Sentences with phrase «state securities regulators in»

The Campaign for Wise and Safe Investing ® is a national and state - level partnership between the AARP Foundation, IPT, AARP state offices and their local State Securities Regulators in 35 states.

The settlement was announced on Wednesday by state securities regulators in Massachusetts and Alabama, who said the deal will also ensure that LPL buys back securities that were illegally sold to investors.

A state securities regulator in Texas has put out yet another cease - and - desist order on cryptocurrency - related activities.

Not exact matches

In anticipation of the rules, the North American Securities Administrators Association, which represents state securities regulators, is taking steps to try to weed out possible problems lurking among thousands of nascent crowdfunding oSecurities Administrators Association, which represents state securities regulators, is taking steps to try to weed out possible problems lurking among thousands of nascent crowdfunding osecurities regulators, is taking steps to try to weed out possible problems lurking among thousands of nascent crowdfunding operations.

Currently, registered investment advisors regulated by the Securities and Exchange Commission or state securities regulators are already held to a fiduciary standard of conduct under which they must act in their clients» best Securities and Exchange Commission or state securities regulators are already held to a fiduciary standard of conduct under which they must act in their clients» best securities regulators are already held to a fiduciary standard of conduct under which they must act in their clients» best interests.

The Securities and Exchange Commission is the governing regulatory agency for registered investment advisors that manage more than $ 100 million in assets, while each state's securities regulators generally oversee other investmentSecurities and Exchange Commission is the governing regulatory agency for registered investment advisors that manage more than $ 100 million in assets, while each state's securities regulators generally oversee other investmentsecurities regulators generally oversee other investment advisors.

The SEC, the top securities regulator in the United States, has little authority over privately held companies, which unlike publicly traded companies do not have to register or file financial information with the agency regularly.

State securities regulators also work with issuers to ensure that securities offerings include legally required disclosures, resulting in a transparent and fluid securities market.

As Congress considers or creates new structures to allow information sharing regarding cybersecurity and other matters among law enforcement agencies and regulators, we strongly urge the inclusion of state securities, insurance, and banking regulators in those discussions and in any new framework.

Formed in 1919, NASAA is the association of state and provincial securities regulators.

BLUE SKY FEES AND EXPENSES: $ 35,000 A disadvantage of going public on the Nasdaq SmallCap Market, as Multicom discovered, is that state regulators do not automatically accept the new security for sale by brokers in their own states as they do with companies listed on the Nasdaq National Market, the New York Stock Exchange, and the American Stock Exchange.

State securities regulators appreciate bipartisan interest in modernizing privacy protections relating to information stored on internet service providers, but urge Congress not to inadvertently or unjustifiably curtail crucial investigatory authorities used by state regulators and other civil law enforcement agenState securities regulators appreciate bipartisan interest in modernizing privacy protections relating to information stored on internet service providers, but urge Congress not to inadvertently or unjustifiably curtail crucial investigatory authorities used by state regulators and other civil law enforcement agenstate regulators and other civil law enforcement agencies.

IPT is collarborating with the Investor Protection Institute, State Securities Regulators and State credit union associations to provide online investor education and protection curriculum to credit union employees in participating states.

The Commission is exploring ways to further collaborate with state regulators, including a program for a representative of NASAA or a state securities regulator to work with the staff in the SEC's Division of Corporation Finance in implementing these rules.

During the pilot phase of the program, State Securities Regulators» offices partnered with libraries in 20 states to offer free seminars on investment education.

The program is a collaboration between IPT, the Investor Protection Institute, State Securities Regulators and State credit union associations to provide online investor education and protection curriculum to credit union employees in participating states.

The IPT works with State Securities Regulators and other partners to bring investor education and protection programs directly to Americans in their communities through the Investor Education in Your Community ® program.

In 2011, federal and state securities regulators warned investors of the potential risks associated with self - directed IRAs, saying they had noted an increase in complaints about fraudulent investment schemes that used these types of IRAs as a «key feature.&raquIn 2011, federal and state securities regulators warned investors of the potential risks associated with self - directed IRAs, saying they had noted an increase in complaints about fraudulent investment schemes that used these types of IRAs as a «key feature.&raquin complaints about fraudulent investment schemes that used these types of IRAs as a «key feature.»

