Sample records for adopt finra rule
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-29
..., Inc. Adopting Rule 0 To Provide That Certain References in Exchange Rules Should Be Understood To Also... Exchange rules should be understood to also include FINRA, as applicable. The text of the proposed rule... references in Exchange rules should be understood to also include FINRA, as applicable. Specifically...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-26
... Change To Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook November 17, 2010... Statement of the Terms of Substance of the Proposed Rule Change FINRA is proposing to adopt NASD Rule 3020...\\ FINRA is proposing to adopt NASD Rule 3020 as FINRA Rule 4360 (Fidelity Bonds), taking into account NYSE...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-03
... Change To Adopt FINRA Rule 3230 (Telemarketing) in the FINRA Consolidated Rulebook January 30, 2012. I... rule change to adopt FINRA Rule 3230 (Telemarketing) in the FINRA Consolidated Rulebook. The proposed rule change was published for comment in the Federal Register on November 2, 2011.\\3\\ The Commission...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-08
... delete NYSE Rule 445 (Anti-Money Laundering Compliance Program) and adopt new Rule 3310 (Anti-Money..., subject to certain amendments, NASD Rule 3011 (Anti- Money Laundering Compliance Program) and related Interpretive Material NASD IM-3011-1 and 3011-2 as consolidated FINRA Rule 3310 (Anti-Money Laundering...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-02
... To Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook February 24, 2011. I... Exchange Act of 1934 (``Exchange Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to adopt.... 31, 2010 (``Kramer''). II. Description of Proposed Rule Change A. Summary FINRA is proposing to adopt...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-08
... Laundering Compliance Program) and adopt new Rule 3310--NYSE Amex Equities (Anti-Money Laundering Compliance... amendments, NASD Rule 3011 (Anti- Money Laundering Compliance Program) and related Interpretive Material NASD IM-3011-1 and 3011-2 as consolidated FINRA Rule 3310 (Anti-Money Laundering Compliance Program), and...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-25
... believes this proposed rule change is consistent with that belief. \\12\\ FINRA Rule 9521(b)(2). Third, the... Change To Adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and To Amend the... (``Exchange Act'' or ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to adopt new FINRA Rule...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-11
... Rule Change To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook October 4, 2011. On... to adopt rules regarding supervision in the consolidated FINRA rulebook. The proposed rule change was...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-01
... FINRA is proposing to adopt FINRA Rules 4150 (Guarantees by, or Flow Through Benefits for, Members... adopt FINRA Rules 4150 (Guarantees by, or Flow Through Benefits for, Members), 4311 (Carrying Agreements... customer accounts also apply to any member that, operating pursuant to the exemptive provisions of SEA Rule...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-20
... Change To Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook... FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook. The proposed rule... 65817. Rule 17a-4 of the Act requires members to retain their books and records for specified retention...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-24
... Change To Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) May 19, 2010... Halts Due to Extraordinary Market Volatility) to permit FINRA to halt trading by FINRA members otherwise... October 2008, FINRA adopted FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-07
... Proposed Rule Change Deleting the Text of NYSE Rule 409(f) and Adopting the Text of FINRA Rule 2232 and... of the Terms of Substance of the Proposed Rule Change The Exchange proposes (1) To delete the text of NYSE Rule 409(f) and adopt the text of FINRA Rule 2232 and (2) delete the Rule Interpretations to NYSE...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-23
... Requirements, and Adopt New Rule Text That Is Substantially Similar to FINRA Rule 4360 February 16, 2012... adopt new rule text that is substantially similar to FINRA Rule 4360. The text of the proposed rule... rule change. The text of those statements may be examined at the places specified in Item IV below. The...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-17
... Proposed Rule Change Deleting NYSE Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400... Exchange proposes to delete NYSE Rules 132A, 132B, and 132C, adopt the text of the FINRA Rule 7400 Series, the Order Audit Trail System (``OATS'') Rules, and make certain conforming changes. The text of the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-17
... Deleting NYSE Amex Equities Rules 132A, 132B, and 132C, Adopting the Text of the FINRA Rule 7400 Series... Equities Rules 132A, 132B, and 132C, adopt the text of the FINRA Rule 7400 Series, the Order Audit Trail System (``OATS'') Rules, and make certain conforming changes. The text of the proposed rule change is...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-04
....'' \\5\\ The rule requires prominent disclosure of the nature of the conflict, and in certain... Change To Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the... (Public Offerings of Securities With Conflicts of Interest) as a FINRA rule in the consolidated FINRA...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-07
... Deleting the Text of Rule 409(f)--NYSE Amex Equities and Adopting the Text of FINRA Rule 2232 June 30, 2011... proposes to delete the text of Rule 409(f)--NYSE Amex Equities and adopt the text of FINRA Rule 2232. The text of the proposed rule change is available at the Exchange, the Commission's Public Reference Room...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-04
... To Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection--Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook, as... loans and borrowings, permissible use of customers' securities, and callable securities as FINRA Rules...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-08
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal of Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook August 2, 2012. On April 22, 2009, the Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-28
... Understood to Also Include FINRA, as Applicable. June 22, 2010. Pursuant to Section 19(b)(1) \\1\\ of the... certain references in Exchange rules should be understood to also include FINRA, as applicable. The text... should be understood to also include FINRA, as applicable. Specifically, proposed Rule 0 sets forth that...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-29
... Understood to Also Include FINRA, as Applicable June 22, 2010. Pursuant to Section 19(b)(1) \\1\\ of the... that certain references in Exchange rules should be understood to also include FINRA, as applicable... 0 to provide that certain references in Exchange rules should be understood to also include FINRA...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-06
... Account Information), and adopting the Rule 4510A Series (Books and Records Requirements). The series includes Rule 4511A (General Requirement), which incorporates FINRA Rule 4511; Rule 4512A (Customer Account Information), which incorporates FINRA Rule 4512; Rule 4513A (Records of Written Customer Complaints), which...
-
49 CFR 389.29 - Adoption of final rules.
Code of Federal Regulations, 2011 CFR
2011-10-01
... 49 Transportation 5 2011-10-01 2011-10-01 false Adoption of final rules. 389.29 Section 389.29 Transportation Other Regulations Relating to Transportation (Continued) FEDERAL MOTOR CARRIER SAFETY...-FEDERAL MOTOR CARRIER SAFETY REGULATIONS Procedures for Adoption of Rules § 389.29 Adoption of final rules...
-
49 CFR 389.29 - Adoption of final rules.
Code of Federal Regulations, 2010 CFR
2010-10-01
... 49 Transportation 5 2010-10-01 2010-10-01 false Adoption of final rules. 389.29 Section 389.29 Transportation Other Regulations Relating to Transportation (Continued) FEDERAL MOTOR CARRIER SAFETY...-FEDERAL MOTOR CARRIER SAFETY REGULATIONS Procedures for Adoption of Rules § 389.29 Adoption of final rules...
-
17 CFR 200.67 - Power to adopt rules.
Code of Federal Regulations, 2010 CFR
2010-04-01
... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Power to adopt rules. 200.67... AND ETHICS; AND INFORMATION AND REQUESTS Canons of Ethics § 200.67 Power to adopt rules. In exercising... by the Congress imposes the obligation upon the members to adopt rules necessary to effectuate the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-28
... LLC Amending Rule 0 To Provide That Certain References in Exchange Rules Should Be Understood To Also... certain references in Exchange rules should be understood to also include FINRA, as applicable. The text... to provide that certain references in Exchange rules should be understood to also include FINRA, as...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-18
....'' \\8\\ The rule requires prominent disclosure of the nature of the conflict, and in certain... Change To Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the... FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) (``Rule'') in the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-22
....] * * * * * 2262. Disclosure of Control Relationship with Issuer Nasdaq Members shall comply with FINRA Rule 2262... corresponding FINRA rules. This filing addresses NASDAQ Rule 2240 entitled ``Disclosure of Control Relationship... Distribution.'' NASDAQ Rule 2262 makes reference to NASD 2240 entitled ``Disclosure of Control Relationship...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-14
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated... Account Statements) in the Consolidated FINRA Rulebook (``Notice''). The Notice contained incorrect...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-07
... Text of FINRA Rule 4530, and Making Certain Conforming Changes June 30, 2011. Pursuant to Section 19(b... NYSE Rule 351(a)-(d) and Supplementary Material .10 and .13, adopt the text of FINRA Rule 4530, and make certain conforming changes. The text of the proposed rule change is available at the Exchange, the...
-
29 CFR 4203.3 - Plan adoption of special withdrawal rules.
Code of Federal Regulations, 2010 CFR
2010-07-01
... rule adopted pursuant to this part shall be similar to the rules for the construction and entertainment industries described in section 4203 (b) and (c) of ERISA. A partial withdrawal liability rule adopted pursuant to this part shall be consistent with the complete withdrawal rule adopted by the plan. A plan...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-14
... engaged in the process of reviewing and amending the NASD and FINRA Incorporated NYSE Rules in order to create a consolidated FINRA rulebook.\\5\\ In furtherance of this harmonization process, NYSE recently... rulebook consolidation process, see FINRA Information Notice, March 12, 2008. \\6\\ See Securities Exchange...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-11
... Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule... for derivatives and other off-balance sheet items pursuant to FINRA Rule 4524 (Supplemental FOCUS... reported on certain firms' balance sheets. To that end, the proposal would require all carrying or clearing...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-23
... financial condition. BYX shall make available to FINRA any information coming to its attention that reflects... respect to such complaints. 10. Advertising. FINRA shall assume responsibility to review the advertising... Fraudulent Device Rule 3.5(a) Advertising Practices...... NASD Rule 2210(d)(1)(B) Communications with the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-21
... Proposed Rule Change Adopting the Text of Financial Industry Regulatory Authority Rule 5210, Which... The Exchange proposes to adopt the text of Financial Industry Regulatory Authority (``FINRA'') Rule... Rule 5210. The text of the proposed rule change is available at the Exchange, the Commission's Public...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-11
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62655; File No. SR-FINRA-2010-042] Self... Change To Adopt FINRA Rule 4160 (Verification of Assets) August 5, 2010. Pursuant to Section 19(b)(1) of... rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-23
... Deleting NYSE Amex Equities Rule 319, Which Addresses Fidelity Bond Requirements, and Adopt New Rule Text... 319, which addresses fidelity bond requirements, and adopt new rule text that is substantially similar to FINRA Rule 4360. The text of the proposed rule change is available at the Exchange, the Commission...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-18
... Change Adopting the Text of the FINRA Rule 7400 Series, the Order Audit Trail System (``OATS'') Rules... of the Terms of Substance of the Proposed Rule Change The Exchange proposes to adopt the text of the... changes. The text of the proposed rule change is available at the Exchange, the Commission's Public...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-11
... Amending Rule 472-- Equities, Which Addresses Communications With the Public, Adopting New Rule Text To... text to conform to the changes adopted by the Financial Industry Regulatory Authority, Inc. (``FINRA... ``JOBS Act'').\\4\\ The text of the proposed rule change is available on the Exchange's Web site at www...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-08
... Change Deleting the Text of NYSE Arca Equities Rule 5.2(b)(1) and Adopting New NYSE Arca Equities Rule... the text of NYSE Arca Equities Rule 5.2(b)(1) and adopt new NYSE Arca Equities Rule 5190 that is substantially the same as Financial Industry Regulatory Authority (``FINRA'') Rule 5190. The text of the...
-
49 CFR 211.27 - Publication of adopted rules and withdrawal of notices.
Code of Federal Regulations, 2010 CFR
2010-10-01
... 49 Transportation 4 2010-10-01 2010-10-01 false Publication of adopted rules and withdrawal of notices. 211.27 Section 211.27 Transportation Other Regulations Relating to Transportation (Continued... § 211.27 Publication of adopted rules and withdrawal of notices. Whenever the Administrator adopts a...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-07
... Deleting NYSE Amex Equities Rule 351(a)-(d) and Supplementary Material .10 and .13, Adopting the Text of... NYSE Amex Equities Rule 351(a)-(d) and Supplementary Material .10 and .13, adopt the text of FINRA Rule 4530, and make certain conforming changes. The text of the proposed rule change is available at the...
-
Code of Federal Regulations, 2010 CFR
2010-04-01
... 25 Indians 1 2010-04-01 2010-04-01 false May a tribe create and adopt a single heir rule without adopting a tribal probate code? 18.301 Section 18.301 Indians BUREAU OF INDIAN AFFAIRS, DEPARTMENT OF THE INTERIOR PROBATE TRIBAL PROBATE CODES Approval of Single Heir Rule § 18.301 May a tribe create and adopt a...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-06
...-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To Adopt Rules for the...-4 thereunder,\\2\\ a proposed rule change to adopt rules for the qualification, listing, and delisting... the Proposal The Exchange proposes rules to adopt a program for the qualification, listing, and...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-24
... Proposed Rule Change Deleting the Text of NYSE Rule 92 and Adopting a New NYSE Rule 5320 That Is... Terms of Substance of the Proposed Rule Change The Exchange proposes to delete the text of NYSE Rule 92... same as Financial Industry Regulatory Authority (``FINRA'') Rule 5320. The text of the proposed rule...
-
Learning and innovative elements of strategy adoption rules expand cooperative network topologies.
Wang, Shijun; Szalay, Máté S; Zhang, Changshui; Csermely, Peter
2008-04-09
Cooperation plays a key role in the evolution of complex systems. However, the level of cooperation extensively varies with the topology of agent networks in the widely used models of repeated games. Here we show that cooperation remains rather stable by applying the reinforcement learning strategy adoption rule, Q-learning on a variety of random, regular, small-word, scale-free and modular network models in repeated, multi-agent Prisoner's Dilemma and Hawk-Dove games. Furthermore, we found that using the above model systems other long-term learning strategy adoption rules also promote cooperation, while introducing a low level of noise (as a model of innovation) to the strategy adoption rules makes the level of cooperation less dependent on the actual network topology. Our results demonstrate that long-term learning and random elements in the strategy adoption rules, when acting together, extend the range of network topologies enabling the development of cooperation at a wider range of costs and temptations. These results suggest that a balanced duo of learning and innovation may help to preserve cooperation during the re-organization of real-world networks, and may play a prominent role in the evolution of self-organizing, complex systems.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-24
... Deleting the Text of NYSE Amex Equities Rules 92, 513, 514 and Adopting New NYSE Amex Equities Rule 5320... the text of NYSE Amex Equities Rules 92, 513, and 514, which limit trading ahead of customer orders... Regulatory Authority (``FINRA'') Rule 5320. The text of the proposed rule change is available at the Exchange...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-04
....6 To Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders November 27, 2013. I... Rule Change The Exchange proposes to amend Rule 12.6, which limits trading ahead of customer orders by... proposed amendments to Rule 12.6 would prohibit Members from trading ahead of customer orders, subject to...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-17
... Effectiveness of Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage... trading'' in NYSE Rule 132B. In connection with the extension of FINRA's Order Audit Trail System (``OATS... NYSE Rules 132A, 132B, and 132C (the NYSE's Order Tracking System, or OTS, Rules) and to adopt, with...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-04
... Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders November 27, 2013. I. Introduction... Change The Exchange proposes to amend Rule 12.6, which limits trading ahead of customer orders by Members... proposed amendments to Rule 12.6 would prohibit Members from trading ahead of customer orders, subject to...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-27
... 0120(h), 2730, 2740 and 2750 and associated Interpretive Materials (``IMs'') 2730, 2740 and 2750).\\6... IMs, see Notice to Members 81-3 (February 1981) (Adoption of New Rules Concerning Securities... Associated IMs 2730, 2740 and 2750 As noted above, proposed FINRA Rule 5141 is a new, consolidated rule that...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-26
... the Text of NYSE Amex Options Rule 993NY(b)(1)(B) To More Accurately Reflect the Regulatory Services... exchange (with the attendant obligations and conditions) and to clarify the text of NYSE Amex Options Rule... Exchange and the Financial Industry Regulatory Authority (``FINRA''). The text of the proposed rule change...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-08
... Relating to FINRA Rule 9554 To Eliminate Explicitly the Inability-To-Pay Defense in the Expedited... thereunder,\\2\\ a proposed rule change to FINRA Rule 9554 to eliminate explicitly the inability-to-pay defense... Proposed Rule Change FINRA proposed to amend FINRA Rule 9554 to eliminate explicitly the inability-to-pay...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-03
... customer (as the term is defined in SEA Rule 15c3-3) must comply with SEA Rule 15c3-3's provisions... that the collateral delivered to the customer may constitute the only source of satisfaction of the... Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-03
... organization whose market making has not previously been approved by FINRA under the NASD Rule 1000 Series (or... Market Maker or other entity approved by the Exchange to function in a market-making capacity. Member... adopted rules to allow market making on PSX.\\3\\ Rule 910(f) provides that member organizations seeking to...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
....6 To Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders October 11, 2013... Change 1. Purpose The Exchange proposes to amend Rule 12.6, which limits trading ahead of customer orders..., amended Rule 12.6 would prohibit Members from trading ahead of customer orders, subject to specified...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-26
... Clarify the Text of NYSE Arca Equities Rule 7.45(c)(1)(B) to More Accurately Reflect the Regulatory... attendant obligations and conditions) and to clarify the text of NYSE Arca Equities Rule 7.45(c)(1)(B) to... Financial Industry Regulatory Authority (``FINRA''). The text of the proposed rule change is available at...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-26
... Clarify the Text of NYSE Arca Options Rule 6.96(b)(1)(B) To More Accurately Reflect the Regulatory... attendant obligations and conditions) and to clarify the text of NYSE Arca Options Rule 6.96(b)(1)(B) to... Financial Industry Regulatory Authority (``FINRA''). The text of the proposed rule change is available at...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-26
... the Text of NYSE Rule 17(c)(2)(A)(ii) To More Accurately Reflect the Regulatory Services Agreement... obligations and conditions) and to clarify the text of NYSE Rule 17(c)(2)(A)(ii) to more accurately reflect... Authority (``FINRA''). The text of the proposed rule change is available at the Exchange, at the Exchange's...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-08
... Plan and Health Care Claim Status Transactions; Interim Final Rule #0;#0;Federal Register / Vol. 76, No... Simplification: Adoption of Operating Rules for Eligibility for a Health Plan and Health Care Claim Status... rules for the health care industry and directed the Secretary of Health and Human Services to ``adopt a...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-14
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the...
-
77 FR 45327 - Petition for Rulemaking To Adopt Revised Competitive Switching Rules
Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-31
... DEPARTMENT OF TRANSPORTATION Surface Transportation Board 49 CFR Chapter X [Docket No. EP-711] Petition for Rulemaking To Adopt Revised Competitive Switching Rules AGENCY: Surface Transportation Board... evidence about the impact of the proposal, if it were to be adopted. Specifically, the Board is seeking...
-
78 FR 49721 - Petition for Rulemaking To Adopt Revised Competitive Switching Rules
Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-15
... DEPARTMENT OF TRANSPORTATION Surface Transportation Board 49 CFR Chapter X [Docket No. EP 711] Petition for Rulemaking To Adopt Revised Competitive Switching Rules AGENCY: Surface Transportation Board... Board sought empirical information about the impact of the proposal if it were to be adopted. The Board...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-24
... Change Deleting the Text of NYSE Arca Equities Rules 6.16 and 6.16A, and Adopting New NYSE Arca Equities... Change The Exchange proposes to delete the text of NYSE Arca Equities Rules 6.16 and 6.16A, which limit... substantially the same as Financial Industry Regulatory Authority (``FINRA'') Rule 5320. The text of the...
-
Code of Federal Regulations, 2010 CFR
2010-04-01
... substantive rules of general applicability adopted as authorized by law, and statements of general applicability formulated and adopted by NED. 66.2 Section 66.2 Foreign Relations DEPARTMENT OF STATE PUBLIC... of description of organization and substantive rules of general applicability adopted as authorized...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-19
... with the Commission, Phlx included statements concerning the purpose of and basis for the proposed rule... information advantages resulting from the affiliation between Phlx and NOS, as related to NOS's authority to... violated Exchange or Commission Rules; \\12\\ \\12\\ The Exchange, FINRA, and SEC staff may agree going forward...
