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Financial Industry Regulatory Authority
The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets. FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) as well as the member regulation, enforcement, and arbitration operations of the New York Stock Exchange. The U.S. government agency that acts as the ultimate regulator of the U.S. securities industry, including FINRA, is the U.S. Securities and Exchange Commission (SEC). Overview The Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect investors by making sure the United States securities industry operates fairly and honestly. In December 2019, FINRA oversaw 3,517 brokerage firms, 153,907 branch offices and approximately 624,674 registered securities representatives. FINRA has ap ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Securities Regulation In The United States
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 Exchang ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Washington, D
Washington commonly refers to: * Washington (state), United States * Washington, D.C., the capital of the United States ** A metonym for the federal government of the United States ** Washington metropolitan area, the metropolitan area centered on Washington, D.C. * George Washington (1732–1799), the first president of the United States Washington may also refer to: Places England * Washington, Tyne and Wear, a town in the City of Sunderland metropolitan borough ** Washington Old Hall, ancestral home of the family of George Washington * Washington, West Sussex, a village and civil parish Greenland * Cape Washington, Greenland * Washington Land Philippines *New Washington, Aklan, a municipality *Washington, a barangay in Catarman, Northern Samar *Washington, a barangay in Escalante, Negros Occidental *Washington, a barangay in San Jacinto, Masbate *Washington, a barangay in Surigao City United States * Washington, Wisconsin (other) * Fort Washington (disambiguati ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Sutherland Asbill & Brennan LLP
Sutherland Asbill & Brennan LLP, rebranded to the abbreviated name of Sutherland, was an AmLaw 100 American law firm. Founded in 1924 by William Sutherland and Elbert Tuttle as Sutherland & Tuttle, the firm originally achieved national prominence on tax issues. Sutherland's practice extended throughout the United States and worldwide, and was focused on seven major practice areas: corporate, energy and environmental, financial services, intellectual property, litigation, real estate, and tax. As of January 2011, the firm had approximately 422 attorneys. History Founded in 1924 by William Sutherland and Elbert Tuttle, the firm of Sutherland & Tuttle first established a practice in the tax field. In the ensuing years, the firm developed practices in corporate, energy, financial services, intellectual property, litigation and real estate. In 1933, Joseph Brennan became partner and the firm became known as Sutherland, Tuttle & Brennan. The firm opened an office in Washington, DC ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Alternative Display Facility
Alternative display facility (ADF) is an equity trading facility created in the United States by the Financial Industry Regulatory Authority (FINRA), a self-regulatory organization (SRO). The ADF is an alternative to the exchange for publishing quotations and for comparing and reporting trades. This differs from a trading facility with execution capabilities (stock exchange A stock exchange, securities exchange, or bourse is an exchange where stockbrokers and traders can buy and sell securities, such as shares of stock, bonds and other financial instruments. Stock exchanges may also provide facilities for t ...) in that the exchange would simply send back to the owner of the displayed order a notice of execution. FINRA has operated an ADF since July 29, 2002. References Stock exchanges in the United States Stock market {{Stockexchange-stub ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
American Academy Of Financial Management
The American Academy of Financial Management (AAFM) was a US-based board of standards, certifying body, and accreditation council focused on the finance sector and wealth management professionals.. AAFM was superseded by the Global Academy of Finance and Management. History The AAFM was founded in 1996 through a merger of the American Academy of Financial Management & Analysts (AAFMA) and the Founders Advisory Committee of the Original Tax and Estate Planning Law Review. In January 2015, the AAFM sold its intellectual property to the Global Academy of Finance & Management – the logo for which is the same as that of the AAFM with different letters – and the International Board of Certification Standards, which now awards the AAFM's certifications in the United States. The AAFM offered multiple professional membership, certifications, and designations. Members had to have come through one of the AAFM-recognized university programs or through a government-recognized e ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Securities Investor Protection Corporation
The Securities Investor Protection Corporation (SIPC ) is a federally mandated, non-profit, member-funded, United States corporation created under the Securities Investor Protection Act (SIPA) of 1970 that mandates membership of most US-registered broker-dealers. Although created by federal legislation and overseen by the Securities and Exchange Commission, the SIPC is neither a government agency nor a regulator of broker-dealers. The purpose of the SIPC is to expedite the recovery and return of missing customer cash and assets during the liquidation of a failed investment firm. History Enactment In response to the near collapse of the financial markets in 1970, Congress chose to enact legislation that could prevent an escalation of brokerage firm insolvencies and help stabilize the financial markets. In December 1970, Senator Edmund Muskie pushed forward a bill to create a Federal Broker Dealer Insurance Corporation. A compromise with the House resulted in the SIPA, which ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Pro Se
''Pro se'' legal representation ( or ) comes from Latin ''pro se'', meaning "for oneself" or "on behalf of themselves" which, in modern law, means to argue on one's own behalf in a legal proceeding, as a defendant or plaintiff in civil cases, or a defendant in criminal cases, rather than have representation from counsel or an attorney. This status is sometimes known as ''in propria persona'' (abbreviated to "pro per"). In England and Wales the comparable status is that of "litigant in person". Prevalence According to the National Center for State Courts in the United States, as of 2006 ''pro se'' litigants had become more common in both state courts and federal courts. Estimates of the ''pro se'' rate of family law overall averaged 67% in California, 73% in Florida's large counties, and 70% in some Wisconsin counties. In San Diego, for example, the number of divorce filings involving at least one ''pro se'' litigant rose from 46% in 1992 to 77% in 2000, in Florida from 6 ... [...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] |
Rodriguez De Quijas V
Rodriguez ( in Peninsular Spain or in Latin America) is a Hispanic surname meaning "son of Rodrigo". It is often rendered without the accent mark, primarily outside Spanish-speaking countries. It may refer to: __NOTOC__ People * Rodríguez (surname), people with the surname or mononym ''Rodríguez'' * Rodrigues (surname), people with the surname ''Rodrigues'' Music * Sixto Rodriguez, singer-songwriter who records and performs under the mononym Rodriguez * Rodriguez (band), American rock band active in the mid-late 1990s * Adrián Rodríguez, Spanish actor and singer * Adrian Rodriguez (DJ), German trance producer and DJ, known as Rodriguez * Adrian Rodriguez (musician), American musician, bassist of The Airborne Toxic Event * Magan & Rodriguez, Spanish musical duo * Martínez Rodríguez, Cuban vocalist who collaborated with Tacabro Place names * Rodrigues Island, a dependency of Mauritius in the Indian Ocean * Rodriguez, California, alternate name of Muroc, California, Unit ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Arbitration In The United States
Arbitration, in the context of the law of the United States, is a form of alternative dispute resolution. Specifically, arbitration is an alternative to litigation through which the parties to a dispute agree to submit their respective evidence and legal arguments to a neutral third party (the arbitrator(s) or arbiter(s)) for resolution. In practice arbitration is generally used as a substitute for litigation, particularly when the judicial process is perceived as too slow, expensive or biased. In some contexts, an arbitrator may be described as an umpire. History Agreements to arbitrate were not enforceable at common law. This rule has been traced back to dictum by Lord Coke in ''Vynor’s Case'', 8 Co. Rep. 81b, 77 Eng. Rep. 597 (1609), that agreements to arbitrate were revocable by either party. During the Industrial Revolution, merchants became increasingly opposed to this rule. They argued that too many valuable business relationships were being destroyed through years of expe ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