Because State Securities Regulators may be able to provide more information on prospective securities professionals than found in a BrokerCheck report, investors may want to contact their state securities regulator fState Securities Regulators may be able to provide more information on prospective securities professionals than found in a BrokerCheck report, investors may want to contact their state securities regulaSecurities Regulators may be able to provide more information on prospective securities professionals than found in a BrokerCheck report, investors may want to contact their state securities regulasecurities professionals than found in a BrokerCheck report, investors may want to contact their state securities regulator fstate securities regulasecurities regulator first.

On Aug. 14, the regulator said China Securities Finance Corp., the state agency tasked with supporting share prices, would no longer add to holdings unless there's unusual volatility and systemic risk, although it would remain in the stock market for years to come.

He has served on task forces of state securities regulators to negotiate multistate settlements in cases involving Lloyd's of London, Salomon Brothers, and Drexel Burnham Lambert Group.

IPT works with State Securities Regulators and other partners to bring investor education and protection programs directly to Americans in their communities through the Investor Education in Your Community ® program.

Notably, the National Financial Work Conference has been the stage for: forming agencies to regulate the insurance and securities industries and bank bailout strategies in 1997, creating banking regulators and listing state - owned banks on exchanges abroad in 2002, creating the sovereign wealth fund, establishing the China Investment Corporation in 2007, which currently has assets of $ 813.5 billion, and developing methodologies for dealing with the global financial crisis of 2008.

Each booklet includes a glossary of terms used in the booklet and information on the role of State Securities Regulators and how to contact your Regulator.

Mr. Flaherty reiterated that the eventual head of the national securities regulator he is seeking to create will join the FISC, completing a model that is being considered in the United States and the European Union.

Important factors that may affect the Company's business and operations and that may cause actual results to differ materially from those in the forward - looking statements include, but are not limited to, operating in a highly competitive industry; changes in the retail landscape or the loss of key retail customers; the Company's ability to maintain, extend and expand its reputation and brand image; the impacts of the Company's international operations; the Company's ability to leverage its brand value; the Company's ability to predict, identify and interpret changes in consumer preferences and demand; the Company's ability to drive revenue growth in its key product categories, increase its market share, or add products; an impairment of the carrying value of goodwill or other indefinite - lived intangible assets; volatility in commodity, energy and other input costs; changes in the Company's management team or other key personnel; the Company's ability to realize the anticipated benefits from its cost savings initiatives; changes in relationships with significant customers and suppliers; the execution of the Company's international expansion strategy; tax law changes or interpretations; legal claims or other regulatory enforcement actions; product recalls or product liability claims; unanticipated business disruptions; the Company's ability to complete or realize the benefits from potential and completed acquisitions, alliances, divestitures or joint ventures; economic and political conditions in the United States and in various other nations in which we operate; the volatility of capital markets; increased pension, labor and people - related expenses; volatility in the market value of all or a portion of the derivatives we use; exchange rate fluctuations; risks associated with information technology and systems, including service interruptions, misappropriation of data or breaches of security; the Company's ability to protect intellectual property rights; impacts of natural events in the locations in which we or the Company's customers, suppliers or regulators operate; the Company's indebtedness and ability to pay such indebtedness; the Company's ownership structure; the impact of future sales of its common stock in the public markets; the Company's ability to continue to pay a regular dividend; changes in laws and regulations; restatements of the Company's consolidated financial statements; and other factors.

In March, SEC regulators stated that they would seek applicable securities laws on all aspects of the cryptocurrency market, including exchanges and digital asset storage facilities such as wallets.

Let me just say that if I were starting a software company in the United States today, given the noises being made by the SEC and by other financial services regulators I would not put an exchange - tradable token at the center of the offering unless that token were a representation of a legally - recognized interest and structured on the basis that the token will be regulated by the securities laws.

Mutual Fund Practices, Senior Investment Fraud, Variable Annuities Join 2004 List WASHINGTON (January 14, 2004)-- State securities regulators today forecast that investors will be challenged with increasingly complex and confusing investment frauds and identified the Top 10 schemes investors are likely to see in 2004.

The program is a collaboration between IPI, the Investor Protection Trust, State Securities Regulators, and employers to provide online investor education and protection curriculum to employees in participating states.