-
17 CFR 202.6 - Adoption, revision, and rescission of rules and regulations of general application.
Code of Federal Regulations, 2010 CFR
2010-04-01
... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Adoption, revision, and rescission of rules and regulations of general application. 202.6 Section 202.6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION INFORMAL AND OTHER PROCEDURES § 202.6 Adoption, revision, and rescission of rules and regulations of...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... To Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders October 11, 2013. Pursuant... Exchange proposes to amend Rule 12.6, which limits trading ahead of customer orders by Members,\\3\\ to make... would prohibit Members from trading ahead of customer orders, subject to specified exceptions. The...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-12
... that a refusal by a member to take action necessary to effectuate a final decision of a FINRA officer... necessary to effectuate a final decision of a FINRA officer or the UPC Committee under the UPC Code (FINRA Rule 11000 Series) or other FINRA rules that permit review of FINRA decisions by the UPC Committee...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-09
... Accelerated Approval of Proposed Rule Change To Amend FINRA Rule 4512 (Customer Account Information) December... the Proposed Rule Change FINRA proposes to amend FINRA Rule 4512 (Customer Account Information) to... requires firms to maintain certain information relating to customer accounts, and it is based on existing...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-20
... to Proposed Rule Change To Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity... proposed rule change to amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity... investors, three from an inter-dealer quotation system and two from a member firm.\\4\\ FINRA responded to...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-26
... U.S.C. 78s(b). FINRA Rule 2360 (Options) and FINRA Rule 2359 (Position and Exercise Limits; Liquidations) incorporate by reference comparable position and exercise limit rules of the options exchanges. Specifically: (i) FINRA Rule 2360(b)(3)(B) incorporates position limits for index options established by the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-26
... Effectiveness of Proposed Rule Change To Amend the Definition of ``Money Market Instrument'' in FINRA Rule 6710... ``Money Market Instrument'' in FINRA Rule 6710(o) of the Trade Reporting and Compliance Engine (TRACE... proposes to amend the definition of ``Money Market Instrument'' in FINRA Rule 6710(o) for purposes of the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-09-10
...\\ FINRA Rule 6140(a) defines a ``designated security'' as any NMS stock as defined in Rule 600(b)(47) of Regulation NMS, 17 CFR 242.600(b)(47). \\8\\ See FINRA Rule 6140(h)(1)(A)-(B). \\9\\ See FINRA Rule 6140(h)(2... requirements of Section 15A(b) of the Act \\47\\ and the rules and regulations thereunder applicable to a...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... count information for equity securities publicly available on its Web site. The text of the proposed rule change is available on FINRA's Web site at http://www.finra.org , at the principal office of FINRA... basis.\\15\\ Under the proposed rule change, FINRA would publish on its Web site the reported information...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-03
... 2, To Amend FINRA Rule 4560 (Short-Interest Reporting) April 27, 2012. I. Introduction On January 10... concerning the adjustment of corporate actions for short interest reporting purposes. The text of the... 4560. FINRA Rule 4560 (the ``Rule'') requires each FINRA member to maintain a record of total short...
-
76 FR 46805 - Notice of Utah Adoption by Reference of the Pesticide Container Containment Rule
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-03
... ENVIRONMENTAL PROTECTION AGENCY [FRL-9447-8] Notice of Utah Adoption by Reference of the Pesticide Container Containment Rule AGENCY: Environmental Protection Agency (EPA). ACTION: Notice. SUMMARY: This... Pesticide Container Containment (PCC) Rule regulations. In accordance with State of Utah Agricultural Code...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-22
... participation programs and unlisted real estate investments trusts (collectively, ``Investment Programs''). In.... FINRA Rule 2310 requires that members participating in a public offering of an Investment Program meet... Investment Program, follow specific guidelines on suitability, and adhere to limits on non-cash compensation...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-25
... Change To Repeal Incorporated NYSE Rule 405(4) (Common Sales Accounts) February 18, 2010. Pursuant to...) (Common Sales Accounts) as part of the process to develop the consolidated FINRA rulebook. The text of the... NYSE Rule 405(4) (Common Sales Accounts).\\4\\ \\3\\ The current FINRA rulebook consists of (1) FINRA Rules...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-07
... proposes to adopt FINRA Rules 4150 (Guarantees by, or Flow Through Benefits for, Members), 4311 (Carrying... appropriate that all requirements that apply to a member that clears or carries customer accounts also apply...)(i), either clears customer transactions pursuant to such exemptive provisions or holds customer...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... proposed rule change is intended to apply to any OCC Cleared OTC Option.\\7\\ \\5\\ See Securities Exchange Act... standardized index option.\\38\\ FINRA Rule 2330(b)(5)(A)(i)(b) generally requires only those members that are... FINRA, as is the case for all conventional options.\\40\\ \\37\\ Id. \\38\\ Id. See also FINRA Rule 2360(b)(5...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-27
... Change To Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to...-balance sheet items pursuant to FINRA Rule 4524 (Supplemental FOCUS Information). The text of the proposed... otherwise reported on certain firms' balance sheets. To that end, the proposal would require all carrying or...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-08
... rule change related to FINRA's Trading Activity Fee (``TAF'') for transactions in Covered Securities... Schedule A to the FINRA By-Laws to adjust the rate of FINRA's TAF for transactions in Covered Securities... subject to Municipal Securities Rulemaking Board reporting requirements. The rules governing the TAF also...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-12
... FINRA is proposing to amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to... Market Volatility or February 4, 2014. The text of the proposed rule change is available on FINRA's Web... for trading pauses in individual securities due to extraordinary market volatility, to extend the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-29
... change to adopt Section 14 to Schedule A of the FINRA By- Laws to establish an accounting support fee to adequately fund the annual budget of the Governmental Accounting Standards Board (``GASB''). The proposed... fee to adequately fund the annual budget of the GASB (``GASB Accounting Support Fee''), and rules and...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-09
... Trading Activity Fee (``TAF''). Certain transactions and transfers of securities are not required to be... transaction fees under Section 3 or the TAF.\\6\\ \\6\\ FINRA explained that this exception was adopted to align... regulatory transaction fees under Section 3 or the TAF. \\9\\ Rule 5190 imposes certain notice requirements on...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-02
... (Customer Account Information) and Incorporated NYSE Rule 410 (Records of Orders). In addition, the proposed...) (Requirements) as FINRA Rule 4511 (General Requirements), NASD Rule 3110(c) (Customer Account Information) as FINRA Rule 4512 (Customer Account Information), NASD Rules 3110(d) (Record of Written Complaints) and...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-15
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62476; File No. SR-FINRA-2010-012] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) July 8, 2010. I. Introduction On March 30, 2010, the Financial Industry Regulatory...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70880; File No. SR-FINRA-2013-047] Self... Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Include Information About Members and... (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 1, 2013, the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule...-4 thereunder,\\2\\ a proposed rule change to amend FINRA Rule 5210. The proposed rule change was...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62482; File No. SR-FINRA-2010-024] Self...) and FINRA Rule 4230 (Required Submissions for Requests for Extensions of Time Under Regulation T and... Regulation T and SEC Rule 15c3-3) as part of the process of developing a consolidated FINRA rulebook. The...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-03
... proposed rule change to increase FINRA's Trading Activity Fee (``TAF'') rate for transactions in covered... would amend Section 1 of Schedule A to the FINRA By-Laws to adjust the rate of FINRA's TAF for transactions in Covered Securities that are equity securities.\\4\\ The rules governing the TAF also include a...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-22
... http: www.finra.org , at the principal office of FINRA, and on the Commission's Internet Web site... Act,\\25\\ which requires, among other things, that FINRA rules must be designed to prevent fraudulent... Commission finds goods cause, pursuant to Section 19(b)(2) of the Act,\\26\\ for approving the proposed rule...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-07
... FINRA to determine whether Rule 11892 is necessary once the Plan is operational and, if so, whether... in Connection With the Limit Up-Limit Down Plan February 1, 2013. Pursuant to Section 19(b)(1) of the... also proposes to adopt new supplementary material in connection with the upcoming operation of the Plan...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-22
.... The text of the proposed rule change is available on FINRA's website at http://www.finra.org , at the...) of the Act,\\8\\ which requires, among other things, that FINRA rules must be designed to prevent... public in accordance with the provisions of 5 U.S.C. 552, will be available for website viewing and...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-19
... comments it received on the proposed rule change. The text of these statements may be examined at the... the by-laws with respect to the Executive Committee and the Nominating and Governance Committee, as... business relationship with a broker or dealer, NASDAQ OMX or its affiliates, or FINRA. NASDAQ OMX and the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-19
... comments it received on the proposed rule change. The text of these statements may be examined at the... for in the by-laws with respect to the Executive Committee and the Nominating and Governance Committee... business relationship with a broker or dealer, NASDAQ OMX or its affiliates, or FINRA. NASDAQ OMX and the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-16
... Change Amending FINRA Rules 13201 (Statutory Employment Discrimination Claims) and 2263 (Arbitration... proposed rule change would amend FINRA Rule 13201 (Statutory Employment Discrimination Claims) of the... provides that a claim alleging employment discrimination, including sexual harassment, in violation of a...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-06
... To Repeal Incorporated NYSE Rule 405(4) (Common Sales Accounts) March 31, 2010. On January 21, 2010...''),\\4\\ FINRA proposed to repeal NYSE Rule 405(4) (Common Sales Accounts).\\5\\ \\4\\ The current FINRA... as the ``NYSE Rules.'' NYSE Rule 405(4) (Common Sales Accounts) required proper supervision of...
-
17 CFR 202.6 - Adoption, revision, and rescission of rules and regulations of general application.
Code of Federal Regulations, 2011 CFR
2011-04-01
... accounting rules, every feasible effort is made in advance of adoption to receive the views of persons to be... exchanges, professional societies and leading authorities on the subject concerned and other persons...
-
17 CFR 202.6 - Adoption, revision, and rescission of rules and regulations of general application.
Code of Federal Regulations, 2013 CFR
2013-04-01
... accounting rules, every feasible effort is made in advance of adoption to receive the views of persons to be... exchanges, professional societies and leading authorities on the subject concerned and other persons...
-
17 CFR 202.6 - Adoption, revision, and rescission of rules and regulations of general application.
Code of Federal Regulations, 2014 CFR
2014-04-01
... accounting rules, every feasible effort is made in advance of adoption to receive the views of persons to be... exchanges, professional societies and leading authorities on the subject concerned and other persons...
-
17 CFR 202.6 - Adoption, revision, and rescission of rules and regulations of general application.
Code of Federal Regulations, 2012 CFR
2012-04-01
... accounting rules, every feasible effort is made in advance of adoption to receive the views of persons to be... exchanges, professional societies and leading authorities on the subject concerned and other persons...
-
Code of Federal Regulations, 2010 CFR
2010-04-01
... properties is transferred, the adopting carrier must file and post an adoption notice, numbered in its own FERC Tariff series, reading as follows: The [legal name of adopting carrier] hereby adopts and makes its own all tariff publications of [name of adopted carrier], effective [date]. (2) The adopting...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-12
... to amend FINRA trade reporting rules to require that members report over-the-counter (``OTC... through the Alternative Display Facility (``ADF'') or a Trade Reporting Facility (``TRF''), and... Proposed Rule Change 1. Purpose FINRA trade reporting rules require that members report OTC transactions in...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-14
... Rule Change To Amend FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal... explicitly protect from discovery those documents that federal law prohibits FINRA from disclosing. The... the discovery phase of a disciplinary proceeding. The rule also explicitly shields certain types of...
-
Code of Federal Regulations, 2014 CFR
2014-04-01
... adopted as authorized by law, and statements of general policy or interpretation of general applicability... ORGANIZATION § 5.4 Substantive rules of general applicability adopted as authorized by law, and statements of... CFR parts 41-42 et seq. (7) Nationality and Passports. 22 CFR part 50 et seq. (8) International...
-
Code of Federal Regulations, 2012 CFR
2012-04-01
... adopted as authorized by law, and statements of general policy or interpretation of general applicability... ORGANIZATION § 5.4 Substantive rules of general applicability adopted as authorized by law, and statements of... CFR parts 41-42 et seq. (7) Nationality and Passports. 22 CFR part 50 et seq. (8) International...
-
Code of Federal Regulations, 2011 CFR
2011-04-01
... adopted as authorized by law, and statements of general policy or interpretation of general applicability... ORGANIZATION § 5.4 Substantive rules of general applicability adopted as authorized by law, and statements of... CFR parts 41-42 et seq. (7) Nationality and Passports. 22 CFR part 50 et seq. (8) International...
-
Code of Federal Regulations, 2013 CFR
2013-04-01
... adopted as authorized by law, and statements of general policy or interpretation of general applicability... ORGANIZATION § 5.4 Substantive rules of general applicability adopted as authorized by law, and statements of... CFR parts 41-42 et seq. (7) Nationality and Passports. 22 CFR part 50 et seq. (8) International...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-02
... becomes ``systemic as well as intentional or willful.'' In response, FINRA noted that inclusion of a rule... the rules of a Registered Securities Association enforce compliance with, and provide appropriate... FINRA should only consider a member's activity a rule violation if the violation becomes systemic as...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-25
... the orderly coordination and implementation of technological and other changes to facilitate... change, at least five business days prior to the date on which FINRA filed the proposed rule change... Effectiveness of Proposed Rule Change To Delay the Implementation Date of FINRA Rule 5350 (Stop Orders) January...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-26
... Change To Amend FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law... to amend FINRA Rule 9251 to explicitly protect from discovery those documents that federal law... produce to respondents during the discovery phase of a disciplinary proceeding. The rule also explicitly...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-28
... Change FINRA is proposing to amend FINRA Rule 14107 of the Code of Mediation Procedure (``Mediation Code'') to provide the Director of Mediation (``Mediation Director'') with discretion to determine whether parties to a FINRA mediation may select a mediator who is not on FINRA's mediator roster. The text of the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-28
... securities. \\5\\ The exemption in FINRA Rule 6730(e)(4) is conditioned, among other things, upon a data... the Act,\\6\\ which requires, among other things, that FINRA rules must be designed to prevent... following methods: Electronic Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-07
... amendments to the Trading Activity Fee (``TAF'') in SR-FINRA-2011-071 approved by the Commission on January... December 14, 2011, FINRA filed a proposed rule change to increase FINRA's TAF rate for transactions in... firms with adequate time to prepare for the change in the TAF rate for covered equity securities. FINRA...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-20
... securities. \\5\\ The exemption in FINRA Rule 6730(e)(4) is conditioned, among other things, upon a data... 15A(b)(6) of the Act,\\6\\ which requires, among other things, that FINRA rules must be designed to... Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an e-mail to rule-comments...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-19
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate... is hereby given that on February 4, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA...) (SEC Approves Consolidated FINRA Rules Governing Financial Responsibility). FINRA announced in...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-21
...; facilitate the display of customer limit orders under FINRA Rule 6460 (Display of Customer Limit Orders); \\4... the Commission to evaluate the impact of the proposed pilot on the over-the-counter (``OTC'') equity... tiers, facilitate the display of customer limit orders under FINRA Rule 6460,\\15\\ and expand the Rule's...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-05
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69262; File No. SR-FINRA-2013-019] Self... Effectiveness of a Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps) April 1, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-29
...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is proposing... (Disclosure of Price and Concessions in Selling Agreements) and the deletion of NASD Rule 2770 (Disclosure of Price in Selling Agreements). FINRA Rule 5160 was approved by the Commission on January 25, 2010 \\5\\ and...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-26
... Participant (``CP'') program (the ``CP Program'') to incent competitive quoting and trading volume in exchange... Rule Change 1. Purpose The Exchange proposes to adopt new Rule 7.25 in order to create the CP Program... CP Program will offer an alternative to the existing Lead Market Maker (``LMM'') program on the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-26
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule... FINRA Rule 4320 in the Consolidated FINRA Rulebook July 20, 2010. On May 21, 2010, the Financial... application by their terms. For more information about the rulebook consolidation process, see Information...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-30
... Change To Clarify the Classification and Reporting of Certain Securities to FINRA September 24, 2013... interpretation to clarify the classification and the reporting of certain securities to FINRA. The proposed rule....'' FINRA recently has received inquiries regarding the appropriate classification of certain ``hybrid...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-24
... maker, or submitting an application in connection therewith. The Rule is intended, among other things... FINRA Rule 5250) in 1997.\\4\\ Among other things, FINRA recognized that members generally have..., and among other things, the NASDAQ program provides for Web site disclosure of certain information...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-19
... manipulative, deceptive or other fraudulent devices); FINRA Rule 3310 (anti-money laundering program); and... additional time to consider the potential impact on their businesses and the interpretive questions raised..., relief from the Act's antifraud and anti-manipulation provisions. FINRA notes that proposed new FINRA...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-01
... Effectiveness of a Proposed Rule Change Relating to FINRA Trade Reporting Notice on Price Validation and Price... (``Notice'') that explains the price validation protocol of the FINRA trade reporting facilities and sets... trades by comparing the submitted price against price validation parameters established by FINRA...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-10
... Schedule A to the FINRA By-Laws to adjust the rate of FINRA's Trading Activity Fee (``TAF'') for... following fees: the Personnel Assessment; the Gross Income Assessment; and the TAF. These fees are used to... FINRA By-Laws, Schedule A, Sec. 1(a). \\4\\ Id. FINRA initially adopted the TAF in 2002 as a replacement...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-09
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change... Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook February 2, 2010. On December 4, 2009, the Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-22
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63319; File No. SR-FINRA-2010-060] Self... Changes to Certain FINRA Rules November 16, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange..., 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-13
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63044; File No. SR-FINRA-2010-042] Self..., Relating to FINRA Rule 4160 (Verification of Assets) October 5, 2010. I. Introduction On August 4, 2010... verification of assets maintained by the member at such financial institutions. The proposed rule change was...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-01
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66254; File No. SR-FINRA-2012-005] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions January 26,...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-25
... the migration to the MPP.\\15\\ In connection with these communications, FINRA noted that, although subject to Commission approval of the proposed rule change, FINRA anticipates that the MPP migration would... requested that the MPP migration and the proposed rule changes be implemented not earlier than the end of...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-28
... rule change relating to FINRA's Trading Activity Fee (``TAF'') rate for transactions in covered equity... the FINRA By-Laws to adjust the rate of FINRA's TAF for transactions in Covered Securities that are equity securities.\\6\\ The TAF, along with the Personnel Assessment and the Gross Income Assessment fees...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-07
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62416; File No. SR-FINRA-2010-033] Self.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder.... (``FINRA'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-08
... requests under Regulation T and SEC Rule 15c3-3. \\18\\ 15 U.S.C. 78o-3(b)(6). B. Self-Regulatory... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62205; File No. SR-FINRA-2010-024] Self...) and FINRA Rule 4230 (Required Submissions for Requests for Extensions of Time Under Regulation T and...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-14
... specified in the proposed rule: i. Clarify the time frames within which members must take action to effect... a final decision of a FINRA officer or the UPC Committee under NASD Rule 11890 (Clearly Erroneous... refusal by a member to take action necessary to effectuate a final decision of a FINRA officer or the UPC...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-13
... has proposed this rule change in order to preserve FINRA's current quorum requirements in anticipation.... Sec. 19 (2010). In anticipation of the foregoing amendment to the General Corporation Law, FINRA has...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-18
... proposes to amend the Exchange's Pricing Schedule at Section VII, C to update FINRA fees to mirror the text... its Pricing Schedule at Section VII, C entitled ``FINRA Fees'' to mirror the rules of the NASDAQ Stock... in the Pricing Schedule with text similar to that of NASDAQ Stock Market Rule 7003(a)(1)--(5) \\3\\ and...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-01
... requirements for a meeting of FINRA members, in anticipation of amendments to the General Corporation Law of... vote by classes or groups is required. FINRA is proposing this rule change in anticipation of...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-30
... Schedule A to the FINRA By-Laws to adjust the rate of FINRA's Trading Activity Fee (``TAF'') for... Fee (TAF). These fees are used to fund FINRA's regulatory activities, including examinations... adopted the TAF in 2002 as a replacement for an earlier regulatory fee based on trades reported to Nasdaq...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-03
... Schedule A to the FINRA By-Laws to adjust the rate of FINRA's Trading Activity Fee (``TAF'') for... Fee (TAF). These fees are used to fund FINRA's regulatory activities, including examinations... adopted the TAF in 2002 as a replacement for an earlier regulatory fee based on trades reported to Nasdaq...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63223; File No. SR-FINRA-2010-054] Self... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ 17 CFR 240.19b-4(f)(6). I. Self... proposed rule change would not make any new changes to the text of FINRA rules. II. Self-Regulatory...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-20
... other things, amended the FINRA Rule 6700 Series to: (1) Expand TRACE to include Agency Debt Securities... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63709; File No. SR-FINRA-2011-001] Self... Securities Exchange Act of 1934 [[Page 3685
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-02
... information.\\18\\ FINRA, however, disagrees with the notion that customer account statements have little or... proposed rule change will provide customers with critical information regarding their accounts and will... access to current information on their accounts via the Internet and by telephone. FINRA believes the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-20
... Relating to Amendments to the Discovery Guide Used in Customer Arbitration Proceedings, as Modified by... update the Discovery Guide (``Guide'') used in customer arbitration proceedings.\\1\\ According to FINRA, the Guide supplements the discovery rules contained in the FINRA Code of Arbitration Procedure for...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-04
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the By- Laws of FINRA Regulation, Inc. With Regard to District Committees April 28, 2011. I. Introduction On February 25, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-11
... Industry Regulatory Authority's (``FINRA'') Central Registration Depository System (``Web CRD''), and must... proposed Rule 313 all associated persons that are not already registered in Web CRD must register (i.e... the Exchange via a Form U4 through FINRA's Web CRD. (Generally, all principals must qualify as...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-31
... globalization of securities markets, cross-border coordination of trading and quotation halts is important to... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68526; File No. SR-FINRA-2012-010] Self... Change To Amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) December 21, 2012...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-26
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68076; File No. SR-FINRA-2012-047] Self.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder..., Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-08
... of Functions by FINRA to Subsidiaries (``Delegation Plan''), the NAMC has the power and authority... such other powers and authority as is necessary to effectuate the purposes of FINRA's Rules.\\7\\ The... knowledge. [T]hen the situation could be deemed a legal case.'' The Commission believes that the commenter...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-09
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66513; File No. SR-FINRA-2012-016] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow FINRA To Exempt Certain Alternative Trading Systems From the Trade Reporting Obligation Under the Trade...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-01
... closely the governance structure of the FINRA Board. Section 4.3--Qualifications The proposed rule change would amend Article IV, section 4.3(a) to reflect FINRA's current governance structure by establishing... to Article IV, section 4.3 as follows: Re-structure the Board to remove the President of NASD Dispute...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-26
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61938; File No. SR-FINRA-2010-014] Self... rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory... office of FINRA and at the Commission's Public Reference Room. [[Page 21687
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-23
... securities frauds that resulted in harm to investors, FINRA has reviewed its rule on arbitrator referrals and... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62930; File No. SR-FINRA-2010-036] Self... September 17, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-28
... participating in distributions of listed and unlisted securities and is designed to ensure that FINRA receives pertinent distribution-related information from its members in a timely fashion to facilitate its Regulation... Section 15A(b)(6) of the Act,\\6\\ which requires, among other things, that FINRA rules be designed to...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-30
...-interest positions by members. \\9\\ 15 U.S.C. 78o-3(b)(6). B. Self-Regulatory Organization's Statement on... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66220; File No. SR-FINRA-2012-001] Self... Change and Partial Amendment No. 1 To Amend FINRA Rule 4560 (Short-Interest Reporting) January 24, 2012...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-26
... receivables, student loans, auto loans, etc.).\\7\\ Also, in FINRA Rule 6710, FINRA proposes to add three new... financial asset, such as a consumer or student loan, a lease, or a secured or unsecured receivable, but...; automobile loans and leases; student loans; home equity loans and home equity lines of credit; aircraft...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-14
... occurred or is ongoing that has had a material effect on the market for the OTC Equity Security or has... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68874; File No. SR-FINRA-2012-010] Self... Change To Amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) February 8, 2013. I...
