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Article
Publication date: 4 September 2017

Thomas W. White

To review recent enforcement actions in which the Securities and Exchange Commission (“SEC”) enforced Rule 21F-17(a) under the Securities Exchange Act, which prohibits actions to…

225

Abstract

Purpose

To review recent enforcement actions in which the Securities and Exchange Commission (“SEC”) enforced Rule 21F-17(a) under the Securities Exchange Act, which prohibits actions to impede whistleblower communications with the SEC, and to identify changes that entities subject to SEC regulation (including public companies, broker-dealers and investment managers) may wish to consider in their employee separation agreements and other documents that may include confidentiality provisions.

Design/methodology/approach

Examines settled cases since 2015, in which the SEC found that contractual provisions in employee separation agreements and other documents impeded employees from communicating with the SEC staff about possible violations of the securities laws, to identify the types of language that the SEC found to be problematic and the types of provisions that the SEC believes are desirable, if not legally mandated, to protect employee whistleblower rights and avoid impeding communications under Rule 21F-17(a).

Findings

Beginning in 2015, the SEC has actively enforced Rule 21F-17(a), focusing on provisions in separation agreements and other employee-related documents that potentially prevent employees from reporting legal violations to the SEC. The SEC’s efforts have resulted in settled orders involving alleged violations of the rule. The cases generally allege that provisions in employee separation agreements or other documents violated the rule because they prohibited or chilled employee communications with the SEC about possible legal violations.

Practical implications

Entities subject to SEC regulation (including public companies, broker-dealers and investment managers) should review their confidentiality agreements with employees and consider whether changes are warranted to address the SEC’s concerns as identified in the Rule 21F-17(a) cases.

Originality/value

Practical guidance regarding important whistleblower developments from experienced securities lawyer.

Details

Journal of Investment Compliance, vol. 18 no. 3
Type: Research Article
ISSN: 1528-5812

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Article
Publication date: 6 April 2012

William R. McLucas, Laura S. Wertheimer, Andrea J. Robinson, Mary Jo Johnson, Thomas W. White, Jonathan D. Rosenfeld, Michael R. Dube and Arian M. June

The purpose of this paper is to recommend proactive measures that companies should take to manage reports of securities violations under the SEC's new whistleblower program.

166

Abstract

Purpose

The purpose of this paper is to recommend proactive measures that companies should take to manage reports of securities violations under the SEC's new whistleblower program.

Design/methodology/approach

The paper explains the whistleblower bounty program and recommends ten proactive measures that companies should consider.

Findings

Companies have an incentive to investigate reports of potential violations quickly while also ensuring compliance with the anti‐retaliation protections.

Practical implications

Companies should take steps now to bolster internal reporting and investigative procedures and encourage employees to utilize internal reporting mechanisms.

Originality/value

The paper provides expert advice from experienced securities and financial services lawyers.

Details

Journal of Investment Compliance, vol. 13 no. 1
Type: Research Article
ISSN: 1528-5812

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Article
Publication date: 6 April 2012

Douglas J. Davison, Thomas W. White, Gail C. Bernstein, Michael R. Dube and Arian M. June

The purpose of this paper is to point out similarities and differences between the CFTC's and the SEC's final whistleblower incentive and protection rules, both recently adopted…

122

Abstract

Purpose

The purpose of this paper is to point out similarities and differences between the CFTC's and the SEC's final whistleblower incentive and protection rules, both recently adopted as mandated by the Dodd‐Frank Act.

Design/methodology/approach

The paper explains the purpose of the rules, a dissenting CFTC vote concerning internal reporting, and a few notable differences between the CFTC's and the SEC's rules, and recommends compliance measures that companies should take.

Findings

Given the incentives that both agencies' programs give to whistleblowers to report violations directly to the regulators, a company subject to either program would be well advised to enhance its culture of compliance, bolster its internal reporting processes, and encourage employees to utilize internal reporting mechanisms.

Originality/value

The paper provides expert guidance from experienced financial services lawyers.

Details

Journal of Investment Compliance, vol. 13 no. 1
Type: Research Article
ISSN: 1528-5812

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Book part
Publication date: 10 April 2019

Stephen Brown

Purpose: At a conference inspired by Hans Christian Andersen, this chapter makes the case for his shadowy American contemporary, Edgar Allan Poe.Methodology: Employing a

Abstract

Purpose: At a conference inspired by Hans Christian Andersen, this chapter makes the case for his shadowy American contemporary, Edgar Allan Poe.

Methodology: Employing a comparative literary analysis, it contends that consumer culture theory (CCT) can learn more from Poe’s quothful raven than Andersen’s ugly duckling.

Findings: Principally that Poe’s Ps of Perversity, Pugnacity, and Poetry are particularly pertinent to an adolescent, self-harm-prone subdiscipline that’s struggling to find itself and make its way in the world.

Originality: Poe and Andersen’s names rarely appear in the same sentence. They do now.

