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North American Securities Administrators Association
The North American Securities Administrators Association (NASAA), founded in Kansas in 1919, is the oldest international investor protection organization. NASAA is an association of state securities administrators who are charged with the responsibility to protect consumers who purchase securities or investment advice. NASAA's membership consists of 67 administrators from the territories, districts, and states of the United States, from Mexico, and from the provinces of Canada. In the United States, NASAA is the voice of state securities agencies responsible for efficient capital formation and grassroots investor protection. NASAA's fundamental mission is protecting consumers who purchase securities or investment advice, and its jurisdiction extends to a wide variety of issuers and intermediaries who offer and sell securities to the public. Through the association, NASAA members participate in multi-state enforcement actions and information sharing. NASAA also coordinates and im ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Kansas
Kansas () is a U.S. state, state in the Midwestern United States, Midwestern United States. Its Capital city, capital is Topeka, Kansas, Topeka, and its largest city is Wichita, Kansas, Wichita. Kansas is a landlocked state bordered by Nebraska to the north; Missouri to the east; Oklahoma to the south; and Colorado to the west. Kansas is named after the Kansas River, which in turn was named after the Kaw people, Kansa Native Americans who lived along its banks. The List of federally recognized tribes, tribe's name (natively ') is often said to mean "people of the (south) wind" although this was probably not the term's original meaning. For thousands of years, what is now Kansas was home to numerous and diverse Plains Indians, Native American tribes. Tribes in the eastern part of the state generally lived in villages along the river valleys. Tribes in the western part of the state were semi-nomadic and hunted large herds of bison. The first Euro-American settlement in Kansas oc ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Regulation A
In the United States under the Securities Act of 1933, any offer to sell securities must either be registered with the United States Securities and Exchange Commission (SEC) or meet certain qualifications to exempt it from such registration. Regulation A (or Reg A) contains rules providing exemptions from the registration requirements, allowing some companies to use equity crowdfunding to offer and sell their securities without having to register the securities with the SEC. Regulation A offerings are intended to make access to capital possible for small and medium-sized companies that could not otherwise bear the costs of a normal SEC registration and to allow nonaccredited investors to participate in the offering. The regulation is found under Title 17 of the Code of Federal Regulations, chapter 2, part 230. The legal citation is 17 C.F.R. §230.251 ''et seq.'' On March 25, 2015, the SEC issued new final regulations amending Regulation A. Montana and Massachusetts state regulato ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
United States Securities Law
Securities regulation in the United States is the field of U.S. law that covers transactions and other dealings with securities. The term is usually understood to include both federal and state-level regulation by governmental regulatory agencies, but sometimes may also encompass listing requirements of exchanges like the New York Stock Exchange and rules of self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA). On the federal level, the primary securities regulator is the Securities and Exchange Commission (SEC). Futures and some aspects of derivatives are regulated by the Commodity Futures Trading Commission (CFTC). Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties. Failing to comply can even result in criminal liability.Steinberg, Marc (2009). ''Understanding Securities Law''. LEXISNEXIS. . Overview The SEC was created by the Securities Exch ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Organizations Established In 1919
An organization or organisation (Commonwealth English; see spelling differences), is an entity—such as a company, an institution, or an association—comprising one or more people and having a particular purpose. The word is derived from the Greek word ''organon'', which means tool or instrument, musical instrument, and organ. Types There are a variety of legal types of organizations, including corporations, governments, non-governmental organizations, political organizations, international organizations, armed forces, charities, not-for-profit corporations, partnerships, cooperatives, and educational institutions, etc. A hybrid organization is a body that operates in both the public sector and the private sector simultaneously, fulfilling public duties and developing commercial market activities. A voluntary association is an organization consisting of volunteers. Such organizations may be able to operate without legal formalities, depending on jurisdiction, includin ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Uniform Securities Act
The Uniform Securities Act (USA) is a model statute designed to guide each state in drafting its state securities law. It was created by the National Conference of Commissioners on Uniform State Laws (NCCUSL). The purpose of the Uniform Securities Act is to provide model legislation that can be adopted by a state to deal with securities fraud at the state level, supplementing enforcement and regulation efforts of the U.S. Securities and Exchange Commission (SEC). Not all investments are covered federally and not all investment dealers are registered at the federal level, so the SEC does not have authority over all securities and securities transactions. As a result, there is a need for state-level security regulations to protect investors with respect to these securities. The Uniform Securities Act provides model legislation that can be enacted by a state to provide this protection. The state security laws are often known as blue sky laws. The Act was first promulgated in 1930, ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Thomas Krebs