-
Lidón-Moyano, Cristina; Martínez-Sánchez, Jose M; Fu, Marcela; Ballbè, Montse; Martín-Sánchez, Juan Carlos; Martínez, Cristina; Saltó, Esteve; Fernández, Esteve
2016-09-01
To assess the impact of two Spanish smoking legislations in the adoption of voluntary smoke-free-homes rules in Spain. This is a longitudinal study, before and after the implementation of two national smoking bans (in 2005 and 2010), in a representative sample (n=1245) of non-institutionalised adults (≥16 years) from Barcelona (Spain) surveyed in 2004-2005 and followed up in 2013-2014. The final sample analysed was 736 individuals (400 women and 336 men). We defined smoking rules in the houses as complete (when smoking was not allowed in the household), partial (when smoking was allowed in some places inside the house) or absent (when smoking was allowed everywhere). We calculated relative changes in the prevalence of smoking rules in homes before and after 2 national smoking legislations by means of prevalence ratios (PRs) and their 95% CIs. The households with voluntary smoke-free rules (complete or partial) relatively increased 31% after Spanish smoking bans (from 55.6% to 72.6%, p<0.001). The houses with complete rules relatively increased 57% (from 23.9% to 37.6%, p<0.001) whereas the houses with partial rules increased 11% (from 31.7% to 35.0%, p=0.148). The increase of any type of rules (complete and partial) was statistically significantly independent of sex (PR between 1.29 and 1.33), age (PR between 1.24 and 1.33), educational level (PR between 1.19 and 1.47) and minimum age in house (PR between 1.12 and 1.40). However, this increase was statistically and significantly higher only among never smokers (PR=1.46) at baseline. The implementation of the smoke-free regulations in public and work places in Spain was associated with an increasing of voluntary adoption of smoke-free rules in homes. According to our data, the Spanish smoking bans did not shift the tobacco consumption from public and work places to private places (homes). Published by the BMJ Publishing Group Limited. For permission to use (where not already granted under a licence) please go to
-
Using Rule-Based Computer Programming to Unify Communication Rules Research.
ERIC Educational Resources Information Center
Sanford, David L.; Roach, J. W.
This paper proposes the use of a rule-based computer programming language as a standard for the expression of rules, arguing that the adoption of a standard would enable researchers to communicate about rules in a consistent and significant way. Focusing on the formal equivalence of artificial intelligence (AI) programming to different types of…
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-22
... rule consolidation process, FINRA recently made several changes to its financial responsibility rules... 9559 to conform BX's rules to recent changes to the rules of the Financial Industry Regulatory...' financial responsibilities and the rules concerning expedited hearings in light of changes made to the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-04
... with several rules that represented a consolidation of the old NASD and NYSE rules concerning financial... Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Its Financial Responsibility Rules... Financial Industry Regulatory Authority (``FINRA''). The Exchange will implement the proposed rule change...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-31
... start-up business). FINRA believes that a registered person should not be able to engage in an activity..., Relating to Outside Business Activities of Registered Persons August 23, 2010. On June 8, 2009, Financial... change relating to the outside business activities of registered persons. FINRA proposed to adopt NASD...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-03
... advance notice of the new Verification of Assets rule. \\8\\ 15 U.S.C. 78o-3(b)(6). B. Self-Regulatory... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63383; File No. SR-FINRA-2010-062] Self... in SR-FINRA-2010-042 (Verification of Assets) November 29, 2010. Pursuant to Section 19(b)(1) of the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-01
.... The proposed rule change would delete NASD IM-3110 (Customer Account Information) and Incorporated... (General Requirements), NASD Rule 3110(c) (Customer Account Information) as FINRA Rule 4512 (Customer Account Information), NASD Rules 3110(d) (Record of Written Complaints) and 3110(e) (``Complaint'' Defined...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-08
...-3010-1 (Standards for Reasonable Review), Incorporated NYSE Rule 401A (Customer Complaints), and... Certain Firms); (4) replace NASD Rule 3110(i) (Holding of Customer Mail) with new FINRA Rule 3150 (Holding of Customer Mail); and (5) delete the following Incorporated NYSE Rules and NYSE Rule Interpretations...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-23
... By-Laws to remove the exemption from the trading activity fee (``TAF'') for transactions in exchange... TAF is one of three member regulatory fees FINRA uses to fund its member regulation activities, which... activities.\\3\\ FINRA initially adopted the TAF in 2002 as a replacement for an earlier regulatory fee based...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-22
... ATS dark pool to more than one TRF, the data published on one Business Member's Web site may not... within a FINRA member's alternative trading system (``ATS'') dark pool and reported to a FINRA Trade... reporting the member's ATS dark pool transactions, and (2) adopt related Supplementary Material. \\3\\ The...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-12
... pertains to anti- money laundering compliance programs.\\3\\ In SR-FINRA-2009-039,\\4\\ FINRA adopted: (1) NASD...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... the person(s) whose activities he or she is testing (e.g., anti-retaliation procedures); (3) to the...
-
Rules to be adopted for publishing a scientific paper.
Picardi, Nicola
2016-01-01
is the form of presentation used in the best "papers" of British tradition, where every effort is aimed at the clarity and brevity, for definite, consequential and well understood conclusions. Beyond any residual national pride, in the scientific world that has been globalized well earlier than other sectors of civil life, it is not a surrendering to a foreign tradition to conform oneself to the British model when writing a paper - and not simply adopting the English language - with the certainty to better achieve the brevity, clarity and concreteness of an exhaustive communication. "Be brief and you'll be good" - this is a suggestion always of great value to overcome the congestion and convulsions of our times. Furthermore in following the rules suggested by the "Guidelines for Authors" in writing a paper gives the Author the adjunctive advantage of a preventive and autonomous checking the validity and interest of the article as for premises, objectivity and reality of conclusions, and therefore vehicle of at least of one clear element of knowledge and progress, although possibly and despite of a "niche" argument. A paper is much more effective as more focused on a well-defined theme and as such more easily understood and its conclusions more easily assimilated. Therefore in the formal preparation of a paper, the critical sense must develop itself and grow, added to the vocation of following and attain the curiosity of knowledge typical of surgery, but following the typical procedure of the medical profession in the approaching march to the diagnosis, and then to the identification of the correct therapeutic indications which must take into account individual patient characteristics. As the very technical skill in performing the therapy chosen and agreed with the patient, completion of the professional duties, must not leave aside a constant exercise of criticism and self-criticism at every stage of the profession, similarly this same critical sense is also
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-12
... Proposed Rule Change To Amend Rules 9552, 9554 and 9559 To Conform NASDAQ's Rules to Recent Changes to the..., 9554 and 9559 to conform NASDAQ's rules to recent changes to the rules of the Financial Industry... NASDAQ's rules to recent changes made to corresponding FINRA rules, which will promote the application of...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-29
...), Incorporated NYSE Rule 401A (Customer Complaints), and Incorporated NYSE Rule 342.21 (Trade Review and... Registration); (5) replace NASD Rule 3110(i) (Holding of Customer Mail) with new FINRA Rule 3150 (Holding of Customer Mail); and (6) delete the following NASD and Incorporated NYSE Rules and NYSE Rule Interpretations...
-
[Perception of parental socialization strategies in adoptive and non-adoptive families].
Bernedo Muñoz, Isabel María; Fuentes Rebollo, María Jesús; Fernández-Molina, M; Bersabé Morán, Rosa
2007-11-01
Although parental socialization styles have been investigated in recent years, little research has been carried out on the issue of parental styles in adoptive families. The aim of this research is to analyse parental styles both from the point of view of the parents and of adopted and non-adopted adolescents, taking as covariables the adolescents' sex and age. The sample was made up of 55 adopted adolescents (20 boys and 35 girls with an age range of 11-17 years) and their 55 adoptive parents, and 402 non-adopted adolescents (200 boys and 202 girls with an age range of 11-17 years), and their 258 parents. Two scales evaluated parental styles: the Affect Scale and the Rules and Demands Scale. The results showed that, both from the point of view of the parents and of the adolescents, adoptive families are more affective, communicative and inductive, and less critical and indulgent than non-adoptive families. No differences were found between adopted and non-adopted adolescents on the Parents' Rigidity Scale.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-10
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change... ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to amend FINRA's Customer and Industry... arbitrator'' in the Codes. Specifically, the proposed rule change would (a) exclude persons associated with a...
-
75 FR 51934 - Telemarketing Sales Rule
Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-24
... FEDERAL TRADE COMMISSION 16 CFR Part 310 Telemarketing Sales Rule AGENCY: Federal Trade Commission. ACTION: Final rule; correction. SUMMARY: The Federal Trade Commission (``Commission'') published a final rule on August 10, 2010, adopting amendments to the Telemarketing Sales Rule that address the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-25
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Require Members To Report OTC Equity Transactions... (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to amend FINRA trade reporting rules...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-24
... proposed rule change, FINRA would no longer require a customer to elect one of the two existing panel...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change...,\\2\\ a proposed rule change amending the Code of Arbitration Procedure for Customer Disputes...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-09
... Effectiveness of Proposed Rule Change Amending Financial Industry Regulatory Authority, Inc. Online Form NMA... Substance of the Proposed Rule Change FINRA is proposing to amend online Form NMA, the standardized... Proposed Rule Change 1. Purpose Form NMA is the standardized online membership application form applicants...
-
46 CFR 201.64 - Contents of rules.
Code of Federal Regulations, 2012 CFR
2012-10-01
... 46 Shipping 8 2012-10-01 2012-10-01 false Contents of rules. 201.64 Section 201.64 Shipping MARITIME ADMINISTRATION, DEPARTMENT OF TRANSPORTATION POLICY, PRACTICE AND PROCEDURE RULES OF PRACTICE AND PROCEDURE Rule Making (Rule 6) § 201.64 Contents of rules. The Administration will incorporate in any rule to be adopted a concise general statement...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-01
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit a One-Time Waiver of Late Fees Assessable Pursuant to FINRA Rule...''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 12, 2010, Financial...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-18
... addresses BX Rule 3011 pertaining to anti-money laundering compliance programs. In SR-FINRA-2009-039,\\3... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To... received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-15
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Non- Substantive Technical..., Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of Securities Dealers...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-03
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Non- Substantive Technical..., Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-01
... ADF Market Maker or Registered Reporting ADF ECN that is a ``Trading Center,'' as defined in Rule 600... requirements currently in Rule 6271(b). Members who are Trading Centers, as defined in Rule 600(b)(78) of SEC... timetable as agreed to by the member and FINRA. The proposed rule change defines the ``ADF Deposit Amount...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-27
... provisions of Section 15A(b)(6) of the Act,\\4\\ which requires, among other things, that FINRA rules must be... Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an e-mail to rule-comments... post all comments on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml ). Copies...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-01
... at the present time, and urged FINRA to study data collected on Asset-Backed Securities before making... to a recent rule change to the Rule 6700 Series,\\7\\ Agency Debt Securities and certain primary market... corporate debt securities;\\12\\ and \\12\\ See id. (14) In Rule 6700 Series, incorporate certain technical...
-
46 CFR 502.54 - Contents of rules.
Code of Federal Regulations, 2010 CFR
2010-10-01
... 46 Shipping 9 2010-10-01 2010-10-01 false Contents of rules. 502.54 Section 502.54 Shipping FEDERAL MARITIME COMMISSION GENERAL AND ADMINISTRATIVE PROVISIONS RULES OF PRACTICE AND PROCEDURE Rulemaking § 502.54 Contents of rules. The Commission will incorporate in any rules adopted a concise general statement of their basis and purpose. [Rule 54....
-
18 CFR 401.24 - Preparation and adoption.
Code of Federal Regulations, 2014 CFR
2014-04-01
... 18 Conservation of Power and Water Resources 2 2014-04-01 2014-04-01 false Preparation and adoption. 401.24 Section 401.24 Conservation of Power and Water Resources DELAWARE RIVER BASIN COMMISSION ADMINISTRATIVE MANUAL RULES OF PRACTICE AND PROCEDURE Water Resources Program § 401.24 Preparation and adoption...
-
18 CFR 401.24 - Preparation and adoption.
Code of Federal Regulations, 2010 CFR
2010-04-01
... 18 Conservation of Power and Water Resources 2 2010-04-01 2010-04-01 false Preparation and adoption. 401.24 Section 401.24 Conservation of Power and Water Resources DELAWARE RIVER BASIN COMMISSION ADMINISTRATIVE MANUAL RULES OF PRACTICE AND PROCEDURE Water Resources Program § 401.24 Preparation and adoption...
-
18 CFR 401.24 - Preparation and adoption.
Code of Federal Regulations, 2012 CFR
2012-04-01
... 18 Conservation of Power and Water Resources 2 2012-04-01 2012-04-01 false Preparation and adoption. 401.24 Section 401.24 Conservation of Power and Water Resources DELAWARE RIVER BASIN COMMISSION ADMINISTRATIVE MANUAL RULES OF PRACTICE AND PROCEDURE Water Resources Program § 401.24 Preparation and adoption...
-
18 CFR 401.24 - Preparation and adoption.
Code of Federal Regulations, 2013 CFR
2013-04-01
... 18 Conservation of Power and Water Resources 2 2013-04-01 2012-04-01 true Preparation and adoption. 401.24 Section 401.24 Conservation of Power and Water Resources DELAWARE RIVER BASIN COMMISSION ADMINISTRATIVE MANUAL RULES OF PRACTICE AND PROCEDURE Water Resources Program § 401.24 Preparation and adoption...
-
18 CFR 401.24 - Preparation and adoption.
Code of Federal Regulations, 2011 CFR
2011-04-01
... 18 Conservation of Power and Water Resources 2 2011-04-01 2011-04-01 false Preparation and adoption. 401.24 Section 401.24 Conservation of Power and Water Resources DELAWARE RIVER BASIN COMMISSION ADMINISTRATIVE MANUAL RULES OF PRACTICE AND PROCEDURE Water Resources Program § 401.24 Preparation and adoption...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-29
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Create an Exemption From Certain Reporting Obligations Under the Equity Trade Reporting Rules... September 16, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities...
-
Code of Federal Regulations, 2010 CFR
2010-04-01
... 22 Foreign Relations 2 2010-04-01 2010-04-01 true General rule. 401.10 Section 401.10 Foreign Relations INTERNATIONAL JOINT COMMISSION, UNITED STATES AND CANADA RULES OF PROCEDURE General § 401.10 General rule. The Commission may, at any time, adopt any procedure which it deems expedient and necessary...
-
Kelly, Joan; Sterling, Michele; Rebbeck, Trudy; Bandong, Aila Nica; Leaver, Andrew; Mackey, Martin; Ritchie, Carrie
2017-01-01
Objectives To investigate health practitioners’ understanding and practice behaviours with regards to clinical prediction rules (CPRs) and explore their perceptions of adopting a new whiplash CPR. Design Qualitative study using six semistructured focus groups. Setting Primary and secondary care in New South Wales and Queensland, Australia. Participants Physiotherapists (n=19), chiropractors (n=6) and osteopaths (n=3) were purposively sampled to include health practitioners who provide routine treatment to people with whiplash-associated disorders. Methods Focus group discussions (n=6) were audio-recorded, transcribed verbatim and analysed using an inductive thematic approach. Results Health practitioners’ understanding and use of CPRs were mixed. Clinicians considered components relating to acceptability (‘whether I agree with it’) and implementation (‘how I'll use it’) when deciding on whether to adopt a new CPR. Acceptability was informed by four themes: knowledge and understanding, CPR type, congruence and weighted value. Consideration of matters that promote implementation occurred once a CPR was deemed to be acceptable. Three themes were identified as potentially enhancing whiplash CPR implementation: the presence of an external driver of adoption, flexibility in how the CPR could be administered and guidance regarding communication of CPR output to patients. Conclusions Education on CPR purpose and fit with practice is needed to enhance the perceived acceptability of CPRs. Strategies that facilitate practitioner motivation, enable administrative flexibility and assist clinicians in communicating the results of the whiplash CPR could promote adoption of the whiplash CPR. PMID:28801412
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-06
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Amend Certain Trade Reporting and Compliance Rules September 30, 2011. Pursuant to Section 19(b... hereby given that on September 22, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-03
... Effectiveness of Proposed Rule Change to Eliminate Duplicative Filings Under FINRA Rule 9610(a) February 25... the proposed change will make the process of seeking exemptive relief more efficient by eliminating... the efficiency of the exemptive relief process by eliminating duplicative filings and providing...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-15
... Effectiveness of Proposed Rule Change To Amend Online Form NMA, the Standardized Membership Application Form... online Form NMA, the standardized membership application form applicants must file pursuant to NASD Rule...), each applicant for FINRA membership must complete and electronically file the standardized online Form...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-03
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65408; File No. SR-FINRA-2011-049] Self...)(1). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule.... Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-05
... Effectiveness of a Proposed Rule Change To Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4) August 29, 2013... 2147 (January 14, 2009) (Notice of Filing and Immediate Effectiveness of Proposed Rule Change; File No.... 63673 (January 7, 2011), 76 FR 2739 (January 14, 2011) (Notice of Filing and Immediate Effectiveness of...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-01
...-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rules for... of the Proposed Rule Change The Exchange proposes to adopt rules for the qualification, listing and... to adopt a program for the qualification, listing and delisting of companies on the Exchange...