In the United States, however, securities regulators are likely to frown on any arrangement that favors institutions over individuals, particularly in light of scandals that have occurred in the pasIn the United States, however, securities regulators are likely to frown on any arrangement that favors institutions over individuals, particularly in light of scandals that have occurred in the pasin light of scandals that have occurred in the pasin the past.

The principal regulator of securities markets and investment companies in the United States.

State securities regulators have led the national effort to give investors access to billions of dollars of their funds, which have been frozen in the auction rate securities markets.

Inc.: State Securities Regulators Announce Settlement with Stifel, Nicolaus & Co., Inc. in Auction Rate Securities Investigations, December 29, 2009

FINRA The Financial Industry Regulatory Authority (FINRA), is the largest non-governmental regulator for securities firms doing business in the United States and is dedicated to investor protection through regulation and complementary compliance and technology - based services.

Credit Suisse Securities: State Securities Regulators Announce Settlement with Credit Suisse Securities in Auction Rate Securities Investigation, September 16, 2008

In settlements reached with state and federal securities regulators, 11 firms have agreed in principle to repurchase more than $ 50 billion of auction rate securitieIn settlements reached with state and federal securities regulators, 11 firms have agreed in principle to repurchase more than $ 50 billion of auction rate securitiein principle to repurchase more than $ 50 billion of auction rate securities.

As investor complaints to states increased, the North American Securities Administrators Association announced in April 2008 the formation of a multi-state Task Force, comprised of securities regulators in 12 states, to investigate whether the nation's prominent Wall Street firms had systematically misled investors when placing them in auction rate sSecurities Administrators Association announced in April 2008 the formation of a multi-state Task Force, comprised of securities regulators in 12 states, to investigate whether the nation's prominent Wall Street firms had systematically misled investors when placing them in auction rate ssecurities regulators in 12 states, to investigate whether the nation's prominent Wall Street firms had systematically misled investors when placing them in auction rate securitiessecurities.

Bank of America RBC Capital Markets Corp.: State Securities Regulators Announce Settlement with Bank of America and RBC Capital Markets Corp. in Auction Rate Securities Investigations, October 8, 2008

Wells Fargo Investments LLC: State Securities Regulators Announce $ 1.3 Billion Settlement with Wells Fargo Investors in Auction Rate Securities Investigations, November 18, 2009

(MarketWatch.com: Aug 23, 2009) MarketWatch syndicated funds columnist Chuck Jaffe stated that «state securities regulators misfired and missed the point» by including leveraged ETFs in an announcement by the August 18 «Top 10 Investor Traps» press release from the North American Securities Administrators Assecurities regulators misfired and missed the point» by including leveraged ETFs in an announcement by the August 18 «Top 10 Investor Traps» press release from the North American Securities Administrators AsSecurities Administrators Association.

In the realm of investment advice, a registered investment adviser (RIA) is registered with the Securities and Exchange Commission or state securities regulators, has passed examinations, and must act as a Securities and Exchange Commission or state securities regulators, has passed examinations, and must act as a securities regulators, has passed examinations, and must act as a fiduciary.

The IPT works with State Securities Regulators and other partners to bring investor education and protection programs directly to Americans in their communities through the Investor Education in Your Community ® program.

During the pilot phase of the program, State Securities Regulators» offices partnered with libraries in 20 states to offer free seminars on investment education.

It will likely be a long time before Prosper is available in Ohio — they have one of the strictest state securities regulators of any state.

The largest nongovernmental regulator for all securities firms doing business in the United States.

Created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is the largest non-governmental regulator for all securities firms doing business in the United States.

Also consider going to the Web site of the Financial Industry Regulatory Authority (www.finra.org), the largest non-governmental regulator of securities firms operating in the United States.

They also made up 70 % of all the canceled trades during the Flash Crash on May 6, despite representing just 11 % of listed securities in the United States, suggesting that ETFs remain poorly understood by both investors and regulators.

He is an active member of the firm's White Collar Crimes & Government Investigations practice group and, in this capacity, regularly advises clients in connection with investigations by the Federal Trade Commission (FTC), Securities and Exchange Commission (SEC), state attorneys general and other government regulators.