Details

Consumer Culture Theory
Type: Book
ISBN: 978-1-78754-285-3

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Article
Publication date: 1 January 1975

Caroline E. Werkley

ALL THE WHILE that the Carnegie Free Public Library brought culture and information and just plain entertainment to the residents of my home town, The Other Library there also…

48

Abstract

ALL THE WHILE that the Carnegie Free Public Library brought culture and information and just plain entertainment to the residents of my home town, The Other Library there also provided the inhabitants with information and entertainment. This latter institution was far more powerful, all‐knowing, and, if the truth be told, more popular with its patrons, for all its sometimes shoddiness, than ‘Mister Carnegie's Lib'ary’. It never shut down, not even on holidays or Sundays, and its operations were as busy before 9 a.m. and after 9 p.m. as the Public Library was during that twelve‐hour stretch of community service. It had no librarian to keep it in order and cost no money at all to maintain, nor did folk have to mind their p's and q's to reap its benefits. The Other Library was Smalltown Gossip.

Details

Library Review, vol. 25 no. 1
Type: Research Article
ISSN: 0024-2535

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Article
Publication date: 1 July 1990

Ernest Raiklin

The monograph argues that American racism has two colours (whiteand black), not one; and that each racism dresses itself not in oneclothing, but in four: (1) “Minimal” negative…

1217

Abstract

The monograph argues that American racism has two colours (white and black), not one; and that each racism dresses itself not in one clothing, but in four: (1) “Minimal” negative, when one race considers another race inferior to itself in degree, but not in nature; (2) “Maximal” negative, when one race regards another as inherently inferior; (3) “Minimal” positive, when one race elevates another race to a superior status in degree, but not in nature; and (4) “Maximal” positive, when one race believes that the other race is genetically superior. The monograph maintains that the needs of capitalism created black slavery; that black slavery produced white racism as a justification for black slavery; and that black racism is a backlash of white racism. The monograph concludes that the abolition of black slavery and the civil rights movement destroyed the social and political ground for white and black racism, while the modern development of capitalism is demolishing their economic and intellectual ground.

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International Journal of Social Economics, vol. 17 no. 7/8
Type: Research Article
ISSN: 0306-8293

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Article
Publication date: 1 March 1947

R.S. MORTIMER

It is now forty years since there appeared H. R. Plomer's first volume Dictionary of the booksellers and printers who were at work in England, Scotland and Ireland from 1641 to

75

Abstract

It is now forty years since there appeared H. R. Plomer's first volume Dictionary of the booksellers and printers who were at work in England, Scotland and Ireland from 1641 to 1667. This has been followed by additional Bibliographical Society publications covering similarly the years up to 1775. From the short sketches given in this series, indicating changes of imprint and type of work undertaken, scholars working with English books issued before the closing years of the eighteenth century have had great assistance in dating the undated and in determining the colour and calibre of any work before it is consulted.

Details

Journal of Documentation, vol. 3 no. 2
Type: Research Article
ISSN: 0022-0418

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Book part
Publication date: 20 October 2016

Anne E. Bowler, Terry G. Lilley and Chrysanthi S. Leon

A central tenet of Progressive era responses to prostitution was the alleged over-representation of white, US-born daughters of foreign parentage in the prostitution population…

Abstract

A central tenet of Progressive era responses to prostitution was the alleged over-representation of white, US-born daughters of foreign parentage in the prostitution population. We detail a statistical error in an influential 1913 study from the New York State Reformatory for Women at Bedford as an important source of this tenet. Using archival data to more accurately reconstruct the Reformatory population, we find that Black women constituted the only over-represented group, but were all but ignored by reformers. We foreground how ideas about race and immigration informed the social response to prostitution in this period, highlighting the importance of critically analyzing historical sources.

Details

Special Issue: Problematizing Prostitution: Critical Research and Scholarship
Type: Book
ISBN: 978-1-78635-040-4

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Book part
Publication date: 31 January 2025

David Norman Smith and Eric Allen Hanley

Controversy has long swirled over the claim that Donald Trump's base has deeply rooted authoritarian tendencies, but Trump himself seems to have few doubts. Asked whether his…

Abstract

Controversy has long swirled over the claim that Donald Trump's base has deeply rooted authoritarian tendencies, but Trump himself seems to have few doubts. Asked whether his stated wish to be dictator “on day one” of second term in office would repel voters, Trump said “I think a lot of people like it.” It is one of his invariable talking points that 74 million voters supported him in 2020, and he remains the unrivaled leader of the Republican Party, even as his rhetoric escalates to levels that cautious observers now routinely call fascistic.

Is Trump right that many people “like” his talk of dictatorship? If so, what does that mean empirically? Part of the answer to these questions was apparent early, in the results of the 2016 American National Election Study (ANES), which included survey questions that we had proposed which we drew from the aptly-named “Right-Wing Authoritarianism” scale. Posed to voters in 2012–2013 and again in 2016, those questions elicited striking responses.

In this chapter, we revisit those responses. We begin by exploring Trump's escalating anti-democratic rhetoric in the light of themes drawn from Max Weber and Theodor W. Adorno. We follow this with the text of the 2017 conference paper in which we first reported that 75% of Trump's voters supported him enthusiastically, mainly because they shared his prejudices, not because they were hurting economically. They hoped to “get rid” of troublemakers and “crush evil.” That wish, as we show in our conclusion, remains central to Trump's appeal.

Details

The Future of Agency
Type: Book
ISBN: 978-1-83608-978-0

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Book part
Publication date: 13 August 2018

Robert L. Dipboye

Abstract

Details

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

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