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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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Article
Publication date: 24 January 2018

Mandie B. Dunn, Jennifer VanDerHeide, Samantha Caughlan, Laura Northrop, Yuan Zhang and Sean Kelly

The purpose of this paper is to report findings from a study of preservice teacher (PST) beliefs about teaching English language arts (ELA).

365

Abstract

Purpose

The purpose of this paper is to report findings from a study of preservice teacher (PST) beliefs about teaching English language arts (ELA).

Design/methodology/approach

A survey was administered to 56 preservice secondary ELA teachers at three universities to measure their beliefs about curriculum, authority and competition in schools. This study explores the beliefs of 17 of these PSTs who participated in an additional interview following up on six of the survey responses.

Findings

Although the survey forced a choice between various levels of agreeing and disagreeing, interview responses revealed that PSTs wrestled with tensions in what they believed about instructional and curricular choices. When describing situations that influenced their beliefs, they referenced situations from field placements, coursework and their own experiences as students. These tensions reflected the PSTs’ internally conflicting beliefs across their perceived binaries of teaching English.

Originality/value

This study suggests that these beliefs are formed in part by experiences in teacher preparation programs, particularly in field placements. However, even though PSTs recognized their internally conflicting beliefs, they understood them and their subsequent actions as dichotomous, rather than on a continuum. This study has implications for teacher educators; by understanding PSTs’ tendencies to understand their beliefs in binaries, teacher educators can provide reflective opportunities for PSTs to problematize these dichotomies and look for teaching identities and practices that are more nuanced.

Details

English Teaching: Practice & Critique, vol. 17 no. 1
Type: Research Article
ISSN: 1175-8708

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Article
Publication date: 30 September 2013

4

Abstract

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Leadership in Health Services, vol. 26 no. 4
Type: Research Article
ISSN: 1751-1879

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Book part
Publication date: 22 May 2019

Greg Morgan

Abstract

Details

Rewriting Leadership with Narrative Intelligence: How Leaders Can Thrive in Complex, Confusing and Contradictory Times
Type: Book
ISBN: 978-1-78756-776-4

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Article
Publication date: 5 October 2015

Matthew Cook

The “build it and they will come approach” is a largely accepted proposition in the library community, particularly in the area of special collections. There is, at times, little…

862

Abstract

Purpose

The “build it and they will come approach” is a largely accepted proposition in the library community, particularly in the area of special collections. There is, at times, little critical analysis given to collection development, digitization efforts or information literacy instruction in regard to how these hard-to-serve but research-rich materials might be used in the classroom. Instead, there exists a benevolent know-it-all expert determining which collections warrant preservation, digitization, acquisition and, ultimately, attention. At California State University (CSU) Channel Islands (CI), the user – teachers and students – is the focus of all special collection activities, and we have devised innovative ways to both encourage students and faculty to engage these materials as well as foster their appreciation, awareness and use on campus.

Design/methodology/approach

This paper explores three ways that librarians at the John Spoor Broome Library encourage and facilitate the use of primary documents housed in unique collections to support undergraduate student research.

Findings

The use of high-impact teaching practices, like undergraduate research, is an important tool in promoting retention and increasing graduation rates, particularly for underrepresented minorities. At CSU CI and the John Spoor Broome Library, engaging students with primary documents is a focus of unique collections work that benefits both students and the Library alike.

Originality/value

Digitization is a key component of most special collections work in the library world today, but perhaps efforts focused on promoting use are lacking. At CI, use is the primary focus of all unique collections work and, thus, could be a model for other libraries and archive departments.

Details

Collection Building, vol. 34 no. 4
Type: Research Article
ISSN: 0160-4953

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Book part
Publication date: 1 October 2020

Tim Gorichanaz

Craft has been described as a personally meaningful orientation toward an activity – this orientation is what distinguishes craft from mere labor. This conception of craft can be…

Abstract

Craft has been described as a personally meaningful orientation toward an activity – this orientation is what distinguishes craft from mere labor. This conception of craft can be traced back to the Greek poiesis, or revealing. Poiesis entails both passive and active components: passively, poiesis denotes being receptive to what is given in the world; actively, it involves the trained judgment of decision-making. Information activities can become more meaningful, then, if they are infused with this craft ethic. Fundamentally, this is a particular orientation of a person toward their world, one of the finding distinctions that matter to a person.

Details

Information Experience in Theory and Design
Type: Book
ISBN: 978-1-83909-368-5

Keywords

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Book part
Publication date: 22 May 2019

Greg Morgan

Abstract

Details

Rewriting Leadership with Narrative Intelligence: How Leaders Can Thrive in Complex, Confusing and Contradictory Times
Type: Book
ISBN: 978-1-78756-776-4

Available. Content available
Article
Publication date: 1 October 2000

35

Abstract

Details

Facilities, vol. 18 no. 10/11/12
Type: Research Article
ISSN: 0263-2772

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Details

Contingent Valuation: A Critical Assessment
Type: Book
ISBN: 978-1-84950-860-5

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