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From: "NYSSA SmartBrief" <nyssa@smartbrief.com>
Date: Mon, 5 May 2014 05:30:52 -0500 (CDT)
To: <mainandwall@aol.com>
Subject: Regulation SCI getting attention from SEC
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No buyer in sight, NSX files to close operations The National Stock Exchange, which trades about 0.2% of U.S. equity volume, will stop operating May 30, according to its filing with the Securities and Exchange Commission. The filing was made as "a step in the process towards preparing to cease operations, even as we grow our business and seek new owners," said CEO David Harris. Bloomberg (5/2)  | Going Global: Social Media Marketing for Small Businesses
Social media is creating new avenues for merchants to promote their companies at a low cost. However, before business owners decide which social media platforms to use for marketing, they need to know more about available options and why they should choose one social media channel over another. In this white paper review some of the most popular options. Download the free white paper now. |
 | Regulation SCI getting attention from SEC Mary Jo White, head of the Securities and Exchange Commission, testified last week before a House panel that her agency is moving forward with Regulation SCI, which relates to "controls around trading." The ultimate goal is to thwart cyberthreats to the markets, and the SEC would like to see the Systems Compliance and Integrity rules implemented by year-end. MarketsMedia (5/1) Treasury offers some enforcement relief on FATCA The Treasury Department has said that as long as firms make a good-faith effort to comply with the Foreign Account Tax Compliance Act, which takes effect July 1, it won't rigorously enforce the law this year and next. "Today's notice outlines several measures to help institutions comply with FATCA in a timely manner," said Robert Stack of the Treasury. "This notice will enhance our insight into accounts held overseas by U.S. citizens, furthering the goal of narrowing the tax gap and cracking down on tax evasion." Bloomberg (5/2), The Wall Street Journal (tiered subscription model)/Dow Jones Newswires (5/2) SEC official defends agency's ability to police market Gregg Berman, a top Securities and Exchange Commission adviser for dark pools and high-frequency trading, says critics, such as New York Attorney General Eric Schneiderman, couldn't be more wrong when they say regulators have fallen too far behind market participants to enforce the rules. The SEC is under increased pressure to tackle market concerns, such as those stemming from HFT. Bloomberg (5/2)  | Equity Compensation for Private Companies - The Six Pitfalls to Avoid
Equity administration in private companies often falls across various teams or is owned by one person already wearing multiple hats. This can hinder the successful administration of the plan, particularly around tax and accounting consequences. This white paper covers the most common mistakes made in stock plan administration by private companies. Download Now. |
 | Having a strong culture means more than just living by the rulebook It's been suggested that companies with strong cultures don't need rules to keep their workers in line, but that isn't necessarily the case, writes Jamie Notter. The key is to put policies in place that align with and support the culture you're trying to build -- whether that's a decentralized culture like Airbnb's, or a more rigorous and command-oriented culture like the military's. "For a culture to be strong, it has to be lived, not prescribed," Notter explains. Jamie Notter (4/29) |  | Preconceived notions are the locks on the door to wisdom." | | | Please contact one of our specialists for advertising opportunities, editorial inquiries, job placements, or any other questions.
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