-
Fiscal Rules and the Composition of Government Expenditures in OECD Countries
ERIC Educational Resources Information Center
Dahan, Momi; Strawczynski, Michel
2013-01-01
Since the 1990s many OECD countries have adopted fiscal rules. After the adoption of these rules, the ratio of social transfers to government consumption substantially declined, and it recovered following the global economic crisis. Using a sample of 22 OECD countries, we found a negative effect of fiscal rules on the ratio of social transfers to…
-
Kelly, Joan; Sterling, Michele; Rebbeck, Trudy; Bandong, Aila Nica; Leaver, Andrew; Mackey, Martin; Ritchie, Carrie
2017-08-11
To investigate health practitioners' understanding and practice behaviours with regards to clinical prediction rules (CPRs) and explore their perceptions of adopting a new whiplash CPR. Qualitative study using six semistructured focus groups. Primary and secondary care in New South Wales and Queensland, Australia. Physiotherapists (n=19), chiropractors (n=6) and osteopaths (n=3) were purposively sampled to include health practitioners who provide routine treatment to people with whiplash-associated disorders. Focus group discussions (n=6) were audio-recorded, transcribed verbatim and analysed using an inductive thematic approach. Health practitioners' understanding and use of CPRs were mixed. Clinicians considered components relating to acceptability ('whether I agree with it') and implementation ('how I'll use it') when deciding on whether to adopt a new CPR. Acceptability was informed by four themes: knowledge and understanding, CPR type, congruence and weighted value. Consideration of matters that promote implementation occurred once a CPR was deemed to be acceptable. Three themes were identified as potentially enhancing whiplash CPR implementation: the presence of an external driver of adoption, flexibility in how the CPR could be administered and guidance regarding communication of CPR output to patients. Education on CPR purpose and fit with practice is needed to enhance the perceived acceptability of CPRs. Strategies that facilitate practitioner motivation, enable administrative flexibility and assist clinicians in communicating the results of the whiplash CPR could promote adoption of the whiplash CPR. © Article author(s) (or their employer(s) unless otherwise stated in the text of the article) 2017. All rights reserved. No commercial use is permitted unless otherwise expressly granted.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-18
... Rules of CBOE. The text of the proposed rule change is available on the Exchange's Web site ( http://www... qualification examinations became available on June 20, 2011 in the Central Registration Depository system (``WebCRD''), which is operated by the Financial Industry Regulatory Authority, Incorporated (``FINRA...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-08
... general, to protect investors and the public interest. FINRA believes that the proposed rule change is...) thereunder.\\9\\ Because the proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-16
... listing market has resolved any imbalances. See, e.g., BlackRock Letter, Credit Suisse Letter, Knight... to Proposed Rule Change To Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market... Listing Market Has Issued a Trading Pause Due to Extraordinary Market Conditions June 10, 2010. I...
-
17 CFR 240.3a40-1 - Designation of financial responsibility rules.
Code of Federal Regulations, 2010 CFR
2010-04-01
... relating to hypothecation or lending of customer securities; (c) Any rule adopted by any self-regulatory... other rule adopted by the Commission or any self-regulatory organization relating to the protection of...
-
NAGWS Volleyball Rulebook, 1993. Official Rules & Interpretations/Officiating.
ERIC Educational Resources Information Center
1993
The National Association for Girls and Women in Sport (NAGWS) Volleyball Rules are based on the United States Volleyball Rules, which in turn are adopted from the rules and interpretations of the International Volleyball Federation Rules. Following a foreword by Robertha Abney, NAGWS President, the publication is organized into six sections as…
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-15
... FINRA rules must be designed to prevent fraudulent and manipulative acts and practices, to promote just... which may be distributed or published by any member or person associated with a member, and the persons... such rules be designed to produce fair and informative quotations, to prevent fictitious or misleading...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64424; File No. SR-FINRA-2011-023] Self... the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given... Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-24
... Rule 104 To Adopt Pricing Obligations for Designated Market Makers September 20, 2010. Pursuant to... of the Proposed Rule Change The Exchange proposes to amend Rule 104 to adopt pricing obligations for.... Purpose The Exchange proposes to amend Rule 104 to adopt pricing obligations for DMMs. Under the proposal...
-
40 CFR 52.242 - Disapproved rules and regulations.
Code of Federal Regulations, 2013 CFR
2013-07-01
... (CONTINUED) APPROVAL AND PROMULGATION OF IMPLEMENTATION PLANS California § 52.242 Disapproved rules and regulations. (a) The following Air Pollution Control District rules are disapproved because they do not meet... adopted on September 7, 2007. (2) Antelope Valley Air Pollution Control District. (i) Rule 118...
-
40 CFR 52.242 - Disapproved rules and regulations.
Code of Federal Regulations, 2011 CFR
2011-07-01
... (CONTINUED) APPROVAL AND PROMULGATION OF IMPLEMENTATION PLANS California § 52.242 Disapproved rules and regulations. (a) The following Air Pollution Control District rules are disapproved because they do not meet... adopted on September 7, 2007. (2) Antelope Valley Air Pollution Control District. (i) Rule 118...
-
40 CFR 52.242 - Disapproved rules and regulations.
Code of Federal Regulations, 2014 CFR
2014-07-01
... (CONTINUED) APPROVAL AND PROMULGATION OF IMPLEMENTATION PLANS California § 52.242 Disapproved rules and regulations. (a) The following Air Pollution Control District rules are disapproved because they do not meet... adopted on September 7, 2007. (2) Antelope Valley Air Pollution Control District. (i) Rule 118...
-
40 CFR 52.242 - Disapproved rules and regulations.
Code of Federal Regulations, 2012 CFR
2012-07-01
... (CONTINUED) APPROVAL AND PROMULGATION OF IMPLEMENTATION PLANS California § 52.242 Disapproved rules and regulations. (a) The following Air Pollution Control District rules are disapproved because they do not meet... adopted on September 7, 2007. (2) Antelope Valley Air Pollution Control District. (i) Rule 118...
-
49 CFR 389.25 - Additional rule making proceedings.
Code of Federal Regulations, 2010 CFR
2010-10-01
... 49 Transportation 5 2010-10-01 2010-10-01 false Additional rule making proceedings. 389.25 Section 389.25 Transportation Other Regulations Relating to Transportation (Continued) FEDERAL MOTOR CARRIER... PROCEDURES-FEDERAL MOTOR CARRIER SAFETY REGULATIONS Procedures for Adoption of Rules § 389.25 Additional rule...
-
49 CFR 389.25 - Additional rule making proceedings.
Code of Federal Regulations, 2011 CFR
2011-10-01
... 49 Transportation 5 2011-10-01 2011-10-01 false Additional rule making proceedings. 389.25 Section 389.25 Transportation Other Regulations Relating to Transportation (Continued) FEDERAL MOTOR CARRIER... PROCEDURES-FEDERAL MOTOR CARRIER SAFETY REGULATIONS Procedures for Adoption of Rules § 389.25 Additional rule...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-24
... Organizations; C2 Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Adopt a Designated... thereunder,\\2\\ a proposed rule change to adopt a Designated Primary Market-Maker (``DPM'') program. The... the Notice, C2 has proposed to adopt a DPM program. The associated proposed rules are based on the...
-
49 CFR 389.31 - Petitions for rule making.
Code of Federal Regulations, 2011 CFR
2011-10-01
... 49 Transportation 5 2011-10-01 2011-10-01 false Petitions for rule making. 389.31 Section 389.31 Transportation Other Regulations Relating to Transportation (Continued) FEDERAL MOTOR CARRIER SAFETY...-FEDERAL MOTOR CARRIER SAFETY REGULATIONS Procedures for Adoption of Rules § 389.31 Petitions for rule...
-
49 CFR 389.13 - Initiation of rule making.
Code of Federal Regulations, 2010 CFR
2010-10-01
... 49 Transportation 5 2010-10-01 2010-10-01 false Initiation of rule making. 389.13 Section 389.13 Transportation Other Regulations Relating to Transportation (Continued) FEDERAL MOTOR CARRIER SAFETY...-FEDERAL MOTOR CARRIER SAFETY REGULATIONS Procedures for Adoption of Rules § 389.13 Initiation of rule...
-
49 CFR 389.13 - Initiation of rule making.
Code of Federal Regulations, 2011 CFR
2011-10-01
... 49 Transportation 5 2011-10-01 2011-10-01 false Initiation of rule making. 389.13 Section 389.13 Transportation Other Regulations Relating to Transportation (Continued) FEDERAL MOTOR CARRIER SAFETY...-FEDERAL MOTOR CARRIER SAFETY REGULATIONS Procedures for Adoption of Rules § 389.13 Initiation of rule...
-
49 CFR 389.31 - Petitions for rule making.
Code of Federal Regulations, 2010 CFR
2010-10-01
... 49 Transportation 5 2010-10-01 2010-10-01 false Petitions for rule making. 389.31 Section 389.31 Transportation Other Regulations Relating to Transportation (Continued) FEDERAL MOTOR CARRIER SAFETY...-FEDERAL MOTOR CARRIER SAFETY REGULATIONS Procedures for Adoption of Rules § 389.31 Petitions for rule...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-02
... member firm regulation operations into a combined organization, FINRA. Pursuant to Rule 17d-2 under the... Loans and Advances), 328 (Sale-And-Leasebacks, Factoring, Financing and Similar Arrangements), 416.20...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-25
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-18
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to FINRA Rule 2360 To Extend the Time To Submit a Contrary Exercise Advice and the Time for a Final Exercise Decision in the Event of a Modified Close of...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-19
... the Act,\\4\\ which requires, among other things, that FINRA rules must be designed to prevent... post all comments on the Commission's Internet website ( http://www.sec.gov/rules/sro.shtml ). Copies... public in accordance with the provisions of 5 U.S.C. 552, will be available for website viewing and...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70358; File No. SR-FINRA-2013-031] Self...'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to amend...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70876; File No. SR-FINRA-2013-048] Self... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on... and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II, and III...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-06
... to Amend FINRA Rule 8210 to Require Information Provided via Portable Media Device be Encrypted... to require that information provided via a portable media device pursuant to a request under the rule..., persons often provide information in electronic format using a portable media device such as a CD-ROM, DVD...
-
29 CFR 825.121 - Leave for adoption or foster care.
Code of Federal Regulations, 2010 CFR
2010-07-01
... Leave for adoption or foster care. (a) General rules. Eligible employees are entitled to FMLA leave for placement with the employee of a son or daughter for adoption or foster care as follows: (1) Employees may... for the placement for adoption or foster care to proceed. For example, the employee may be required to...
-
78 FR 29616 - Adoption of Updated EDGAR Filer Manual
Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-21
... updated Filer Manual and the rule amendments is May 21, 2013. In accordance with the APA,\\7\\ we find that...-30515] Adoption of Updated EDGAR Filer Manual AGENCY: Securities and Exchange Commission. ACTION: Final... Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect...
-
Code of Federal Regulations, 2010 CFR
2010-10-01
... 42 Public Health 2 2010-10-01 2010-10-01 false CMS rulings. 401.108 Section 401.108 Public Health... GENERAL ADMINISTRATIVE REQUIREMENTS Confidentiality and Disclosure § 401.108 CMS rulings. (a) After... regulations, but which has been adopted by CMS as having precedent, may be published in the Federal Register...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-02
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62787; File No. SR-FINRA-2010-045] Self... Effectiveness of Proposed Rule Change To Amend the Security Futures Risk Disclosure Statement August 27, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-25
... Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks August 18, 2010... of the Proposed Rule Change FINRA is proposing to amend the Order Audit Trail System (``OATS'') rules... information for all U.S. equity securities, which would significantly enhance the scope of the order audit...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64841; File No. SR-FINRA-2011-032] Self... self-regulatory organization under Section 19(b)(3)(A)(iii) of the Act \\3\\ and Rule 19b-4(f)(3...(f)(3). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule...
-
Rules, Models, and Self-Reinforcement in Children
ERIC Educational Resources Information Center
Hildebrandt, David E.; And Others
1973-01-01
The study found that concordance between a rule and a recent model's behavior was most effective in leading to acceptance of the rule, despite a tendency for the subject's to adopt lenient self-reinforcement criteria when given an opportunity to do so. (JB)
-
2008-04-11
This document adopts, without change, the interim final rule that was published in the Federal Register on June 22, 2007, addressing data breaches of sensitive personal information that is processed or maintained by the Department of Veterans Affairs (VA). This final rule implements certain provisions of the Veterans Benefits, Health Care, and Information Technology Act of 2006. The regulations prescribe the mechanisms for taking action in response to a data breach of sensitive personal information.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-15
... (Front Running of Block Transactions) May 9, 2013. Pursuant to Section 19(b)(1) of the Securities... of FINRA Rule 5270 (Front Running of Block Transactions) that the Commission approved on September 4...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-24
... Organizations; Notice of Filing of a Proposed Rule Change by NASDAQ OMX BX, Inc. To Adopt Rule 4120(a)(11) Concerning Individual Stock Trading Pauses and To Adopt Related IM-4120-3 May 19, 2010. Pursuant to Section... Change The Exchange is filing this proposed rule change to adopt Rule 4120(a)(11) concerning individual...
-
46 CFR 402.320 - Working rules.
Code of Federal Regulations, 2010 CFR
2010-10-01
... Vincent, N.Y., dated May 1, 1980, amended to March 24, 1999. (2) The Working Rules and Dispatch Procedures... March 30, 1999. (4) The Working Rules for District No. 3, adopted by the Western Great Lakes Pilots Association, LLP, Superior, WI., dated February 24, 2001 amended to February 28, 2007. (b) [Reserved] [USCG...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-26
... NMS (National Market System), 17 CFR 242.600-242.612; FINRA Rule 7400 Series (Order Audit Trail System... 08-80 (December 2008)]; NASD Rule 2400 Series (Commissions, Mark-Ups and Charges); NASD IM-2110-2... as are stated at the time of such offer to buy or sell. Moreover, the use of fictitious transactions...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-29
... writing prospectus within 10 business days of first use, rather than at least 10 business days prior to... on August 3, 2011.\\3\\ The Commission received nine comment letters in response to the proposed rule change.\\4\\ On October 31, 2011, FINRA filed Amendment No. 1 to the proposed rule change and a letter...
-
2014-01-01
Background Secondhand smoke (SHS) exposure is a well-established health hazard. To determine the effectiveness of existing smoke-free policies and adoption of smoke-free rules in South Africa, we assessed exposure to SHS from several sources among non-smoking adults during 2010. Methods Data were analyzed for 3,094 adults aged ≥16 years who participated in the 2010 South African Social Attitudes Survey. Descriptive statistics and multivariate analyses were used to assess presence of smoke-free rules among all South Africans, and prevalence and correlates of SHS exposure at work, at home, and at hospitality venues among non-smokers. Results Overall, 70.6% of all South African adults had 100% smoke-free rules in their private cars, 62.5% in their homes, while 63.9% worked in places with 100% smoke-free policies. Overall, 55.9% of all non-smokers reported exposure to SHS from at least one source (i.e., in the home, workplace or at a hospitality venue). By specific source of exposure, 18.4% reported being exposed to SHS at work, 25.2% at home, 33.4% in a restaurant, and 32.7% at a bar. Presence of work bans on indoor smoking conferred lower likelihood of SHS exposure at work among non-smokers (adjusted odds ratio [aOR] = 0.23; 95% CI: 0.09-0.60). Similarly, smoke-free home rules decreased the odds of being exposed to SHS at home among non-smokers (aOR =0.16; 95% CI: 0.09-0.30). Conclusion Over half of South African adults reported SHS exposure in the home or at public places such as the workplace and at hospitality venues. This underscores the need for comprehensive smoke-free laws that prohibit smoking in all public indoor areas without exemptions. PMID:24913038
-
Ayo-Yusuf, Olalekan A; Olufajo, Olubode; Agaku, Israel T
2014-06-10
Secondhand smoke (SHS) exposure is a well-established health hazard. To determine the effectiveness of existing smoke-free policies and adoption of smoke-free rules in South Africa, we assessed exposure to SHS from several sources among non-smoking adults during 2010. Data were analyzed for 3,094 adults aged ≥16 years who participated in the 2010 South African Social Attitudes Survey. Descriptive statistics and multivariate analyses were used to assess presence of smoke-free rules among all South Africans, and prevalence and correlates of SHS exposure at work, at home, and at hospitality venues among non-smokers. Overall, 70.6% of all South African adults had 100% smoke-free rules in their private cars, 62.5% in their homes, while 63.9% worked in places with 100% smoke-free policies. Overall, 55.9% of all non-smokers reported exposure to SHS from at least one source (i.e., in the home, workplace or at a hospitality venue). By specific source of exposure, 18.4% reported being exposed to SHS at work, 25.2% at home, 33.4% in a restaurant, and 32.7% at a bar. Presence of work bans on indoor smoking conferred lower likelihood of SHS exposure at work among non-smokers (adjusted odds ratio [aOR] = 0.23; 95% CI: 0.09-0.60). Similarly, smoke-free home rules decreased the odds of being exposed to SHS at home among non-smokers (aOR =0.16; 95% CI: 0.09-0.30). Over half of South African adults reported SHS exposure in the home or at public places such as the workplace and at hospitality venues. This underscores the need for comprehensive smoke-free laws that prohibit smoking in all public indoor areas without exemptions.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-06
... pilot program, which was implemented through a series of rule filings by the Exchanges and FINRA. This... as a one-year pilot program in two Phases. Phase I of the Plan would be implemented immediately...
-
Athletes Question Effectiveness of NCAA Rule
ERIC Educational Resources Information Center
Wolverton, Brad
2007-01-01
Three years ago, as part of a broad effort to raise academic standards in college sports, the NCAA adopted a controversial rule designed to make life difficult for athletes idling in the classroom. The measure--known as the 40-60-80 rule, or the "progress toward degree" requirement--mandates that, to remain eligible to compete, athletes must…
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-13
...-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Adopt New Exchange... Exchange proposes to adopt a new Exchange Rule 1047(f)(iv) to provide for how the Exchange proposes to... 1. Purpose The Exchange proposes to adopt Exchange Rule 1047(f)(iv) \\3\\ to provide for how the...
-
76 FR 76815 - Business Opportunity Rule
Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-08
...The Commission is adopting final amendments to its Trade Regulation Rule entitled ``Disclosure Requirements and Prohibitions Concerning Business Opportunities'' (``Business Opportunity Rule'' or ``Rule''). Among other things, the Business Opportunity Rule has been amended to broaden its scope to cover business opportunity sellers not covered by the interim Business Opportunity Rule, such as sellers of work-at-home opportunities, and to streamline and simplify the disclosures that sellers must provide to prospective purchasers. The final Rule is based upon the comments received in response to an Advance Notice of Proposed Rulemaking (``ANPR''), an Initial Notice of Proposed Rulemaking (``INPR''), a Revised Notice of Proposed Rulemaking (``RNPR''), a public workshop, a Staff Report, and other information discussed herein. This document also contains the text of the final Rule and the Rule's Statement of Basis and Purpose (``SBP''), including a Regulatory Analysis.
-
17 CFR 275.204-1 - Amendments to application for registration.
Code of Federal Regulations, 2010 CFR
2010-04-01
... you have received a continuing hardship exemption under § 275.203-3. (2) If you have received a... (CONTINUED) RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 § 275.204-1 Amendments to application for... a complete Part 1A of Form ADV on paper with the SEC by mailing it to FINRA. (c) Special rule for...
-
77 FR 47572 - Retrospective Analysis of Existing Rules
Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-09
... INTERNATIONAL TRADE COMMISSION 19 CFR Chapter II Retrospective Analysis of Existing Rules AGENCY... Order 13579 of July 11, 2011, the Commission recently adopted its Plan for Retrospective Analysis of... submitted in connection with the Commission's Preliminary Plan for Retrospective Analysis of Existing Rules...
-
78 FR 36677 - Radio Experimentation and Market Trials-Streamlining Rules
Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-19
... Experimentation and Market Trials--Streamlining Rules AGENCY: Federal Communications Commission. ACTION: Final rule. SUMMARY: In this document the Commission modifies on its own motion the rules adopted in this... being conducted under a program, medical testing, and compliance testing license. Thus, this action will...
-
Association between Clean Indoor Air Laws and Voluntary Smokefree Rules in Homes and Cars
Cheng, Kai-Wen; Okechukwu, Cassandra A.; McMillen, Robert; Glantz, Stanton A.
