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Article
Publication date: 19 March 2019

Alec Koch, Russell G. Ryan and Laura K. Bennett

To provide analysis on several SEC enforcement actions of interest to broker-dealers and investment advisers.

92

Abstract

Purpose

To provide analysis on several SEC enforcement actions of interest to broker-dealers and investment advisers.

Design/methodology/approach

The article is organized chronologically based on the dates of the SEC enforcement actions discussed.

Findings

The SEC enforcement actions discussed in the article demonstrate that broker-dealers and investment advisers must maintain and enforce compliance and supervision policies and procedures reasonably designed to detect and prevent violations of the securities laws. When firm personnel commit violations (either intentionally or inadvertently), the SEC will evaluate whether firms could have been more effective in detecting and preventing those violations.Some of these cases also serve to remind firms that the SEC will often take enforcement action even when there is no evidence of customer harm.

Originality/value

Practical guidance from experienced securities lawyers that consolidates and analyzes several recent SEC enforcement actions.

Details

Journal of Investment Compliance, vol. 20 no. 2
Type: Research Article
ISSN: 1528-5812

Keywords

Available. Content available
Book part
Publication date: 20 November 2015

Abstract

Details

University Partnerships for Community and School System Development
Type: Book
ISBN: 978-1-78560-132-3

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Article
Publication date: 8 April 2021

Russ Ryan, Matthew H. Baughman, Carmen J. Lawrence, Aaron W. Lipson, Richard H. Walker, Jessica Rapoport, Katie Barry and Scott Hiers

To analyze the impact of recent legislation that amended the Securities Exchange Act of 1934 to expressly empower the U.S. Securities and Exchange Commission (SEC) to seek…

110

Abstract

Purpose

To analyze the impact of recent legislation that amended the Securities Exchange Act of 1934 to expressly empower the U.S. Securities and Exchange Commission (SEC) to seek disgorgement in federal district court proceedings and to codify applicable statutes of limitations.

Design/methodology/approach

This article provides an overview of the authors’ prior work analyzing courts’ treatment of SEC disgorgement and summarizes how the scope of the remedy has evolved since Kokesh v. SEC (2017). Then, the article analyzes the changes to the Securities Exchange Act of 1934 contained in Section 6501 the 2021 National Defense Authorization Act (NDAA), which statutorily empowered the SEC to seek and obtain disgorgement in federal court actions. Finally, the authors discuss the impact of the legislation on the Supreme Court’s decisions in Kokesh and Liu v. SEC (2020).

Findings

The availability and appropriateness of SEC disgorgement have been the subject of vigorous debate. Just as courts began to iron out the contours of SEC disgorgement in the wake of Kokesh and Liu, Congress intervened by granting to the SEC explicit statutory authority to seek a remedy traditionally obtained at equity. In passing this legislation, Congress answered some questions that remained after Liu but also raised many new ones. These new questions will likely take years to resolve through subsequent litigation and potentially additional legislation.

Originality/value

Original, practical analysis and guidance from experienced lawyers in financial services regulatory and enforcement practices, many of whom have previously worked in the SEC’s Division of Enforcement.

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Book part
Publication date: 13 August 2018

Robert L. Dipboye

Abstract

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The Emerald Review of Industrial and Organizational Psychology
Type: Book
ISBN: 978-1-78743-786-9

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Book part
Publication date: 12 July 2011

Matt Bloom and Amy E. Colbert

Intrinsic motivation occurs due to positive reactions that arise directly from engagement in work activities. Scholars have asserted that intrinsic motivation plays an important…

Abstract

Intrinsic motivation occurs due to positive reactions that arise directly from engagement in work activities. Scholars have asserted that intrinsic motivation plays an important role in organizational phenomena such as creativity (George, 2007), leadership (Piccolo & Colquitt, 2006), and performance (Gagné & Deci, 2005). We review the research literature on intrinsic motivation and provide an overview and integration of the leading theories. We then develop a conceptual model in which positive affect serves as a primary cause of intrinsic motivation. We discuss how affect alone may induce intrinsic motivation, how affect may lead to nonconscious experiences of intrinsic motivation, and how affect and cognitions may work in concert to produce the strongest and most persistent intrinsic motivation experiences. We conclude by suggesting new avenues for research that might be pursued using this cognitive–affective model of intrinsic motivation.

Details

Research in Personnel and Human Resources Management
Type: Book
ISBN: 978-0-85724-554-0

Available. Content available
Book part
Publication date: 24 June 2024

Noel Scott, Brent Moyle, Ana Cláudia Campos, Liubov Skavronskaya and Biqiang Liu

Free Access. Free Access

Abstract

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Cognitive Psychology and Tourism
Type: Book
ISBN: 978-1-80262-579-0

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Book part
Publication date: 20 July 2017

Elizabeth P. Karam, William L. Gardner, Daniel P. Gullifor, Lori L. Tribble and Mingwei Li

Academic and practitioner attention to the constructs of authentic leadership and work engagement and their implications for organizations has grown dramatically over the past…

Abstract

Academic and practitioner attention to the constructs of authentic leadership and work engagement and their implications for organizations has grown dramatically over the past decade. Consideration of the implications of these constructs for high-performance human resource practices (HPHRP) is limited, however. In this monograph, we present a conceptual model that integrates authentic leadership/followership theory with theory and research on HPHRP. Then, we apply this model to systematically consider the implications of skill-enhancing, motivation-enhancing, and opportunity-enhancing HR practices in combination with authentic leadership for authentic followership, follower work engagement, and follower performance. We contend that authentic leadership, through various influences processes, promotes HPHRP, and vice versa, to help foster enhanced work engagement. By cultivating greater work engagement, individuals are motivated to bring their best, most authentic selves to the workplace and are more likely to achieve higher levels of both well-being and performance.

Details

Research in Personnel and Human Resources Management
Type: Book
ISBN: 978-1-78714-709-6

Keywords

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Book part
Publication date: 19 August 2021

Diane A. Lawong, Gerald R. Ferris, Wayne A. Hochwarter and John N. Harris

Work environments, which are widely acknowledged to exert strong influences on employee attitudes and behavior, have been studied since the initiation of formal work entities…

Abstract

Work environments, which are widely acknowledged to exert strong influences on employee attitudes and behavior, have been studied since the initiation of formal work entities. Over this time, scholars have identified myriad impactful internal and external factors. Absent though are investigations examining economic downturns despite their acknowledged pervasiveness and destructive effects on worker performance and well-being. To address this theoretical gap, a multistage model acknowledging the impact of recessions on workplace responses, response effects, and environmental considerations is proposed. Inherent in this discussion is the role of economic decline on reactive change processes, the nature of work, and the structure and design of organizations. These significant changes affect employee attitudes and behaviors in ways that increase the political nature of these work environments. Organizational factors and employee responses to heightened recession-driven politics are discussed. Additionally, theoretically relevant intervening variables capable of influencing work outcomes are described. The chapter is concluded by discussing the implications of this theoretical framework as well as directions for future research.

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Book part
Publication date: 23 February 2023

Allison M. Ryan and Jessica E. Kilday

Abstract

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Remembering the Life, Work, and Influence of Stuart A. Karabenick
Type: Book
ISBN: 978-1-80455-710-5

Available. Content available
Book part
Publication date: 12 October 2018

Abstract

Details

Quality Services and Experiences in Hospitality and Tourism
Type: Book
ISBN: 978-1-78756-384-1

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