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The New York Stock Exchange (NYSE) is at the center of an increasing chorus of market professionals who complain that investors are at the mercy of a system that caters to exchange specialists. While structural change may be necessary to address the NYSE’s governance issues, talk about...
The National Association of Securities Dealers and the New York Stock Exchange recently have adopted and then amended new rules relating to research analyst conflicts of interest. However, open questions remain, and these two self‐regulatory organizations (SROs), in collaboration with the SEC,...
In this article, the authors explore the origins of share ownership and its implications for corporate governance. They trace some of the current problems with governance structure that exist in public companies and what solutions can be applied to correct these problems. The authors also offer...
On September 29, 2003, the staff (“Staff”) of the Division of Investment Management of the U.S. Securities and Exchange Commission (the “SEC”) issued a report to the SEC entitled the “Implications of the Growth of Hedge Funds” (the “Report”). The Report recommends amending Rule...
The corollary between the issues facing both major league baseball and its balance of power and Wall Street’s current trials and tribulations around specialist models, compensation, and governance is telling. Both require a scorecard as well as historical and political perspective. The industry...
The expectations of investors, regulators, and indeed management towards the compliance department are changing. For compliance to evolve, management must review its current operations and align its processes more closely with the desires and needs of the stakeholders. With regulators pushing...
During 2003, compensation practices for the retail sale of mutual funds came under fire. Recent revelations about failures in the processing of mutual fund breakpoints had triggered a more in‐depth investigation into mutual fund marketing and compensation practice by securities regulators,...
The challenges involved in meeting the new requirements of Rule 206 (4)‐7 under the Investment Advisers Act of 1940 and Rule 38a‐1 under the Investment Company Act of 1940 will be substantial for some organizations. At a minimum, all organizations will be required to document their compliance...
On December 17, 2003 the Securities and Exchange Commission (SEC) approved an overhaul of the New York Stock Exchange’s (NYSE’s) system of corporate governance. After questions arose concerning the NYSE’s ability to discharge its self‐regulatory functions following the resignation of...
As part of an ongoing and potentially far‐reaching overhaul of investment company and investment adviser regulation, the Securities and Exchange Commission recently adopted Rule 206 (4)‐7 under the Investment Advisers Act of 1940 and Rule 38a‐1 under the Investment Company Act of 1940....
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