2013-01-01
Objectives This study examines the influence that smokefree workplaces, restaurants, and bars on the adoption of smokefree rules in homes and cars and whether the adoptions of home and car smokefree rule are associated. Methods Bivariate probit models were used to jointly estimate the likelihood of living in a smokefree home and having a smokefree car as a function of law coverage and other variables. Household data are from the nationally representative Social Climate Survey of Tobacco Control 2001, 2002, and 2004–2009; clean indoor air law data comes from the American Nonsmokers’ Rights Foundation Tobacco Control Laws Database. Results Both “full coverage” and “partial coverage” smokefree legislations are associated with an increased likelihood of having voluntary home and car smokefree rules compared with “no coverage”. The association between “full coverage” and smokefree rule in homes and cars is 5% and 4%, respectively, and the association between “partial coverage” and smokefree rule in homes and cars is 3% and 4%, respectively. There is a positive association between the adoption of home and car smokefree rules. Conclusions Clean indoor air laws provide the additional benefit of encouraging voluntary adoption of smokefree rules in homes and cars. PMID:24114562
-
78 FR 44729 - Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings
Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-24
...We are adopting amendments to our rules to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 926 requires us to adopt rules that disqualify securities offerings involving certain ``felons and other `bad actors''' from reliance on Rule 506 of Regulation D. The rules must be ``substantially similar'' to Rule 262 under the Securities Act, which contains the disqualification provisions of Regulation A under the Securities Act, and must also cover matters enumerated in Section 926 of the Dodd-Frank Act (including certain state regulatory orders and bars).
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-04
... Industry Regulatory Authority, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC... Whether To Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market.... (``FINRA''), International Securities Exchange LLC (``ISE''), The NASDAQ Stock Market LLC (``Nasdaq...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-26
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change... 31, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of... consolidation process, see Information Notice, March 12, 2008 (Rulebook Consolidation Process). For convenience...
-
29 CFR 825.121 - Leave for adoption or foster care.
Code of Federal Regulations, 2011 CFR
2011-07-01
... THE FAMILY AND MEDICAL LEAVE ACT OF 1993 Coverage Under the Family and Medical Leave Act § 825.121 Leave for adoption or foster care. (a) General rules. Eligible employees are entitled to FMLA leave for... 29 Labor 3 2011-07-01 2011-07-01 false Leave for adoption or foster care. 825.121 Section 825.121...
-
29 CFR 825.121 - Leave for adoption or foster care.
Code of Federal Regulations, 2013 CFR
2013-07-01
... THE FAMILY AND MEDICAL LEAVE ACT OF 1993 Coverage Under the Family and Medical Leave Act § 825.121 Leave for adoption or foster care. (a) General rules. Eligible employees are entitled to FMLA leave for... 29 Labor 3 2013-07-01 2013-07-01 false Leave for adoption or foster care. 825.121 Section 825.121...
-
29 CFR 825.121 - Leave for adoption or foster care.
Code of Federal Regulations, 2012 CFR
2012-07-01
... THE FAMILY AND MEDICAL LEAVE ACT OF 1993 Coverage Under the Family and Medical Leave Act § 825.121 Leave for adoption or foster care. (a) General rules. Eligible employees are entitled to FMLA leave for... 29 Labor 3 2012-07-01 2012-07-01 false Leave for adoption or foster care. 825.121 Section 825.121...
-
29 CFR 825.121 - Leave for adoption or foster care.
Code of Federal Regulations, 2014 CFR
2014-07-01
... THE FAMILY AND MEDICAL LEAVE ACT OF 1993 Coverage Under the Family and Medical Leave Act § 825.121 Leave for adoption or foster care. (a) General rules. Eligible employees are entitled to FMLA leave for... 29 Labor 3 2014-07-01 2014-07-01 false Leave for adoption or foster care. 825.121 Section 825.121...
-
Association between clean indoor air laws and voluntary smokefree rules in homes and cars.
Cheng, Kai-Wen; Okechukwu, Cassandra A; McMillen, Robert; Glantz, Stanton A
2015-03-01
This study examines the influence that smokefree workplaces, restaurants and bars have on the adoption of smokefree rules in homes and cars, and whether there is an association with adopting smokefree rules in homes and cars. Bivariate probit models were used to jointly estimate the likelihood of living in a smokefree home and having a smokefree car as a function of law coverage and other variables. Household data were obtained from the nationally representative Social Climate Survey of Tobacco Control 2001, 2002 and 2004-2009; clean indoor air law data were from the American Nonsmokers' Rights Foundation Tobacco Control Laws Database. 'Full coverage' and 'partial coverage' smokefree legislation is associated with an increased likelihood of having voluntary home and car smokefree rules compared with 'no coverage'. The association between 'full coverage' and smokefree rule in homes and cars is 5% and 4%, respectively, and the association between 'partial coverage' and smokefree rules in homes and cars is 3% and 4%, respectively. There is a positive association between the adoption of smokefree rules in homes and cars. Clean indoor air laws provide the additional benefit of encouraging voluntary adoption of smokefree rules in homes and cars. Published by the BMJ Publishing Group Limited. For permission to use (where not already granted under a licence) please go to http://group.bmj.com/group/rights-licensing/permissions.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-08
...-Regulatory Organizations; NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Adopt a..., Section 1 (Definitions) of the rules of the Nasdaq Options Market (``NOM'') to adopt a definition of... business days. This is similar to the process of other options exchanges that have adopted a Professional...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-04
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References and Make Other Various Non-Substantive..., 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-06
... definition of a spread in FINRA Rule 4210(f)(2)(A)(xxxii) to mean a ``long'' and ``short'' position in...)(2)(A)(xxxii) (renumbered as 4210(f)(2)(A)(xxvii)) that defines an OTC option as an over-the-counter...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-11
... such licensees and operators, and thus are unable to estimate the number of geostationary space station... apply any rules providing special consideration for geostationary space station licensees and operators... communicate with geostationary satellite orbit FSS space stations but must accept interference from stations...
-
42 CFR 35.1 - Hospital and station rules.
Code of Federal Regulations, 2010 CFR
2010-10-01
... EXAMINATIONS HOSPITAL AND STATION MANAGEMENT General § 35.1 Hospital and station rules. The officer in charge of a station or hospital of the Service is authorized to adopt such rules and issue such instructions... for the efficient operation of the station or hospital and for the proper and humane care and...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-13
...-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt... Proposed Rule Change The Exchange proposes to adopt a new Chapter V, Section 3(d)(iii) to provide for how... 1. Purpose The Exchange proposes to adopt Chapter V, Section 3(d)(iii) \\3\\ to provide for how the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-26
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Reinstitute Short Exempt Marking for Trade Reporting and OATS August 20, 2010. Pursuant to... is hereby given that on August 6, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-23
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the Codes of Arbitration Procedure To Provide for Attorney Representation of Non-Party... Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of Securities Dealers...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-19
... the Financial Industry Regulatory Authority's (``FINRA'') Central Registration Depository System (``WebCRD''), and must pass the General Securities Representative examination (``Series 7'') to function... individual associated persons \\11\\ not already registered in WebCRD to register under Rule 3.6A within 60...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-09
.... 10-142, FCC 12-151, which appears at 78 FR 8229, February 5, 2013, adopts flexible use rules for 40... licensing rules that generally follow the Commission's part 27 flexible use rules, modified as necessary to... as the AWS-4 band plan. In addition, we adopted appropriate technical rules for operations in the AWS...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-28
... existing paragraph (b)(4) of the Rule, entitled ``Numerical Guidelines Applicable to Volatile Market Opens... existing paragraph (b)(2), which provides flexibility to FINRA to use different Numerical Guidelines or... of paragraph (b)(4) (``Numerical Guidelines Applicable to Volatile Market Opens'') of the existing...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-26
... placement, provide relevant disclosures to each investor prior to sale describing the anticipated use of... disclosure documents did not contain the requisite information about the offering expenses and use of... investor a separate disclosure document containing this information. FINRA Rule 5123 also would have...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-10
... initiating and adjudicating various types of actions, including disciplinary, eligibility, expedited, and... also may review the decision. Oral Argument in Review of Proceedings FINRA Rule 9341(a) establishes the procedure for a party requesting an oral argument before the Subcommittee or, if applicable, the Extended...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-01
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change... Consolidated FINRA Rulebook January 25, 2010. On December 2, 2009, the Financial Industry Regulatory Authority... later in the rulebook consolidation process. It is therefore ordered, pursuant to Section 19(b)(2) of...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-02
...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate... hereby given that, on September 24, 2013, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed... discussed any comments it received on the proposed rule change. The text of these statements may be examined...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-20
... supervise sales of corporate securities and options, respectively. A person registering as a General... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68918; File No. SR-FINRA-2013-014] Self... Effectiveness of a Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-31
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65618; File No. SR-FINRA-2011-061] Self... Effectiveness of Proposed Rule Change To Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection With Certain Corporate Control Transactions October 25, 2011. Pursuant to Section 19...
-
Securities and Exchange Commission Rule 151A and Annuities: Issues and Legislation
2010-07-01
brokers are required to be members of the Financial Industry Regulatory Authority (FINRA), a non -governmental self-regulatory organization for the...Issues and Legislation Baird Webel Specialist in Financial Economics Rena S. Miller Analyst in Financial Economics July 1, 2010 Congressional...4173) and the Restoring American Financial Stability Act (S. 3217)....................................................................... 12
-
Minor Birth Mothers and Consent to Adoption: An Anomaly in Youth Law.
ERIC Educational Resources Information Center
Durcan, Jennifer; Appell, Annette R.
2001-01-01
Explores different treatment of pregnant minors under adoption and abortion law. Asserts rules governing autonomy of minor decision-making in adoption and abortion are not predicated on any unified theory of child development, protection of pregnant teenagers, or nature and long-term effects of decisions, but rather are motivated by the state's…
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-14
... Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Adopt Chapter V, Section 3(d... proposes to adopt a new Chapter V, Section 3(d)(iii) to provide for how the Exchange proposes to treat... Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to adopt Chapter V, Section 3...
-
Code of Federal Regulations, 2011 CFR
2011-04-01
... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Self-regulatory organization... Miscellaneous § 1.52 Self-regulatory organization adoption and surveillance of minimum financial requirements. (a) Each self-regulatory organization must adopt, and submit for Commission approval, rules...
-
Code of Federal Regulations, 2010 CFR
2010-04-01
... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Self-regulatory organization... Miscellaneous § 1.52 Self-regulatory organization adoption and surveillance of minimum financial requirements. (a) Each self-regulatory organization must adopt, and submit for Commission approval, rules...
-
Code of Federal Regulations, 2013 CFR
2013-04-01
... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Self-regulatory organization... Miscellaneous § 1.52 Self-regulatory organization adoption and surveillance of minimum financial requirements. (a) Each self-regulatory organization must adopt rules prescribing minimum financial and related...
-
Code of Federal Regulations, 2012 CFR
2012-04-01
... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Self-regulatory organization... Miscellaneous § 1.52 Self-regulatory organization adoption and surveillance of minimum financial requirements. (a) Each self-regulatory organization must adopt, and submit for Commission approval, rules...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-13
... things, risks to the financial system arising from credit risk resulting from bilateral CDS transactions... other things to enhance the authority of regulators to implement new rules designed to reduce risk... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66527; File No. SR-FINRA-2012-015] Self...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-20
.... The text of the proposed rule change is set forth below. Proposed new language is italicized; proposed... methodology approved by FINRA as announced in a Regulatory Notice (``approved margin methodology''). The... an Approved Margin Methodology. Members shall require as a minimum for computing customer or broker...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-15
...; or (ii) the member accepts in good faith the customer's agreement that full cash payment will be made... or otherwise promote a product or service of the member. For institutional communications, FINRA Rule..., structure, and customers for the review by an appropriately qualified registered principal of institutional...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-15
...) There being sufficient funds in the account; or (ii) the member accepts in good faith the customer's... promote a product or service of the member. For institutional communications, FINRA Rule 2210(b)(3..., and customers for the review by an appropriately qualified registered principal of institutional...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63250; File No. SR-FINRA-2010-053] Self... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-23
... Officer copies of documentary exhibits the parties intend to introduce and the names of the witnesses each party intends to present at a hearing. Currently, pre-hearing, proposed documentary evidence submitted... change amends FINRA Rule 9261(a) to establish that documentary evidence submitted prior to a hearing...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-10
... rule change to provide a new method of calculating the Trading Activity Fee (``TAF'') for transactions... calculating the TAF \\4\\ for transactions in Asset-Backed Securities.\\5\\ The TAF is one of the member... monitoring; and FINRA's policymaking, rulemaking, and enforcement activities.\\6\\ Generally, the TAF is...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-27
... Activity Fee (``TAF'').\\4\\ Under FINRA trade reporting rules, certain transactions and transfers are not... from its membership in accordance with Section 3. \\4\\ The TAF is one of the member regulatory fees... and policymaking, rulemaking and enforcement activities. Among others, the TAF is assessed for the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-11
... by significant amounts in a very short time period before suddenly reversing to prices consistent... circuit breaker pilot program, which was implemented through a series of rule filings by the equity exchanges and by FINRA.\\6\\ The single-stock circuit breaker was designed to reduce extraordinary market...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-22
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61706; File No. SR-FINRA-2009-047] Self... the receipt of such disclosure. Rule 2350 applies only when broker-dealer services are conducted... business on the premises of financial institutions, and to clarify the relationship between a broker-dealer...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-17
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68632; File No. SR-FINRA-2013-003] Self... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule... at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the...
-
76 FR 77747 - Amendment of the Commission's Rules Governing Hearing Aid-Compatible Mobile Handsets
Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-14
... revisions to the Commission's wireless hearing aid compatibility rules. The Commission's rules define... digital wireless handsets. The proposed rules would adopt the revised version of the technical standard.... FOR FURTHER INFORMATION CONTACT: Michael Rowan, Wireless Telecommunications Bureau, (202) 418-1883...
-
Cost-effectiveness on a local level: whether and when to adopt a new technology.
Woertman, Willem H; Van De Wetering, Gijs; Adang, Eddy M M
2014-04-01
Cost-effectiveness analysis has become a widely accepted tool for decision making in health care. The standard textbook cost-effectiveness analysis focuses on whether to make the switch from an old or common practice technology to an innovative technology, and in doing so, it takes a global perspective. In this article, we are interested in a local perspective, and we look at the questions of whether and when the switch from old to new should be made. A new approach to cost-effectiveness from a local (e.g., a hospital) perspective, by means of a mathematical model for cost-effectiveness that explicitly incorporates time, is proposed. A decision rule is derived for establishing whether a new technology should be adopted, as well as a general rule for establishing when it pays to postpone adoption by 1 more period, and a set of decision rules that can be used to determine the optimal timing of adoption. Finally, a simple example is presented to illustrate our model and how it leads to optimal decision making in a number of cases.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-01
... Custodian's custody, subject to certain limitations based on events beyond the Gold Custodian's control... Securities Commission, Autorite des marches financiers, New Brunswick Securities Commission, Nova Scotia... are members of the Intermarket Surveillance Group (``ISG''), and FINRA, on behalf of the Exchange, may...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-10
... references to ``OTC Bulletin Board'' and ``OTCBB'' with ``Non-NMS Quotation Service'' and ``NNQS.'' The text... filing the proposed rule change to rename the OTC Bulletin Board (``OTCBB'') as the Non-NMS Quotation... OTCBB assets do not include the technology comprising the interdealer quotation system operated by FINRA...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-11
... securities suddenly declining by significant amounts in a very short time period before suddenly reversing to... circuit breaker pilot program, which was implemented through a series of rule filings by the equity exchanges and by FINRA.\\9\\ The single-stock circuit breaker was designed to reduce extraordinary market...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-10
... Change Relating to Amendments to the Order Audit Trail System Rules November 4, 2011. Pursuant to Section... members report to the Order Audit Trail System (``OATS'') information barriers put into place by the... the Commission, FINRA noted: Based on further development of the Order Audit System and determinations...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-28
... Effectiveness of Proposed Rule Change To Amend Section 4 of Schedule A to the FINRA By- Laws To Increase the..., Control, or Business Operations) regarding the revised new member application fee and new continuing... member regularly conducts the business of effecting any transactions in, or inducing or attempting to...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-08
... change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose... principles of trade and, in general, to protect investors and the public interest. FINRA believes that the... protection of investors and the public interest, the proposed rule change has become effective pursuant to...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-29
... Proposed Rule Change 1. Purpose (a) Background In light of well publicized securities frauds that resulted... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64954; File No. SR-FINRA-2010-036] Self...-Case Referrals July 25, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-23
... settlement, adjust, retain priority for, or otherwise correctly process an order, Quote/Order, message, or... Directors of NASDAQ OMX an analysis of the total value of eligible claims. FINRA has provided the required analysis. The provision further requires that Nasdaq will file with the Commission a rule proposal setting...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-06
... stated that it would offer training on the revised Discovery Guide in a workshop that FINRA would post as... Procedure for Customer Disputes April 1, 2011. I. Introduction On July 12, 2010, the Financial Industry... Arbitration Procedure for Customer Disputes (``Customer Code''). The proposed rule change was published for...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-16
... quotation is a better trigger mechanism for stop orders than a transaction, and there may be good reasons... any such reasons. In addition, the Commission believes that, if FINRA rules were to permit members... * * * is not sufficient.'' \\19\\ For the reasons articulated above, the Commission does not believe that...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-11
... securities suddenly declining by significant amounts in a very short time period before suddenly reversing to... circuit breaker pilot program, which was implemented through a series of rule filings by the equity exchanges and by FINRA.\\8\\ The single-stock circuit breaker was designed to reduce extraordinary market...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-29
... Effectiveness of a Proposed Rule Change To Revise the Series 6 Examination Program October 23, 2013. Pursuant to... selection specifications for the Investment Company and Variable Contracts Products Representative (Series 6... corresponding revisions to the Series 6 question bank. Based on instruction from SEC staff, FINRA is submitting...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-13
... cancellation; (2) require that members report secondary market transactions in non-exchange-listed direct...,'' as defined in FINRA Rule 6420 (i.e., non-NMS stocks such as OTC Bulletin Board and Pink Sheets... the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\\11\\ \\11\\ 17...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-15
... the minimum quotation sizes (or ``tier sizes'') for OTC equity securities \\4\\ to, among other things... depth (dollar value of shares) at the inside. Amendment No. 2 specified, among other things, that: (1...\\ which requires, among other things, that FINRA rules must be designed to prevent fraudulent and...
-
77 FR 62431 - Adoption of Updated EDGAR Filer Manual
Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-15
...-30227] Adoption of Updated EDGAR Filer Manual AGENCY: Securities and Exchange Commission. ACTION: Final... Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect... Manual is approved by the Director of the Federal Register as of October 15, 2012. FOR FURTHER...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-24
... Equities Rule 104 To Adopt Pricing Obligations for Designated Market Makers September 20, 2010. Pursuant to... pricing obligations for Designated Market Makers (``DMMs''). The text of the proposed rule change is... adopt pricing obligations for DMMs. Under the proposal, the Exchange will require DMMs to continuously...
-
2000-11-22
This is a final rule amending the NASA FAR Supplement (NFS) to emphasize considerations of risk management, including safety, security (including information technology security), health, export control, and damage to the environment, within the acquisition process. This final rule addresses risk management within the context of acquisition planning, selecting sources, choosing contract type, structuring award fee incentives, administering contracts, and conducting contractor surveillance.
