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Journal Articles

FINRA regulation: new fixed-income research rule, modifications to equity research rule, and FAQ on conflicts of interest in offering process

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Russell D. Sacks, Steven R. Blau, Taro Nishide
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (1): 1–38.
https://doi.org/10.1108/JOIC-02-2016-0006
Published: 03 May 2016
View article titled, FINRA regulation: new fixed-income research rule, modifications to equity research rule, and FAQ on conflicts of interest in offering process
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Journal Articles

SEC offers relief to M&A brokers

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Russell D. Sacks, Thomas Donegan, Charles S. Gittleman
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (2): 18–21.
https://doi.org/10.1108/JOIC-05-2014-0015
Published: 03 June 2014
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Journal Articles

SEC approves amendment to FINRA IPO allocation rule 5131, easing compliance for fund investors

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Charles S. Gittleman, Russell D. Sacks, Jennifer D. Morton
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (1): 52–57.
https://doi.org/10.1108/JOIC-01-2014-0002
Published: 27 February 2014
View article titled, SEC approves amendment to FINRA IPO allocation rule 5131, easing compliance for fund investors
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Journal Articles

Large trader reporting rule: a temporary reprieve for broker‐dealers and broadening of exemptions for capital markets transactions

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Russell D. Sacks, Michael J. Blankenship
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (4): 4–8.
https://doi.org/10.1108/15285811211284065
Published: 23 November 2012
View article titled, Large trader reporting rule: a temporary reprieve for broker‐dealers and broadening of exemptions for capital markets transactions
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Journal Articles

Large trader reporting FAQs

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Russell D. Sacks, Michael J. Blankenship
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (1): 23–29.
https://doi.org/10.1108/15285811211216664
Published: 06 April 2012
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Journal Articles

FINRA's concept proposal on fixed‐income research reports

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Russell D. Sacks, Michael J. Blankenship
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (3): 44–48.
https://doi.org/10.1108/15285811111172295
Published: 13 September 2011
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Journal Articles

SEC proposes large trader reporting system

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Russell D. Sacks, Michael J. Blankenship
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2010) 11 (3): 8–13.
https://doi.org/10.1108/15285811011082188
Published: 14 September 2010
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Journal Articles

Short sale update: SEC extends emergency actions through extraordinary rulemaking; US short selling ban expires

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Russell D. Sacks
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2009) 10 (1): 35–42.
https://doi.org/10.1108/15285810910948117
Published: 13 March 2009
View article titled, Short sale update: SEC extends emergency actions through extraordinary rulemaking; US short selling ban expires
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Journal Articles

The development of US regulation of broker‐dealer research

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Charles S. Gittleman, Russell D. Sacks
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2008) 9 (2): 12–25.
https://doi.org/10.1108/15285810810886144
Published: 13 June 2008
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Journal Articles

SEC adopts Amendments to Rule 105 of Regulation M, including important exceptions for bona fide purchases and for separate accounts

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Charles S. Gittleman, Russell D. Sacks
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2008) 9 (1): 30–34.
https://doi.org/10.1108/15285810810859298
Published: 14 March 2008
View article titled, SEC adopts Amendments to Rule 105 of Regulation M, including important exceptions for bona fide purchases and for separate accounts
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Journal Articles

NASD publishes initial proposal to change conflict of interest rules relating to underwriting of public offerings in the United States

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Charles S. Gittleman, Russell D. Sacks
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2006) 7 (4): 38–44.
https://doi.org/10.1108/15285810610719943
Published: 01 October 2006
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Journal Articles

Anti‐money laundering regulations: Treasury Department enacts final rules implementing Section 312 of the PATRIOT Act relating to foreign correspondent accounts and private banking accounts

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Charles S. Gittleman, Russell D. Sacks
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2005) 6 (4): 13–24.
https://doi.org/10.1108/15285810510681865
Published: 01 October 2005
View article titled, Anti‐money laundering regulations: Treasury Department enacts final rules implementing Section 312 of the PATRIOT Act relating to foreign correspondent accounts and private banking accounts
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Journal Articles

SEC approves NASD and NYSE uniform branch office definition for broker‐dealers

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Charles S. Gittleman, Russell D. Sacks
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2005) 6 (2): 4–9.
https://doi.org/10.1108/15285810510644884
Published: 01 April 2005
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