications, requirements for the use of bond mutual fund volatility ratings, requirements for the use of investment analysis tools, communication with the public regarding securities futures, communication with the public about collateralized mortgage obligations, and the implementation date for the rules.

While the new FINRA rules are based on the current provisions of the NASD Rules and Interpretive Materials they replace, there are some notable changes with regard to the communication categories, public appearances, and the approval, review and recordkeeping requirements.

Practical guidance is provided from experienced securities lawyers.

The purpose of this paper is to examine SEC rule amendments that permit a mutual fund to use a three‐ or four‐page “summary prospectus” to satisfy statutory prospectus delivery obligations and amendments to a fund's statutory prospectus requirements that require key information in a standardized order at the front of the document.

The approach is to explain the SEC's regulatory changes to the basic mutual fund disclosure documents designed to help investors choose among the more than 8,000 mutual funds.

The investing public's use of the internet for fund research and fund transactions has made it possible for the SEC to take a “layered” approach to disclosure documents, providing an investor with a short‐form document and making available more detailed information on fund web sites. The SEC will likely follow suit with other documents and updated compliance requirements.

The paper will assist fund legal counsel and compliance professionals: to comply with the new statutory prospectus requirements; and to determine whether the summary prospectus is an appropriate disclosure document for a particular fund.

The purpose of this paper is to discuss the implications of an SEC Risk Alert and two FINRA regulatory notices concerning the use of social media by registered investment advisers.

The paper analyzes the SEC Office of Compliance and Inspections National Examination Risk Alert dated January 4, 2012, including general observations and factors for investment advisors to consider such as usage guidelines, content standards, policies for representatives and solicitors, monitoring procedures and third‐party content and testimonials. It discusses FINRA's detailed, bright‐line guidance in Regulatory Notice 11‐39 (August 2011) and Regulatory Notice 10‐06 (January 2010).

The paper recommends ways for investment advisers to address the use of social media.

Until more concrete guidance and market practice has emerged, firms may benefit from taking a conservative approach by limiting the use of social media and the ability of non‐firm personnel to “like” or post content to the firm's social media website, and by retaining all records of social media interactions in case of examinations.

The paper presents analysis and practical guidance from experienced financial services lawyers.

Money laundering, casinos and the Internet may become unavoidably intertwined in the next decade. Money laundering is the process by which criminals transform the money that they receive from criminal activities into funds that appear to have been generated by lawful means and cannot be traced by law enforcement to their illicit sources. While the magnitude of money laundering is unknown, law enforcement authorities estimate that it consists of an annual $100bn‐$300bn in US currency, and a rough estimate of an ‘annual worldwide … range of $300 to $500 billion’.

Major gaps exist in the documented history of occupational therapy in Ireland. The purpose of this paper is to contribute to filling these gaps by providing an overview of three major transitions in Irish occupational therapy in the century preceding the opening of St. Joseph?s College of Occupational Therapy in 1963. Research on occupational therapy’s past is valuable not only for recording and commemorating key events and individuals but also for allowing reflection on and questioning of contemporary practice and assumptions.

This descriptive paper draws on multiple documentary sources to present an overview of the first 100 years of the use of occupation as therapy/occupational therapy in Ireland from 1863 to 1963.

Three major transitions in occupational therapy in Ireland are presented: from moral treatment and the use of occupation as therapy to medical patronage of occupational therapy, from medical patronage to the early/pre-professional era and finally from the pre-professional era to the era of professionally qualified occupational therapists. To illustrate these transitions, a small number of individuals and their contributions are discussed including Dr Eamon O’Sullivan, Dr Ada English, Donal Kelly, Olga Gale and Ann Beckett.

This paper charts the foundations upon which the currently thriving profession of occupational therapy are built. The Association of Occupational Therapists of Ireland recently celebrated their 50th anniversary (AOTI, 2015a), and in 2017, it is 100 years since occupational therapy was formalised in Clifton Springs, New York, USA. Occupational therapy is a relatively young profession, and great opportunities exist to research its history in Ireland to capture the memories and experiences of the pioneers who laid the foundation of the profession as well as to situate the development of the profession in the broader social, cultural and scientific contexts within which it developed.

Black and Latino males face challenges to college-going that may alter their decision to attend college. However, many Black and Latino males have successfully enrolled and matriculated through college. This study aims to explore the precollege factors that influenced the college enrollment and persistence for first generation Black and Latino male collegians (N = 5) at a predominantly white institution located in the Northeastern area of the USA. Two major themes (i.e., pre-college barriers and pre-college facilitators) along with several subthemes emerged from the data. The authors discuss recommendations for teachers, school counselors, and administrators in assisting Black and Latino males prepare for enrollment and persistence in college.

A qualitative approached was used for this research study. A focus group was incorporated because it enabled participants to discuss their experiences in a single setting with other participants with similar backgrounds and thus through contrast and group dialogue vital insights related the phenomena of interest can be identified (Kitzinger, 1995). Individual interviews were conducted to engage in a more in-depth data collection process with the participants in a one-one-setting.

Pre-college barriers and pre-college facilitators were the major themes of this research study. The subthemes originated from the frameworks of Community Cultural Wealth (Yosso, 2005) and Constellation Mentoring (Kelly and Dixon, 2014).

The paper will contribute to the research literature, as the authors are exploring the experiences of Black male collegians from a Northeastern PWI. There is a dearth of literature in this area of research.

Develops an original 12‐step management of technology protocol and applies it to 51 applications which range from Du Pont’s failure in Nylon to the Single Online Trade Exchange for Auto Parts procurement by GM, Ford, Daimler‐Chrysler and Renault‐Nissan. Provides many case studies with regards to the adoption of technology and describes seven chief technology officer characteristics. Discusses common errors when companies invest in technology and considers the probabilities of success. Provides 175 questions and answers to reinforce the concepts introduced. States that this substantial journal is aimed primarily at the present and potential chief technology officer to assist their survival and success in national and international markets.

Wonders whether companies actually have employees best interests at heart across physical, mental and spiritual spheres. Posits that most organizations ignore their workforce – not even, in many cases, describing workers as assets! Describes many studies to back up this claim in theis work based on the 2002 Employment Research Unit Annual Conference, in Cardiff, Wales.