-
Horton, William W
2004-01-01
The Sarbanes-Oxley Act (Act) significantly changed the expected corporate behavior of public companies. The Act governs the relationship between corporate organizations and their in-house or outside counsel. Under Section 307 of the Act, the Securities and Exchange Commission initially proposed expansive rules regarding counsel's duties. After comments and criticism from much of the bar, a final, narrower, version of rules under Section 307 (Final Rule) was adopted. The Final Rule contains alternative reporting procedures, attorney responsibilities, and sanctions for violations. In addition to the Act, the American Bar Association's (ABA) Task Force on Corporate Responsibility(Task Force), which was itself a reaction to Enron, reported on the importance of counsel's role in a corporate setting (Cheek Report). The ABA adopted amendments to its Model Rules of Professional Conduct (Model Rules) 1.6 and 1.13 as proposed in the Cheek Report. The Final Rule and amended Model Rules together suggest that attorneys may owe duties beyond those owed to their clients.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-01
... the Regulation NMS Plan to Address Extraordinary Market Volatility. The text of the proposed rule... text of these statements may be examined at the places specified in Item IV below. FINRA has prepared... thereunder.\\6\\ The Limit Up-Limit Down mechanism is intended to address the type of sudden price movements...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-20
... security-based swaps. The new legislation was intended among other things to enhance the authority of... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66156; File No. SR-FINRA-2012-004] Self... (Application of Rules to Security-Based Swaps) January 13, 2012. Pursuant to Section 19(b)(1) of the Securities...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-05
... Order Audit Trail System to All NMS Stocks September 29, 2011. Pursuant to Section 19(b)(1) of the... amendments to the Order Audit Trail System (``OATS'') rules expanding the OATS recording and reporting... firms to voluntarily submit data to FINRA to test the adequacy of their reporting systems, was made...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-11
... other things, that FINRA rules must be designed to prevent fraudulent and manipulative acts and... method. The Commission will post all comments on the Commission's Internet website ( http://www.sec.gov... withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for website...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-24
... quotations into any inter-dealer quotation system that permits quotation updates on a real-time basis to... particular OTC Equity Security in any inter-dealer quotation system, including any system that the SEC has... Securities in which it displays market making interest via an inter-dealer quotation system.'' See FINRA Rule...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-27
... statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it... Nominating and Governance Committee, as well as the full Board of Directors. \\4\\ An ``Industry Director... has no material business relationship with a broker or dealer, NASDAQ OMX or its affiliates, or FINRA...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-14
... regulatory regime applicable to the over-the-counter derivatives markets. Title VII provides the SEC and the CFTC with tools to oversee these markets.\\4\\ Under the comprehensive framework established in Title VII... Rule),\\11\\ arising from the daily mark to market of the CDS (``variation margin''). FINRA notes that...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-11
... time period before suddenly reversing to prices consistent with their pre-decline levels.\\5\\ This... implemented through a series of rule filings by the equity exchanges and by FINRA.\\6\\ The single-stock circuit breaker was designed to reduce extraordinary market volatility in NMS stocks by imposing a five-minute...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-25
... by the Commission. The Commission is publishing this notice to solicit comments on the proposed rule... via an application on FINRA's Firm Gateway. See Regulatory Notice 11-10 (March 2011). Exception for... Depository (CRD[supreg] system) that the data reported on a Form U4 Disclosure Reporting Page (DRP) also be...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-17
... is publishing this notice to solicit comments on the proposed rule change from interested persons. \\1... dissemination to vendors and other market participants. In addition, the ADF delivers real-time data to FINRA... subscribers may connect to FLOW via the FLOW Smart Order Router, or through the FLOW Gateway. Non-FLOW...
-
78 FR 60684 - Adoption of Updated EDGAR Filer Manual
Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-02
...-30722] Adoption of Updated EDGAR Filer Manual AGENCY: Securities and Exchange Commission. ACTION: Final... Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect... the EDGAR Filer Manual is approved by the Director of the Federal Register as of October 2, 2013. FOR...
-
76 FR 1514 - Adoption of Updated EDGAR Filer Manual
Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-11
... Filer Manual and the rule amendments is January 11, 2011. In accordance with the APA,\\8\\ we find that...-29547] Adoption of Updated EDGAR Filer Manual AGENCY: Securities and Exchange Commission. ACTION: Final... Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual to reflect updates to the...
-
Rules and Agreements--And Becoming a Preschool Community of Learners
ERIC Educational Resources Information Center
Hannikainen, Maritta
2005-01-01
The study presented here discusses rules and agreements in a preschool group from the viewpoint of the development of a community of learners. What kinds of rules and agreements exist in the preschool group, how they are articulated and how they are adopted at the beginning of the preschool year were the questions addressed in this small-scale…
-
Does the Exclusionary Rule Exclude Justice?
ERIC Educational Resources Information Center
Jensen, D. Lowell
1983-01-01
The exclusionary rule, which prevents the use of evidence gathered illegally, was developed to deter police misconduct. Its use has expanded so far that it seriously hinders justice. Examples are given of cases where evidence gathered in good faith was excluded. Changes suggested by the Reagan administration should be adopted. (IS)
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-03
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63960; File No. SR-FINRA-2011-008] Self... Public Quotation in an OTC Equity Security February 24, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-26
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68468; File No. SR-FINRA-2012-055] Self...-Element Continuing Education Program To Qualify To Engage in a Security Futures Business December 19, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')\\1\\ and Rule 19b-4 thereunder...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-06
... Hurricane Sandy November 30, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934... result of Hurricane Sandy. The text of the proposed rule change is available on FINRA's Web site at http... significant disruptions in normal business operations as a result of Hurricane Sandy or Superstorm Sandy...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69762; File No. SR-FINRA-2013-023] Self... rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-15
... compensation committee and compensation adviser requirements. On June 20, 2012, to comply with the requirements... exchanges to adopt listing rules effectuating the compensation committee and compensation adviser... requirements of Rule 10C-1. Compensation Committee Advisers Rule 10C-1(b)(2) \\14\\ requires exchange rules to...
-
31 CFR Appendix A to Part 357 - Discussion of Final Rule
Code of Federal Regulations, 2011 CFR
2011-07-01
... as used in TRADES have been adopted. Section-By-Section Analysis Section 357.21Registration. The... final rules have adopted some of the existing practices applicable to commercial ACH payments, but it is... entities that are a part of the Government direct deposit network. See the discussion under paragraph (b)(2...
-
31 CFR Appendix A to Part 357 - Discussion of Final Rule
Code of Federal Regulations, 2013 CFR
2013-07-01
... as used in TRADES have been adopted. Section-By-Section Analysis Section 357.21Registration. The... final rules have adopted some of the existing practices applicable to commercial ACH payments, but it is... entities that are a part of the Government direct deposit network. See the discussion under paragraph (b)(2...
-
31 CFR Appendix A to Part 357 - Discussion of Final Rule
Code of Federal Regulations, 2012 CFR
2012-07-01
... as used in TRADES have been adopted. Section-By-Section Analysis Section 357.21Registration. The... final rules have adopted some of the existing practices applicable to commercial ACH payments, but it is... entities that are a part of the Government direct deposit network. See the discussion under paragraph (b)(2...
-
31 CFR Appendix A to Part 357 - Discussion of Final Rule
Code of Federal Regulations, 2014 CFR
2014-07-01
... as used in TRADES have been adopted. Section-By-Section Analysis Section 357.21Registration. The... final rules have adopted some of the existing practices applicable to commercial ACH payments, but it is... entities that are a part of the Government direct deposit network. See the discussion under paragraph (b)(2...
-
76 FR 50425 - Service Rules and Policies for the Broadcasting Satellite Service (BSS)
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-15
... poles of the Earth, with the positive direction pointing south; and the Z axis passes through the... and Policies for the Broadcasting Satellite Service (BSS) AGENCY: Federal Communications Commission. ACTION: Final rule. SUMMARY: In this document, the Federal Communications Commission adopts rules to...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-26
... account in which a Member acting as a registered Market Maker, directly or indirectly, controls trading... the Exchange, or any act, condition, or cause beyond the reasonable control of the Exchange or its... FINRA members applicable to inverse, leveraged, and inverse leveraged securities and options on such...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-26
..., and rules of agency procedure or practice, and to give notice of the final adoption of such changes at... procedure or practice as they relate to the Fiscal Year (FY) 2013 Funding Opportunity Announcements (FOA... statements of policy, and rules of agency organization, procedure, or practice. The proposed clarifications...
-
Fair credit reporting medical information regulations. Final rules.
2005-11-22
The OCC, Board, FDIC, OTS, and NCUA (Agencies) are publishing final rules to implement section 411 of the Fair and Accurate Credit Transactions Act of 2003 (FACT Act). The final rules create exceptions to the statute's general prohibition on creditors obtaining or using medical information pertaining to a consumer in connection with any determination of the consumer's eligibility, or continued eligibility, for credit for all creditors. The exceptions permit creditors to obtain or use medical information in connection with credit eligibility determinations where necessary and appropriate for legitimate purposes, consistent with the Congressional intent to restrict the use of medical information for inappropriate purposes. The final rules also create limited exceptions to permit affiliates to share medical information with each other without becoming consumer reporting agencies. The final rules are substantially similar to the rules adopted by the Agencies on an interim final basis in June 2005.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-22
...) the Consolidated Tape Association (``CTA'') as the exclusive securities information processor (``SIP... CHX Solely Listed Stocks and (b) the NASDAQ Unlisted Trading Privileges Plan as the exclusive SIP for... Property. (ii) Enhancements to Existing Intellectual Property or New Developments. In the event FINRA (a...
-
Claims Procedure for Plans Providing Disability Benefits. Final rule.
2016-12-19
This document contains a final regulation revising the claims procedure regulations under the Employee Retirement Income Security Act of 1974 (ERISA) for employee benefit plans providing disability benefits. The final rule revises and strengthens the current rules primarily by adopting certain procedural protections and safeguards for disability benefit claims that are currently applicable to claims for group health benefits pursuant to the Affordable Care Act. This rule affects plan administrators and participants and beneficiaries of plans providing disability benefits, and others who assist in the provision of these benefits, such as third-party benefits administrators and other service providers.
-
NASA Safety and Health (Short Form). Final rule
NASA Technical Reports Server (NTRS)
2001-01-01
This final rule adopts with changes the interim rule published in the Federal Register on April 5, 2001 (65 FR 18051-18053), which amended the NASA FAR Supplement to implement a Safety and Health (Short Form) clause to address safety and occupational health in all NASA contracts above the micro-purchase threshold where the existing Safety and Health clause did not apply, and amended other safety and health clauses to be consistent with the new NASA Safety and Health (Short Form) clause.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-14
... Listing, sometimes called a ``back-door listing''). In these cases, FINRA is already reviewing the trading... Additional Listing Requirements for Reverse Mergers June 8, 2011. Pursuant to Section 19(b)(1) of the... additional listing requirements for a company that has become public through a combination with a public...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-11
...-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Adopting... paragraph (d) it contains a provision establishing how the transition period from NYSE Rule 477 will work... to announce the effective date of the new rules at least 30 days in advance in an Information...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-09
... Withdrawal of Pleadings) As discussed above, the NTSB received several comments in response to the ANPRM... Board stated it would not adopt a bright-line rule to determine when such a withdrawal should result in... its law judges to assess the facts of each case and determine whether the withdrawal was with or...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-20
... Discipline and Disclosure Requirements, Advanced Approaches Risk-Based Capital Rule, and Market Risk Capital..., 2013, a document adopting a final rule that revises its risk-based and leverage capital requirements... risk-based and leverage capital requirements for banking organizations. An allowance for additional...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-08
... in Rule 600(b)(47) of SEC Regulation NMS, members must indicate on trade reports submitted to FINRA... Securities and Exchange Commission (``SEC'' or ``Commission''), pursuant to Section 19(b)(1) of the.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 62748 (Aug...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-17
... Financial Industry Regulatory Authority, Inc. (``FINRA''). The Exchange understands that, pursuant to NASD... case of a Person that is a company, corporation or similar entity, any executive officer (as defined... relative of such spouse who has the same home as such Person or who is a director or officer of [DE...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-17
... Financial Industry Regulatory Authority, Inc. (``FINRA''). The Exchange understands that, pursuant to NASD... case of a Person that is a company, corporation or similar entity, any executive officer (as defined... relative of such spouse who has the same home as such Person or who is a director or officer of [DE...
-
Asbestos worker protection. Environmental Protection Agency (EPA). Final rule.
2000-11-15
In this Final Rule, EPA is amending both the Asbestos Worker Protection Rule (WPR) and the Asbestos-in-Schools Rule. The WPR amendment protects State and local government employees from the health risks of exposure to asbestos to the same extent as private sector workers by adopting for these employees the Asbestos Standards of the Occupational Safety and Health Administration (OSHA). The WPR's coverage is extended to State and local government employees who are performing construction work, custodial work, and automotive brake and clutch repair work. This final rule cross-references the OSHA Asbestos Standards for Construction and for General Industry, so that future amendments to these OSHA standards are directly and equally effective for employees covered by the WPR. EPA also amends the Asbestos-in-Schools Rule to provide coverage under the WPR for employees of public local education agencies who perform operations, maintenance, and repair activities. EPA is issuing this final rule under section 6 of the Toxic Substances Control Act (TSCA).
-
tetrahydrocannabinol (delta-9-THC)] in Schedule II. Final rule.
2017-11-22
This final rule adopts without changes an interim final rule with request for comments published in the Federal Register on March 23, 2017. On July 1, 2016, the U.S. Food and Drug Administration (FDA) approved a new drug application for Syndros, a drug product consisting of dronabinol [(-)-delta-9-trans-tetrahydrocannabinol (delta-9-THC)] oral solution. The Drug Enforcement Administration (DEA) maintains FDA-approved products of oral solutions containing dronabinol in schedule II of the Controlled Substances Act.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-20
... Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules; Final Rule #0;#0;Federal Register / Vol. 75, No. 138... CFR Part 4401 and 17 CFR Part 200 [Release No. 34-62501] Adoption of Supplemental Standards of Ethical...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-20
... Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules; Final Rule #0;#0;Federal Register / Vol. 75, No. 138... CFR Part 4401 and 17 CFR Part 200 [Release No. 34-62501] Adoption of Supplemental Standards of Ethical...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-27
... To Enhance Quotation Requirements for Market Makers September 20, 2010. Pursuant to Section 19(b)(1... amend NSX Rule 11.8 to enhance quotation requirements for market makers. The text of the proposed rule... Maker Quote Obligations: The Exchange proposes to adopt rules to enhance minimum quotation requirements...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-23
... Adopted Under Rule 205 Entitled ``Back-Up Communication Channel to Internet Access'' October 17, 2013. I... ``Back-up Communication Channel to Internet Access'' requiring clearing members that use the internet as... Policy Statement under Rule 205 requiring clearing members that primarily use the internet to access OCC...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-26
... (Business Continuity and Contingency Plans) and adopt new Rule 4370--NYSE Amex Equities (Business Continuity... Continuity and Contingency Plans) as substantively duplicative of NASD Rules 3510 (Business Continuity Plans... Equities (Business Continuity and Contingency Plans) to remove the existing text and incorporate NASD Rules...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-08
... reduce the systemic and administrative burdens on market participants by avoiding the need for... enforce NYSE Arca rules, as the NYSE would do under its current rule. In sum, the Exchange believes that...
-
2016-08-05
This final rule will update the hospice wage index, payment rates, and cap amount for fiscal year (FY) 2017. In addition, this rule changes the hospice quality reporting program, including adopting new quality measures. Finally, this final rule includes information regarding the Medicare Care Choices Model (MCCM).
-
Adopted Adolescents' Preoccupation with Adoption: The Impact on Adoptive Family Relationships.
ERIC Educational Resources Information Center
Kohler, Julie K.; Grotevant, Harold D.; McRoy, Ruth G.
2002-01-01
Examines relationship between intensity of adopted adolescents' thinking about their adoptions and their adoptive family relationships in 135 adopted adolescents. Adolescents with extremely high levels of preoccupation reported significantly higher levels of alienation and significantly lower levels of trust for their adoptive mothers and fathers.…
-
Dollars and Deadlines: Rule Reforms in Short Time Frames
ABSTRACT: In "At Last! Aye, and there's the Rub" (i.e., the target article for this commentary), Capron describes challenges related to the timing for development, adoption, and revision of the Common Rule. Specifically, what the National Commission thought would be a...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-19
... Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Adopt Fitness Standards... purpose of the proposed rule change is to establish fitness standards for directors, clearing members, and... Core Principle O requires DCOs to establish fitness standards for directors, clearing members and...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-05
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change to Adopt... Nasdaq proposes to adopt additional listing requirements for a company that has become public through a... 20, 2010). In response to these concerns, Nasdaq staff has, over the past year, adopted heightened...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-10
...The Federal Deposit Insurance Corporation (FDIC) is adopting an interim final rule that revises its risk-based and leverage capital requirements for FDIC-supervised institutions. This interim final rule is substantially identical to a joint final rule issued by the Office of the Comptroller of the Currency (OCC) and the Board of Governors of the Federal Reserve System (Federal Reserve) (together, with the FDIC, the agencies). The interim final rule consolidates three separate notices of proposed rulemaking that the agencies jointly published in the Federal Register on August 30, 2012, with selected changes. The interim final rule implements a revised definition of regulatory capital, a new common equity tier 1 minimum capital requirement, a higher minimum tier 1 capital requirement, and, for FDIC-supervised institutions subject to the advanced approaches risk-based capital rules, a supplementary leverage ratio that incorporates a broader set of exposures in the denominator. The interim final rule incorporates these new requirements into the FDIC's prompt corrective action (PCA) framework. In addition, the interim final rule establishes limits on FDIC-supervised institutions' capital distributions and certain discretionary bonus payments if the FDIC-supervised institution does not hold a specified amount of common equity tier 1 capital in addition to the amount necessary to meet its minimum risk-based capital requirements. The interim final rule amends the methodologies for determining risk-weighted assets for all FDIC-supervised institutions. The interim final rule also adopts changes to the FDIC's regulatory capital requirements that meet the requirements of section 171 and section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The interim final rule also codifies the FDIC's regulatory capital rules, which have previously resided in various appendices to their respective regulations, into a harmonized integrated regulatory framework. In
-
Signal-chip microcomputer control system for a diffraction grating ruling engine
NASA Astrophysics Data System (ADS)
Wang, Xiaolin; Zhang, Yuhua; Yang, Houmin; Guo, Du
1998-08-01
A control system with a chip of 8031 single-chip microcomputer as its nucleus for a diffraction grating ruling engine has been developed, its hardware and software are presented in this paper. A series of techniques such as program-controlled amplifier and interference fringes subdivision as well as motor velocity step governing are adopted to improve the control accuracy. With this control system, 8 kinds of gratings of different spacings can be ruled, the positioning precision of the diffraction grating ruling engine (sigma) equals 3.6 nm, and the maximum positioning error is less than 14.6 nm.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-20
...-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt an... Commission (``Commission'') the proposed rule change as described in Items I and II below, which Items have... rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-09-05
...This final rule adopts the standard for a national unique health plan identifier (HPID) and establishes requirements for the implementation of the HPID. In addition, it adopts a data element that will serve as an other entity identifier (OEID), or an identifier for entities that are not health plans, health care providers, or individuals, but that need to be identified in standard transactions. This final rule also specifies the circumstances under which an organization covered health care provider must require certain noncovered individual health care providers who are prescribers to obtain and disclose a National Provider Identifier (NPI). Lastly, this final rule changes the compliance date for the International Classification of Diseases, 10th Revision, Clinical Modification (ICD- 10-CM) for diagnosis coding, including the Official ICD-10-CM Guidelines for Coding and Reporting, and the International Classification of Diseases, 10th Revision, Procedure Coding System (ICD-10-PCS) for inpatient hospital procedure coding, including the Official ICD-10-PCS Guidelines for Coding and Reporting, from October 1, 2013 to October 1, 2014.
-
2016-05-04
This final rule will amend the fire safety standards for Medicare and Medicaid participating hospitals, critical access hospitals (CAHs), long-term care facilities, intermediate care facilities for individuals with intellectual disabilities (ICF-IID), ambulatory surgery centers (ASCs), hospices which provide inpatient services, religious non-medical health care institutions (RNHCIs), and programs of all-inclusive care for the elderly (PACE) facilities. Further, this final rule will adopt the 2012 edition of the Life Safety Code (LSC) and eliminate references in our regulations to all earlier editions of the Life Safety Code. It will also adopt the 2012 edition of the Health Care Facilities Code, with some exceptions.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-19
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62079; File No. 4-598] Program for Allocation... Order gives effect to the Plan filed with the Commission in File No. 4-598. The Parties shall notify all..., pursuant to Section 17(d) of the Act, that the Plan in File No. 4-598, between FINRA and EDGX, filed...
-
Tribal child welfare. Interim final rule.
2012-01-06
The Administration for Children and Families (ACF) is issuing this interim final rule to implement statutory provisions related to the Tribal title IV-E program. Effective October 1, 2009, section 479B(b) of the Social Security Act (the Act) authorizes direct Federal funding of Indian Tribes, Tribal organizations, and Tribal consortia that choose to operate a foster care, adoption assistance and, at Tribal option, a kinship guardianship assistance program under title IV-E of the Act. The Fostering Connections to Success and Increasing Adoptions Act of 2008 requires that ACF issue interim final regulations which address procedures to ensure that a transfer of responsibility for the placement and care of a child under a State title IV-E plan to a Tribal title IV-E plan occurs in a manner that does not affect the child's eligibility for title IV-E benefits or medical assistance under title XIX of the Act (Medicaid) and such services or payments; in-kind expenditures from third-party sources for the Tribal share of administration and training expenditures under title IV-E; and other provisions to carry out the Tribal-related amendments to title IV-E. This interim final rule includes these provisions and technical amendments necessary to implement a Tribal title IV-E program.