Thomas L. Krebs is an American securities and finance attorney. Krebs continues to represent the Alabama Securities Commission in select matters and maintains a private securities practice. He is recognized in The Best Lawyers in America for Securities Law. Background Education Krebs graduated from the University of Virginia in 1966 and was awarded a Juris Doctor degree from the University of Alabama School of Law in 1972. Military service Prior to attending law school, Krebs was an officer in the United States Marine Corps serving in Vietnam as a platoon commander, where he was twice decorated for heroism and meritorious service (Bronze Star with Combat "V", the Navy Commendation Medal with Combat "V" and the Purple Heart Medal). Public service Alabama Securities Commission Krebs served as the Director of the Alabama Securities Commission from 1975 until 1985. Leviticus project In 1978, together with the Honorable Robert Morgenthau, the District Attorney for the ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Joseph Borg (regulator)
Joseph P. Borg (born 1951) is an American financial regulator who has served as the Securities Commissioner of Alabama since 1994. In this position, he is responsible for prosecuting financial crimes which affect Alabama residents. He has also served as the president of the North American Securities Administrators Association for two terms. He was described in a 2002 ''Forbes'' article as "Wall Street's Worst Nightmare". Smart Money magazine listed Borg in its listing of "The Power 30- The Top Financial Players" citing his 98% conviction rate and calling him "one of the toughest 'stock cops' in America" mart Money November, 2011 Early life Borg was born in New York City to Maltese immigrants Philip J. Borg and Dorothy Borg (). He attended Hofstra University School of Law and then worked as a personal injury lawyer. He moved from Queens to Montgomery, Alabama to work as a defense lawyer in product–liability cases. Borg soon made partner in a Montgomery law firm and later wor ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Lisa Hopkins (politician)
Lisa Hopkins is a Democratic American politician from West Virginia. She served as the interim West Virginia State Auditor during 2016 after she was appointed to the seat by Earl Ray Tomblin following the resignation of Glen Gainer. Hopkins started working in the office of the West Virginia auditor in 1999. In 2001, she became the general counsel of the office and the deputy commissioner of securities. She remained in these positions until being appointed interim auditor. The filing deadlines already passed at the time Hopkins was appointed on May 15, 2016, making her ineligible to run for election to a full term in 2016. Republican JB McCuskey won the 2016 election as auditor, becoming the first Republican auditor of West Virginia since 1976. She received her B.A. from Barnard College and her J.D. from the Boston University School of Law. As of 2020, she serves as president of the North American Securities Administrators Association The North American Securities Administrators ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Senter Lubin
Senter is a surname, and may refer to: * Anthony Senter (born 1955), American mobster * Darren Senter (born 1972), Australian professional rugby league footballer * Dewitt Clinton Senter (1830-1898), American politician * George B. Senter (1827-1870), American politician * Henry M. Senter (1873-1934), American football player * Josh Senter Joshua Ray Senter (born 14 February 1979) is an American screenwriter and novelist known for his work on the television series ''Desperate Housewives'' and his critically-acclaimed novel, ''Still the Night Call.'' Career Senter was born in Plato ... (born 1979), American screenwriter * Leon B. Senter (1889-1965), American architect * Lyonel Thomas Senter Jr. (born 1933), American judge * William Tandy Senter (1801-1848), American politician {{surname ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Securities Act Of 1933
The Securities Act of 1933, also known as the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, and the '33 Act, was enacted by the United States Congress on May 27, 1933, during the Great Depression and after the stock market crash of 1929. It is an integral part of United States securities regulation. It is legislated pursuant to the Interstate Commerce Clause of the Constitution. It requires every offer or sale of securities that uses the means and instrumentalities of interstate commerce to be registered with the SEC pursuant to the 1933 Act, unless an exemption from registration exists under the law. The term "means and instrumentalities of interstate commerce" is extremely broad and it is virtually impossible to avoid the operation of the statute by attempting to offer or sell a security without using an "instrumentality" of interstate commerce. Any use of a telephone, for example, or the mails would probably be enough to subject t ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Depository Trust And Clearing Corporation
The Depository Trust & Clearing Corporation (DTCC) is an American post-trade financial services company providing clearing and settlement services to the financial markets. It performs the exchange of securities on behalf of buyers and sellers and functions as a central securities depository by providing central custody of securities. DTCC was established in 1999 as a holding company to combine The Depository Trust Company (DTC) and National Securities Clearing Corporation (NSCC). User-owned and directed, it automates, centralizes, standardizes, and streamlines processes in the capital markets. Through its subsidiaries, DTCC provides clearance, settlement, and information services for equities, corporate and municipal bonds, unit investment trusts, government and mortgage-backed securities, money market instruments, and over-the-counter derivatives. It also manages transactions between mutual funds and insurance carriers and their respective investors. In 2011, DTCC settl ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Securities
A security is a tradable financial asset. The term commonly refers to any form of financial instrument, but its legal definition varies by jurisdiction. In some countries and languages people commonly use the term "security" to refer to any form of financial instrument, even though the underlying legal and regulatory regime may not have such a broad definition. In some jurisdictions the term specifically excludes financial instruments other than equities and Fixed income instruments. In some jurisdictions it includes some instruments that are close to equities and fixed income, e.g., equity warrants. Securities may be represented by a certificate or, more typically, they may be "non-certificated", that is in electronic ( dematerialized) or "book entry only" form. Certificates may be ''bearer'', meaning they entitle the holder to rights under the security merely by holding the security, or ''registered'', meaning they entitle the holder to rights only if they appear on a secur ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
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