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High-frequency traders: a review of the challenges in registering them as dealers

Fitterman, Mark; Sandoval, Ignacio - In: Journal of Investment Compliance 15 (2014) 3, pp. 3-9

Purpose – To describe some of the challenges that the Securities and Exchange Commission (SEC) will face in requiring that high-frequency traders register as dealers. Design/methodology/approach – This paper provides a brief overview of the dealer-trader distinction, an analytical framework...

Persistent link: https://www.econbiz.de/10014893839

SEC announces first investment adviser ‘pay-to-play’ enforcement action

Norman Goldberger, M.; C. Grugan, John; O’Neil, Christine - In: Journal of Investment Compliance 15 (2014) 3, pp. 35-37

Purpose – To explain the first enforcement action the USA Securities and Exchange Commission (SEC) has brought under …

Persistent link: https://www.econbiz.de/10014893840

The Securities and Exchange Commission (“SEC”) prevails in the second circuit in defending its no-admission settlement policy

Healy, Terence; J. Greer, Amy; Z. Herbst, Daniel - In: Journal of Investment Compliance 15 (2014) 4, pp. 41-43

Purpose – To explain the impact of a recent decision by the USA Court of Appeals for the Second Circuit on the SEC …

Persistent link: https://www.econbiz.de/10014893895

SEC issues guidance update regarding enhanced mutual fund disclosure

Pugliese, Domenick; Rosella, Michael; Hearth, David - In: Journal of Investment Compliance 15 (2014) 4, pp. 11-14

Purpose – To explain a guidance update recently issued by the USA Securities and Exchange Commission (SEC) Division of …

Persistent link: https://www.econbiz.de/10014893896

Supreme Court reaffirms “fraud-on-the-market” presumption in securities fraud class actions

Rendon, Veronica; Freedman, John; Reinhardt, Adam - In: Journal of Investment Compliance 15 (2014) 4, pp. 37-40

Purpose – To explain the Supreme Court’s recent decision in Halliburton Co. v. Erica P. John Fund, Inc. and its implications for private class action litigation under the federal securities laws. Design/methodology/approach – Explains the background on the Halliburton decision, including...

Persistent link: https://www.econbiz.de/10014893897

FATCA: implications for non-US funds: a general guide for determining the applicability of FATCA to non-USA funds

M. Garry, Kristen; Gelencsér, Etienne; M. O’Pray, Eileen - In: Journal of Investment Compliance 15 (2014) 4, pp. 44-52

Purpose – To summarize the principal aspects of USA tax legislation commonly known as the “Foreign Account Tax … Compliance Act” (“FATCA”) that may be relevant to non-USA investment funds. Design/methodology/approach – Reviews the potential … application of FATCA to non-USA investment funds in a question-and-answer format and summarizes the key FATCA compliance …

Persistent link: https://www.econbiz.de/10014893898

Director of SEC’s Division of Investment Management discusses alternative mutual funds

F. Kerr, Richard - In: Journal of Investment Compliance 15 (2014) 4, pp. 15-18

Purpose – To alert participants in the mutual fund industry to regulatory developments in the alternative mutual fund space as articulated by the SEC’s Director of the Division of Investment Management. Design/methodology/approach – Reviews the Director’s discussion of the SEC’s...

Persistent link: https://www.econbiz.de/10014893900

FINRA fines broker-dealer for failing to apply Class A sales charge waivers for certain eligible customers on its mutual fund platform

F. Kerr, Richard - In: Journal of Investment Compliance 15 (2014) 4, pp. 53-56

Purpose – To review FINRA enforcement action taken against a broker-dealer over failure to waive mutual fund sales charges for certain eligible customers and failure to establish, maintain, and enforce a supervisory system and written procedures reasonably designed to ensure eligible accounts...

Persistent link: https://www.econbiz.de/10014893901

Short-run effects of hurricanes on the housing markets: evidence from Florida

Dogan, Can; Hattapoglu, Mustafa; Hoxha, Indrit - In: International Journal of Housing Markets and Analysis 16 (2022) 4, pp. 672-692

Purpose Many studies have shown that the intensity and the number of hurricanes are likely to increase. This paper aims to look at the immediate effects of hurricanes on the time on the market, share of houses sold and percentage of houses with price cuts in the housing market using the...

Persistent link: https://www.econbiz.de/10014777903

Antecedents of customer mortgage shopping satisfaction: the mediating role of search intensity, evidence from the NSMO survey

Reddy N, Srinivasa; Thanigan, Jayanthi - In: International Journal of Housing Markets and Analysis 16 (2022) 6, pp. 1089-1109

. Mortgage demand in the USA has reached an all-time high because of an increase in housing demand after COVID-19. Nonetheless … mortgage in the USA between 2019 and 2020. Findings The results of structural modelling showed that familiarity ( β = 0.23 and …

Persistent link: https://www.econbiz.de/10014778106