-
How the adoption of impression management goals alters impression formation.
Gibson, Bryan; Poposki, Elizabeth M
2010-11-01
Five experiments (N = 390) tested the hypothesis that adopting an impression management goal leads the impression manager to view an interaction partner as having less of the trait he or she is attempting to express. This hypothesis was confirmed for the impression management goals of appearing introverted, extraverted, smart, confident, and happy. Experiment 2 shows that adoption of the impression goal could alter judgments even when participants could not act on the goal. Experiment 3 provides evidence that adopting an impression management goal prompted a comparison mind-set and that this comparison mind-set activation mediated target judgments. Experiment 4 rules out a potential alternative explanation and provides more direct evidence that comparison of the impression manager's self-concept mediates the impression of the target. Experiment 5 eliminates a potential confound and extends the effect to another impression goal. These experiments highlight the dynamic interplay between impression management and impression formation.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-15
...-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To Adopt a Reservation Fee for Next Generation Trading Floor Booth Space March 8... Rule 19b-4 thereunder,\\3\\ notice is hereby given that on March 4, 2010, New York Stock Exchange LLC...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-24
... PHLX LLC Relating to a Remote Specialist Fee June 20, 2011. Pursuant to Section 19(b)(1) of the... Proposed Rule Change The Exchange proposes to adopt a new fee entitled ``Remote Specialist Fee.'' While fee... proposed rule change is to recoup costs associated with maintaining a remote specialist post on the...
-
The End of the HIPAA Privacy Rule? Currents in Contemporary Bioethics.
Rothstein, Mark A
2016-06-01
The HIPAA Privacy Rule is notoriously weak because of its incomplete coverage, numerous exclusions and exemptions, and limited rights for individuals. The three areas in which it provides the most protection are fundraising, marketing, and research. Provisions of the 21st Century Cures Act, pending in Congress, and the Notice of Proposed Rulemaking to amend the federal research regulations (Common Rule), awaiting final regulatory action, would weaken the privacy protections for research. If these measures are adopted, the HIPAA Privacy Rule would have so little value that it might not be worth the aggravation and burden. © 2016 American Society of Law, Medicine & Ethics.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-12
... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62036; File No. 4-594] Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for EDGX Exchange, Inc. May 5, 2010. On March 19, 2010...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-12
... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62037; File No. 4-595] Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for EDGA Exchange, Inc. May 5, 2010. On March 19, 2010...
-
2012-02-06
The Food and Drug Administration (FDA) is adopting as a final rule, without change, the interim final rule that issued regulations permitting FDA Center Directors to grant exceptions or alternatives to certain regulatory labeling requirements applicable to human drugs, biological products, or medical devices that are or will be included in the Strategic National Stockpile (SNS). FDA is taking this action to complete the rulemaking initiated with the interim final rule.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-19
... FINRA Fee Change also amended FINRA's Fingerprint Processing Fees. In 2012, FINRA only offered one set... third submission). For 2013, FINRA is offering two sets of fees. For fingerprints submitted on paper... third submission. For fingerprints submitted electronically, the fees will be $29.50 per initial...
-
Reimagining the learned intermediary rule for the new pharmaceutical marketplace.
Hall, Timothy S
2004-01-01
For the past decade, the learned intermediary rule--the rule of tort law that provides that drug manufacturers may satisfy their duty to warn of a drug's dangers by warning the prescribing physician rather than the end user of the drug--has been the subject of vigorous academic debate. That debate has been largely moot, however, as the courts have proven reluctant to make significant inroads on the protection offered by the Rule to drug manufacturers. This Article proposes a new approach to the Rule. Part I discusses the history and overwhelming adoption of the Rule pursuant to the Restatement (Second) of Torts. Part II argues that changes in the health care delivery system have resulted in a legal system that introduces market distortions by effectively immunizing the pharmaceutical industry from the legal and social consequences of its own actions. Part III then sets forth a reconceptualization of the Rule, which preserves the Rule's benefits with respect to the drug industry, the health care system, and the goals of tort law, while also strengthening the protection the tort system offers to individuals injured by prescription drugs.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-24
...We are adopting amendments to Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 to implement Section 201(a) of the Jumpstart Our Business Startups Act. The amendment to Rule 506 permits an issuer to engage in general solicitation or general advertising in offering and selling securities pursuant to Rule 506, provided that all purchasers of the securities are accredited investors and the issuer takes reasonable steps to verify that such purchasers are accredited investors. The amendment to Rule 506 also includes a non-exclusive list of methods that issuers may use to satisfy the verification requirement for purchasers who are natural persons. The amendment to Rule 144A provides that securities may be offered pursuant to Rule 144A to persons other than qualified institutional buyers, provided that the securities are sold only to persons that the seller and any person acting on behalf of the seller reasonably believe are qualified institutional buyers. We are also revising Form D to require issuers to indicate whether they are relying on the provision that permits general solicitation or general advertising in a Rule 506 offering. Also today, in a separate release, to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to Rule 506 to disqualify issuers and other market participants from relying on Rule 506 if ``felons and other `bad actors' '' are participating in the Rule 506 offering. We are also today, in a separate release, publishing for comment a number of proposed amendments to Regulation D, Form D and Rule 156 under the Securities Act that are intended to enhance the Commission's ability to evaluate the development of market practices in Rule 506 offerings and address certain comments made in connection with implementing Section 201(a)(1) of the Jumpstart Our Business Startups Act.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-11
... proposed Rule 300(h). The Exchange also proposes to adopt appeal procedures for the denial or revocation of... potential denial of renewal or revocation of a trading license (the ``Expiration Date'') pursuant to Rule... the possibility of denial of renewal or revocation of the trading license on the Expiration Date. The...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-29
... Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization promptly file notice... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61753; File No. 4-595] Self-Regulatory...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-29
... Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization promptly file notice... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61752; File No. 4-594] Self-Regulatory...
-
48 CFR 6302.30 - Alternative dispute resolution methods (Rule 30).
Code of Federal Regulations, 2011 CFR
2011-10-01
... 48 Federal Acquisition Regulations System 7 2011-10-01 2011-10-01 false Alternative dispute resolution methods (Rule 30). 6302.30 Section 6302.30 Federal Acquisition Regulations System DEPARTMENT OF... week) of complex factual disputes and settled legal principles, the Board has adopted two methods of...
-
48 CFR 6302.30 - Alternative dispute resolution methods (Rule 30).
Code of Federal Regulations, 2010 CFR
2010-10-01
... 48 Federal Acquisition Regulations System 7 2010-10-01 2010-10-01 false Alternative dispute resolution methods (Rule 30). 6302.30 Section 6302.30 Federal Acquisition Regulations System DEPARTMENT OF... week) of complex factual disputes and settled legal principles, the Board has adopted two methods of...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-27
... (RACT) for sources covered by EPA's Control Techniques Guidelines (CTG) for flexible packaging printing... Promulgation of Air Quality Implementation Plans; Maryland; Adoption of Control Techniques Guidelines for Flexible Packaging Printing AGENCY: Environmental Protection Agency (EPA). ACTION: Proposed rule. SUMMARY...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-02
... SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No. 34-63949] Technical Amendments to...: Securities and Exchange Commission. ACTION: Final rule; technical amendments. SUMMARY: The Securities and Exchange Commission (``Commission'') is adopting technical amendments to Rule 17a-8 under the Securities...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-24
... Large Appliance and Metal Furniture Coatings AGENCY: Environmental Protection Agency (EPA). ACTION... Techniques Guidelines (CTG) standards for large appliance and metal furniture coatings. In the Final Rules...; Pennsylvania; Adoption of Control Techniques Guidelines for Large Appliance and Metal Furniture Coatings...
-
ERIC Educational Resources Information Center
Pawl, Jeree, Ed.; And Others
1990-01-01
This newsletter theme issue addresses adoption and the young child's life. Contributors suggest ways in which practitioners in many professions and settings can better understand and support adoptive families. The first article, "Adoption, 1990" by Barbara F. Nordhaus and Albert J. Solnit, reviews the history of adoption and notes obstacles to…
-
2008-07-17
OIG is adopting in final form, without change, an interim final rule published on March 26, 2008 (73 FR 15937). We received no comments to the interim final rule. The interim final rule revised the process for advisory opinion requestors to submit payments for advisory opinion costs.
-
Open adoption: adoptive parents' reactions two decades later.
Siegel, Deborah H
2013-01-01
Unlike in the past, most adoption agencies today offer birth parents and adoptive parents the opportunity to share identifying information and have contact with each other. To understand the impacts of different open adoption arrangements, a qualitative descriptive study using a snowball sample of 44 adoptive parents throughout New England began in 1988. Every seven years these parents who adopted infants in open adoptions have participated in tape-recorded interviews to explore their evolving reactions to their open adoption experiences. This article reports the results of in-depth interviews with these parents now that their children have reached young adulthood. This longitudinal research illuminates how open adoptions change over the course of childhood and adolescence, parents' feelings about open adoption, challenges that emerge in their relationships with their children's birth families, how those challenges are managed and viewed, and parents' advice for others living with open adoption and for clinical social work practice and policy. Findings reveal that regardless of the type of openness, these adoptive parents generally feel positive about knowing the birth parents and having contact with them, are comfortable with open adoption, and see it serving the child's best interests.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-20
... provisions of Rule 19d-1(c)(1) of the Act \\4\\ requiring that a self-regulatory organization promptly file... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63113; File No. 4-616] Self-Regulatory...
-
Strengthening Adoption Practice, Listening to Adoptive Families
ERIC Educational Resources Information Center
Atkinson, Anne; Gonet, Patricia
2007-01-01
In-depth interviews with 500 adoptive families who received postadoption services through Virginia's Adoptive Family Preservation (AFP) program paint a richly detailed picture of the challenges adoptive families face and what they need to sustain adoption for many years after finalization. Findings document the need for support in a variety of…
-
Colorado Rules and Regulations Governing Operation of School Transportation Vehicles.
ERIC Educational Resources Information Center
Colorado State Dept. of Education, Denver. Office of Field Services.
This document contains the text of the rules and regulations, adopted in 1972 and later amended, governing the operation of student transportation vehicles in the state of Colorado. They define the kinds of vehicles that qualify as school transportation vehicles, outline the requirements for vehicle operator's examination, describe the types of…
-
24 CFR 5.315 - Content of pet rules: General requirements.
Code of Federal Regulations, 2010 CFR
2010-04-01
...' content among projects and within individual projects, based on factors such as the size, type, location... not conflict with any applicable State or local law or regulation governing the owning or keeping of pets in dwelling accommodations. (d) Conflict with State or local law. The pet rules adopted by the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-11
... and exercise price of each series will be determined by the Exchange at the time that the series is... traded in the primary market at the time the series of options is first opened for trading. Settlement...-4 thereunder,\\2\\ a proposed rule change to adopt new rules in the Exchange's 1000D Series to permit...
-
Federal employees health benefits acquisition regulation: Board of Contract Appeals. Final rule.
2008-10-08
The Office of Personnel Management (OPM) is adopting as final,without change, the proposed rule published April 7, 2008 to remove the designation of the Armed Services Board of Contract Appeals (ASBCA)from the Federal Employees Health Benefits Acquisition Regulation(FEHBAR).
-
... the birth nor adoptive parents know the others' identities. Other adoptions are handled more openly. Open adoptions, ... desire to seek out more information about the identity of the birth family. Most of us (whether ...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-11
...The Office of the Comptroller of the Currency (OCC) and Board of Governors of the Federal Reserve System (Board), are adopting a final rule that revises their risk-based and leverage capital requirements for banking organizations. The final rule consolidates three separate notices of proposed rulemaking that the OCC, Board, and FDIC published in the Federal Register on August 30, 2012, with selected changes. The final rule implements a revised definition of regulatory capital, a new common equity tier 1 minimum capital requirement, a higher minimum tier 1 capital requirement, and, for banking organizations subject to the advanced approaches risk-based capital rules, a supplementary leverage ratio that incorporates a broader set of exposures in the denominator. The final rule incorporates these new requirements into the agencies' prompt corrective action (PCA) framework. In addition, the final rule establishes limits on a banking organization's capital distributions and certain discretionary bonus payments if the banking organization does not hold a specified amount of common equity tier 1 capital in addition to the amount necessary to meet its minimum risk-based capital requirements. Further, the final rule amends the methodologies for determining risk-weighted assets for all banking organizations, and introduces disclosure requirements that would apply to top-tier banking organizations domiciled in the United States with $50 billion or more in total assets. The final rule also adopts changes to the agencies' regulatory capital requirements that meet the requirements of section 171 and section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The final rule also codifies the agencies' regulatory capital rules, which have previously resided in various appendices to their respective regulations, into a harmonized integrated regulatory framework. In addition, the OCC is amending the market risk capital rule (market risk rule) to apply to
-
Collective decision making and social interaction rules in mixed-species flocks of songbirds
Farine, Damien R.; Aplin, Lucy M.; Garroway, Colin J.; Mann, Richard P.; Sheldon, Ben C.
2014-01-01
Associations in mixed-species foraging groups are common in animals, yet have rarely been explored in the context of collective behaviour. Despite many investigations into the social and ecological conditions under which individuals should form groups, we still know little about the specific behavioural rules that individuals adopt in these contexts, or whether these can be generalized to heterospecifics. Here, we studied collective behaviour in flocks in a community of five species of woodland passerine birds. We adopted an automated data collection protocol, involving visits by RFID-tagged birds to feeding stations equipped with antennae, over two winters, recording 91 576 feeding events by 1904 individuals. We demonstrated highly synchronized feeding behaviour within patches, with birds moving towards areas of the patch with the largest proportion of the flock. Using a model of collective decision making, we then explored the underlying decision rule birds may be using when foraging in mixed-species flocks. The model tested whether birds used a different decision rule for conspecifics and heterospecifics, and whether the rules used by individuals of different species varied. We found that species differed in their response to the distribution of conspecifics and heterospecifics across foraging patches. However, simulating decisions using the different rules, which reproduced our data well, suggested that the outcome of using different decision rules by each species resulted in qualitatively similar overall patterns of movement. It is possible that the decision rules each species uses may be adjusted to variation in mean species abundance in order for individuals to maintain the same overall flock-level response. This is likely to be important for maintaining coordinated behaviour across species, and to result in quick and adaptive flock responses to food resources that are patchily distributed in space and time. PMID:25214653
-
2003-01-10
This final rule amends the fire safety standards for hospitals, long-term care facilities, intermediate care facilities for the mentally retarded, ambulatory surgery centers, hospices that provide inpatient services, religious nonmedical health care institutions, critical access hospitals, and Programs of All-Inclusive Care for the Elderly facilities. Further, this final rule adopts the 2000 edition of the Life Safety Code and eliminates references in our regulations to all earlier editions.
-
Grotevant, Harold D; Lo, Albert Yh
2017-06-01
Challenges in adoptive parenting continue to emerge as adoption policies and practices evolve. We review three areas of research in adoptive parenting that reflect contemporary shifts in adoption. First, we highlight recent findings concerning openness in adoption contact arrangements, or contact between a child's families of birth and rearing. Second, we examine research regarding racial and cultural socialization in transracial and international adoptions. Finally, we review investigations of parenting experiences of lesbian and gay adoptive parents. Overall, parenting processes (e.g., supportive vs. problematic family interaction) are better predictors of child adjustment than are group differences (e.g., open vs. closed adoptions; adoption by heterosexual vs. same-sex parents). The distinctive needs of adopted children call for preparation of adoption-competent mental health, casework, education, and health care professionals. Copyright © 2017 Elsevier Ltd. All rights reserved.
-
Profitability of simple technical trading rules of Chinese stock exchange indexes
NASA Astrophysics Data System (ADS)
Zhu, Hong; Jiang, Zhi-Qiang; Li, Sai-Ping; Zhou, Wei-Xing
2015-12-01
Although technical trading rules have been widely used by practitioners in financial markets, their profitability still remains controversial. We here investigate the profitability of moving average (MA) and trading range break (TRB) rules by using the Shanghai Stock Exchange Composite Index (SHCI) from May 21, 1992 through December 31, 2013 and Shenzhen Stock Exchange Component Index (SZCI) from April 3, 1991 through December 31, 2013. The t-test is adopted to check whether the mean returns which are conditioned on the trading signals are significantly different from unconditioned returns and whether the mean returns conditioned on the buy signals are significantly different from the mean returns conditioned on the sell signals. We find that TRB rules outperform MA rules and short-term variable moving average (VMA) rules outperform long-term VMA rules. By applying White's Reality Check test and accounting for the data snooping effects, we find that the best trading rule outperforms the buy-and-hold strategy when transaction costs are not taken into consideration. Once transaction costs are included, trading profits will be eliminated completely. Our analysis suggests that simple trading rules like MA and TRB cannot beat the standard buy-and-hold strategy for the Chinese stock exchange indexes.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-15
... proposal; or (2) December 31, 2014. Until a Company is required to comply with the amended listed rules, it..., it may rely on a cure period; Companies must adopt a formal, written compensation committee charter... proposes to require each Company to certify that it has adopted a formal written compensation committee...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-08
... Advisers Act Rule 204A-1. This Rule specifically requires the adoption of a code of ethics by an investment...) provisions requiring supervised persons to report any violations of the code of ethics promptly to the chief... designated in the code of ethics; and (v) provisions requiring the investment advisor to provide each of the...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-28
... are subject to the provisions of Rule 204A-1 under the Advisers Act relating to codes of ethics. This Rule requires investment advisers to adopt a code of ethics that reflects the fiduciary nature of the... designed to prevent the communication and misuse of non-public information by an investment adviser must be...
-
26 CFR 1.446-1 - General rule for methods of accounting.
Code of Federal Regulations, 2014 CFR
2014-04-01
... special items include the accounting treatment prescribed for research and experimental expenditures, soil... for all taxpayers. Each taxpayer shall adopt such forms and systems as are, in his judgment, best... form of cash. It is sufficient that such items can be valued in terms of money. For general rules...
-
26 CFR 1.446-1 - General rule for methods of accounting.
Code of Federal Regulations, 2012 CFR
2012-04-01
... special items include the accounting treatment prescribed for research and experimental expenditures, soil... for all taxpayers. Each taxpayer shall adopt such forms and systems as are, in his judgment, best... form of cash. It is sufficient that such items can be valued in terms of money. For general rules...
-
Greenberg, M; Littlewood, R
1995-03-01
Recent changes in British law have enabled adults who were adopted when young to trace their biological relatives. The reported frequency of incestuous sentiments and relationships in these reunions, together with the individual experiences and the meanings which are attached to them, challenge fundamental assumptions of both Westermarck's and Freud's theories. Post-adoption incest is characterized experientially by a romantic search for attachment followed by a recognition of oneself in the other. The question of incest has been fundamental to biosocial theories of individual and cultural development. Some revisions are proposed, principally that adult sexual interests remain constrained both by early attachments and later phenotypic matching, reinforced by personal contingencies and cultural rules.
-
29 CFR 825.112 - Qualifying reasons for leave, general rule.
Code of Federal Regulations, 2011 CFR
2011-07-01
... OTHER LAWS THE FAMILY AND MEDICAL LEAVE ACT OF 1993 Coverage Under the Family and Medical Leave Act... employees. A father, as well as a mother, can take family leave for the birth, placement for adoption, or... 29 Labor 3 2011-07-01 2011-07-01 false Qualifying reasons for leave, general rule. 825.112 Section...
-
29 CFR 825.112 - Qualifying reasons for leave, general rule.
Code of Federal Regulations, 2012 CFR
2012-07-01
... OTHER LAWS THE FAMILY AND MEDICAL LEAVE ACT OF 1993 Coverage Under the Family and Medical Leave Act... employees. A father, as well as a mother, can take family leave for the birth, placement for adoption, or... 29 Labor 3 2012-07-01 2012-07-01 false Qualifying reasons for leave, general rule. 825.112 Section...
-
29 CFR 825.112 - Qualifying reasons for leave, general rule.
Code of Federal Regulations, 2013 CFR
2013-07-01
... OTHER LAWS THE FAMILY AND MEDICAL LEAVE ACT OF 1993 Coverage Under the Family and Medical Leave Act... well as a mother, can take family leave for the birth, placement for adoption, or foster care of a... 29 Labor 3 2013-07-01 2013-07-01 false Qualifying reasons for leave, general rule. 825.112 Section...
-
29 CFR 825.112 - Qualifying reasons for leave, general rule.
Code of Federal Regulations, 2014 CFR
2014-07-01
... OTHER LAWS THE FAMILY AND MEDICAL LEAVE ACT OF 1993 Coverage Under the Family and Medical Leave Act... well as a mother, can take family leave for the birth, placement for adoption, or foster care of a... 29 Labor 3 2014-07-01 2014-07-01 false Qualifying reasons for leave, general rule. 825.112 Section...
-
Open Adoption: Adoptive Parents' Reactions Two Decades Later
ERIC Educational Resources Information Center
Siegel, Deborah H.
2013-01-01
Unlike in the past, most adoption agencies today offer birth parents and adoptive parents the opportunity to share identifying information and have contact with each other. To understand the impacts of different open adoption arrangements, a qualitative descriptive study using a snowball sample of 44 adoptive parents throughout New England began…
-
Basic mathematical rules are encoded by primate prefrontal cortex neurons
Bongard, Sylvia; Nieder, Andreas
2010-01-01
Mathematics is based on highly abstract principles, or rules, of how to structure, process, and evaluate numerical information. If and how mathematical rules can be represented by single neurons, however, has remained elusive. We therefore recorded the activity of individual prefrontal cortex (PFC) neurons in rhesus monkeys required to switch flexibly between “greater than” and “less than” rules. The monkeys performed this task with different numerical quantities and generalized to set sizes that had not been presented previously, indicating that they had learned an abstract mathematical principle. The most prevalent activity recorded from randomly selected PFC neurons reflected the mathematical rules; purely sensory- and memory-related activity was almost absent. These data show that single PFC neurons have the capacity to represent flexible operations on most abstract numerical quantities. Our findings support PFC network models implementing specific “rule-coding” units that control the flow of information between segregated input, memory, and output layers. We speculate that these neuronal circuits in the monkey lateral PFC could readily have been adopted in the course of primate evolution for syntactic processing of numbers in formalized mathematical systems. PMID:20133872
-
NASA Astrophysics Data System (ADS)
Tanji, Hajime; Kiri, Hirohide; Kobayashi, Shintaro
When total supply is smaller than total demand, it is difficult to apply the paddy irrigation water distribution rule. The gap must be narrowed by decreasing demand. Historically, the upstream served rule, rotation schedule, or central schedule weight to irrigated area was adopted. This paper proposes the hypothesis that these rules are dependent on social justice, a hypothesis called the "Society-Justice-Water Distribution Rule Hypothesis". Justice, which means a balance of efficiency and equity of distribution, is discussed under the political philosophy of utilitarianism, liberalism (Rawls), libertarianism, and communitarianism. The upstream served rule can be derived from libertarianism. The rotation schedule and central schedule can be derived from communitarianism. Liberalism can provide arranged schedule to adjust supply and demand based on "the Difference Principle". The authors conclude that to achieve efficiency and equity, liberalism may provide the best solution after modernization.
-
Ge, Xiaojia; Natsuaki, Misaki N.; Martin, David; Leve, Leslie; Neiderhiser, Jenae; Shaw, Daniel S.; Villareal, Georgette; Scaramella, Laura; Reid, John; Reiss, David
2008-01-01
Using 323 matched parties of birth mothers and adoptive parents, this study examined the association between the degree of adoption openness (e.g., contact and knowledge between parties) and birth and adoptive parents’ post-adoption adjustment shortly after the adoption placement (6 to 9 months). Data from birth fathers (N=112), an understudied sample, also were explored. Openness was assessed by multiple informants. Results indicated that openness was significantly related to satisfaction with adoption process among adoptive parents and birth mothers. Increased openness was positively associated with birth mothers’ post-placement adjustment as indexed by birth mothers’ self reports and the interviewers’ impression of birth mothers’ adjustment. Birth fathers’ report of openness was associated with their greater satisfaction with the adoption process and better post-adoption adjustment. PMID:18729667
-
78 FR 51823 - Financial Responsibility Rules for Broker-Dealers
Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-21
...The Securities and Exchange Commission (``Commission'') is adopting amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers promulgated under the Securities Exchange Act of 1934 (``Exchange Act''). These amendments are designed to address several areas of concern regarding the financial responsibility requirements for broker-dealers. The amendments also update certain financial responsibility requirements and make certain technical amendments.
-
Influences of Risk History and Adoption Preparation on Post-Adoption Services Use in U.S. Adoptions
ERIC Educational Resources Information Center
Wind, Leslie H.; Brooks, Devon; Barth, Richard P.
2007-01-01
In spite of the need for pre- and post-adoption support, studies indicate low levels of services utilization among adoptive families, particularly those involving children with special needs. This study examines the relationship between utilization of adoptions services and adoptive child and family characteristics, pre-adoptive risk history, and…
-
2006-09-22
This final rule adopts the substance of the April 15, 2004 tentative interim amendment (TIA) 00-1 (101), Alcohol Based Hand Rub Solutions, an amendment to the 2000 edition of the Life Safety Code, published by the National Fire Protection Association (NFPA). This amendment allows certain health care facilities to place alcohol-based hand rub dispensers in egress corridors under specified conditions. This final rule also requires that nursing facilities at least install battery-operated single station smoke alarms in resident rooms and common areas if they are not fully sprinklered or they do not have system-based smoke detectors in those areas. Finally, this final rule confirms as final the provisions of the March 25, 2005 interim final rule with changes and responds to public comments on that rule.
-
2014-06-10
The Food and Drug Administration (FDA or we) is issuing a final rule that adopts, with some modifications, the interim final rule (IFR) entitled "Current Good Manufacturing Practices, Quality Control Procedures, Quality Factors, Notification Requirements, and Records and Reports, for Infant Formula'' (February 10, 2014). This final rule affirms the IFR's changes to FDA's regulations and provides additional modifications and clarifications. The final rule also responds to certain comments submitted in response to the request for comments in the IFR.
-
Horn, J M
1983-04-01
Intelligence test scores were obtained from parents and children in 300 adoptive families and compared with similar measures available for the biological mothers of the same adopted children. Results supported the hypothesis that genetic variability is an important influence in the development of individual differences for intelligence. The most salient finding was that adopted children resemble their biological mothers more than they resemble the adoptive parents who reared them from birth. A small subset of the oldest adopted children did not resemble their biological mothers. The suggestion that the influence of genes declines with age is treated with caution since other adoption studies report a trend in the opposite direction.
-
2016-07-29
This rule adopts as final, with some modifications, the National School Lunch Program and School Breakfast Program regulations set forth in the interim final rule published in the Federal Register on June 28, 2013. The requirements addressed in this rule conform to the provisions in the Healthy, Hunger-Free Kids Act of 2010 regarding nutrition standards for all foods sold in schools, other than food sold under the lunch and breakfast programs. Most provisions of this final rule were implemented on July 1, 2014, a full year subsequent to publication of the interim final rule. This was in compliance with section 208 of the Healthy, Hunger-Free Kids Act of 2010, which required that State and local educational agencies have at least one full school year from the date of publication of the interim final rule to implement the competitive food provisions. Based on comments received on the interim final rule and implementation experience, this final rule makes a few modifications to the nutrition standards for all foods sold in schools implemented on July 1, 2014. In addition, this final rule codifies specific policy guidance issued after publication of the interim rule. Finally, this rule retains the provision related to the standard for total fat as interim and requests further comment on this single standard.
-
ERIC Educational Resources Information Center
Zhang, Yuanting; Lee, Gary R.
2011-01-01
The United States is one of the major baby-receiving countries in the world. Relatively little research has focused on why there is such a high demand for intercountry adoption. Using in-depth qualitative interviews with adoptive parents, the authors explored the reasons why Americans prefer to adopt foreign-born children instead of adopting…
-
A history of slide rules for blackbody radiation computations
NASA Astrophysics Data System (ADS)
Johnson, R. Barry; Stewart, Sean M.
2012-10-01
During the Second World War the importance of utilizing detection devices capable of operating in the infrared portion of the electromagnetic spectrum was firmly established. Up until that time, laboriously constructed tables for blackbody radiation needed to be used in calculations involving the amount of radiation radiated within a given spectral region or for other related radiometric quantities. To rapidly achieve reasonably accurate calculations of such radiometric quantities, a blackbody radiation calculator was devised in slide rule form first in Germany in 1944 and soon after in England and the United States. In the immediate decades after its introduction, the radiation slide rule was widely adopted and recognized as a useful and important tool for engineers and scientists working in the infrared field. It reached its pinnacle in the United States in 1970 in a rule introduced by Electro Optical Industries, Inc. With the onset in the latter half of the 1970s of affordable, hand-held electronic calculators, the impending demise of the radiation slide rule was evident. No longer the calculational device of choice, the radiation slide rule all but disappeared within a few short years. Although today blackbody radiation calculations can be readily accomplished using anything from a programmable pocket calculator upwards, with each device making use of a wide variety of numerical approximations to the integral of Planck's function, radiation slide rules were in the early decades of infrared technology the definitive "workhorse" for those involved in infrared systems design and engineering. This paper presents a historical development of radiation slide rules with many versions being discussed.
-
Adopted children in their adoptive families.
Schechter, M D; Holter, F R
1975-08-01
The adoptive process can produce unusual stresses on the child, and biologic and adoptive parents, from prenatal to postnatal life, and through the various phases of physical and pscyhological development. Because of the possibility of these children and their families falling into the "at risk" category with greater potential for psychological and social problems, the pediatrician is of primary importance in diagnosis and counseling. The pediatrician can be of major help in properly diagnosing emotional, behavioral and/or learning problems occurring in adopted children. There must be a thorough evaluation of the child and his family to understand and properly treat symptomatic behavior. The pediatrician can give advice regarding developmental milestones, and especially help the adoptive parents in appreciating their conscious and unconscious attitudes so as to enhance attachment behaviors. Pediatricians are the consultants to whom parents turn for advice regarding the timing of telling about adoption. This advice needs to be individualized according to the specific child's needs. Using a developmental conceptual framework, the pediatrician is in the best position to help the parents and their adopted children with their feelings about societal attitudes and how these can most appropriately be handled. Along this line, the pediatrician can give help and advice when and if the adoptee decides to search for his biologic parents. There is a need to clarify laws which seal the original birth certificate permitting those adoptees who wish to attain a knowledge of potentially related disease processes and an identity with his own genealogical past to do so. This would also allow the adoptee to offer his own children information about their own genetic pool and an awareness of adoption as one of the most valuable and historically significant child rearing practices.
-
A Rule-Based Modeling for the Description of Flexible and Self-healing Business Processes
NASA Astrophysics Data System (ADS)
Boukhebouze, Mohamed; Amghar, Youssef; Benharkat, Aïcha-Nabila; Maamar, Zakaria
In this paper we discuss the importance of ensuring that business processes are label robust and agile at the same time robust and agile. To this end, we consider reviewing the way business processes are managed. For instance we consider offering a flexible way to model processes so that changes in regulations are handled through some self-healing mechanisms. These changes may raise exceptions at run-time if not properly reflected on these processes. To this end we propose a new rule based model that adopts the ECA rules and is built upon formal tools. The business logic of a process can be summarized with a set of rules that implement an organization’s policies. Each business rule is formalized using our ECAPE formalism (Event-Condition-Action-Post condition- post Event). This formalism allows translating a process into a graph of rules that is analyzed in terms of reliably and flexibility.
-
Learning temporal rules to forecast instability in continuously monitored patients
Dubrawski, Artur; Wang, Donghan; Hravnak, Marilyn; Clermont, Gilles; Pinsky, Michael R
2017-01-01
Inductive machine learning, and in particular extraction of association rules from data, has been successfully used in multiple application domains, such as market basket analysis, disease prognosis, fraud detection, and protein sequencing. The appeal of rule extraction techniques stems from their ability to handle intricate problems yet produce models based on rules that can be comprehended by humans, and are therefore more transparent. Human comprehension is a factor that may improve adoption and use of data-driven decision support systems clinically via face validity. In this work, we explore whether we can reliably and informatively forecast cardiorespiratory instability (CRI) in step-down unit (SDU) patients utilizing data from continuous monitoring of physiologic vital sign (VS) measurements. We use a temporal association rule extraction technique in conjunction with a rule fusion protocol to learn how to forecast CRI in continuously monitored patients. We detail our approach and present and discuss encouraging empirical results obtained using continuous multivariate VS data from the bedside monitors of 297 SDU patients spanning 29 346 hours (3.35 patient-years) of observation. We present example rules that have been learned from data to illustrate potential benefits of comprehensibility of the extracted models, and we analyze the empirical utility of each VS as a potential leading indicator of an impending CRI event. PMID:27274020
-
Factors Associated with Adoption and Adoption Intentions of Nonparental Caregivers
Bramlett, Matthew D.; Radel, Laura F.
2016-01-01
Data from the 2011–2012 National Survey of Children’s Health and the 2013 National Survey of Children in Nonparental Care were used to fit a multinomial logistic model comparing three groups to those who never considered adoption: those who ever considered, but are not currently planning adoption; those planning adoption; and those who adopted. Adoption may be more likely when the caregiver is a nonkin foster parent, a foster care agency was involved, and/or financial assistance is available. Those with plans to adopt but who have not adopted may face adoption barriers such as extreme poverty, lower education and being unmarried. PMID:26949328
-
Open adoption of infants: adoptive parents' feelings seven years later.
Siegel, Deborah H
2003-07-01
Adoptions today increasingly include contact between adoptive and birth families. What do these "open adoptions" look like? How do the participants feel about them? This article, based on part of a longitudinal study that first examined adoptive parents' perceptions of their infants' open adoptions seven years ago, explores the parents' reactions now that their children are school age. This qualitative descriptive research revealed changes in the openness in the adoptions over time and identified four dimensions along which open adoptions vary. Findings showed parents' enthusiasm for the openness in their adoptions, regardless of the type and extent of openness. Implications for social work practice, education, and policy are explored.
-
Hospitious Adoption: How Hospitality Empowers Children and Transforms Adoption
ERIC Educational Resources Information Center
Gritter, James L.
2009-01-01
Building on previous books by the author, "Hospitious Adoption: How Hospitality Empowers Children and Transforms Adoption" examines the next step after open adoption. Gritter takes the approach that practicing goodwill, respect, and courage within the realm of adoption makes the process move smoother and enriches children's lives. Following a…
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-23
... FEDERAL COMMUNICATIONS COMMISSION 47 CFR Parts 0, 2, and 23 [IB Docket No. 05-216; FCC 10-7...: Federal Communications Commission. ACTION: Final rule. SUMMARY: In this document, the Federal Communications Commission (FCC) adopts the proposal in the Notice of Proposed Rulemaking in this proceeding, to...
-
2016-02-08
This final rule adopts, without change, the interim final rule that was published in the Federal Register on October 27, 2015. The Drug Enforcement Administration is amending the table of Excluded Nonnarcotic Products to update the company name for the drug product Nasal Decongestant Inhaler/Vapor Inhaler (containing 50 milligrams levmetamfetamine) to Aphena Pharma Solutions--New York, LLC. This over-the-counter, nonnarcotic drug product is excluded from the provisions of the Controlled Substances Act.
-
2010-01-13
The Department of Health and Human Services (HHS) is issuing this interim final rule with a request for comments to adopt an initial set of standards, implementation specifications, and certification criteria, as required by section 3004(b)(1) of the Public Health Service Act. This interim final rule represents the first step in an incremental approach to adopting standards, implementation specifications, and certification criteria to enhance the interoperability, functionality, utility, and security of health information technology and to support its meaningful use. The certification criteria adopted in this initial set establish the capabilities and related standards that certified electronic health record (EHR) technology will need to include in order to, at a minimum, support the achievement of the proposed meaningful use Stage 1 (beginning in 2011) by eligible professionals and eligible hospitals under the Medicare and Medicaid EHR Incentive Programs.
-
Zhang, Xiao
2017-11-01
The existence of an indoor smoke-free home rule is associated with lower use of cigar and smokeless tobacco. This study aims to use a longitudinal sample to examine the association between smoke-free home rules and the cessation and uptake of these two types of tobacco products. The Tobacco Use Supplement of the Current Population Survey surveyed 28,153 adults in May 2010 and then followed them up 12months later. Data from these two surveys and multiple logistic regressions were used to examine the association between overtime smoke-free home rule status and the use of cigar and smokeless tobacco. Among respondents who used cigar in 2010, having an indoor smoke-free home rules consistently (AOR=2.41, 95% CI=1.52-3.83) and adopting one during the 12-month period (AOR=1.92, 95% CI=1.01-3.68) increased the likelihood of not using cigar in 2011, compared to not having or forgoing a home rule over time. Among adults who had never used cigar by 2010, those having a rule consistently (AOR=0.47, 95% CI=0.38-0.71) were less likely to initiate cigar use. Having a smoke-free home rule consistently was also associated with lower likelihood of start using smokeless tobacco (AOR=0.52, 95% CI=0.35-0.78). Nevertheless, there is no evidence indicating that the adoption of a rule is correlated with the cessation of smokeless tobacco. The establishment of indoor smoke-free home rules may help reduce cigar use and prevent the uptake of cigar and smokeless tobacco. Such findings call for research using experimental design to further examine the impact of home rules on the use of cigar and smokeless tobacco. Copyright © 2017 Elsevier Ltd. All rights reserved.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-01
... effective upon receipt of this filing by the Commission. The Commission is publishing this notice to solicit... FINRA Firm Gateway.\\5\\ As announced in Regulatory Notice 12-40, the Form, an abbreviated version of...\\ FINRA Firm Gateway is an online compliance tool that provides consolidated access to FINRA applications...
-
Haardӧrfer, Regine; Berg, Carla; Escoffery, Cam; Bundy, Lucja; Williams, Rebecca; Mullen, Patricia Dolan
2016-01-01
Abstract Introduction: Smoke-free homes reduce exposure to secondhand smoke, contribute to lower levels of consumption, and help smokers to quit. Even when home smoking rules are established however, they may not be consistently enforced. Methods: This study uses data from a randomized controlled trial of a brief intervention to create smoke-free homes among callers to the United Way of Greater Atlanta 2-1-1. Participants with partial or full home smoking bans at 6-month follow-up were asked about enforcement challenges, rooms where smoking occurred, and exceptions to the rules. Air nicotine monitors were placed in a subset of homes. Results: Participants (n = 286) were mostly female (84.6%) and African American (84.9%). Most were smokers (79.0%) and reported at least half of their friends and relatives smoked (63.3%). Among those with a full ban, 4.3% reported their rules were broken very often whereas 52.6% stated they were never broken. Bad weather and parties were the most common exceptions to rules. Among nonsmokers with full bans, 16% reported exposure to secondhand smoke in the home 1–3 days in the past week. In multivariate analyses, having a partial ban, being a nonsmoker, and living with three or more smokers predicted higher levels of enforcement challenges. Conclusions: Findings suggest the majority of households with newly adopted smoke-free rules had no or rare enforcement challenges, but about one-fifth reported their rules were broken sometimes or very often. Interventions to create smoke-free homes should address enforcement challenges as newly adopted rules may be fragile in some households. Implications: Interventions that promote smoke-free homes should address enforcement challenges. PMID:26246049
-
75 FR 54508 - Amendment of the Commission's Rules Governing Hearing Aid-Compatible Mobile Handsets
Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-08
... (FCC) adopts final rules governing wireless hearing aid compatibility that are intended to ensure that consumers with hearing loss are able to access wireless communications services through a wide selection of... Borkowski, Wireless Telecommunications Bureau, (202) 418-0626, e-mail [email protected] . For...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66508; File No. SR-FINRA-2012-018] Self...\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the....finra.org , at the principal office of FINRA and at the Commission's Public Reference Room. II. Self...
-
2016-03-31
This rule adopts the interim rule implementing the Supplemental Nutrition Assistance Program (SNAP) nutrition education and obesity prevention grant program with changes as provided in this rule. This rule also amends SNAP regulations to implement section 28 of the Food and Nutrition Act (FNA) of 2008, as added by section 241 of the Healthy, Hunger-Free Kids Act (HHFKA) of 2010, to award grants to States for provision of nutrition education and obesity prevention programs. These programs provide services for eligible individuals that promote healthy food choices consistent with the current Dietary Guidelines for Americans (DGAs). The rule provides State agencies with requirements for implementing section 28, including the grant award process and describes the process for allocating the Federal grant funding for each State's approved SNAP-Ed plan authorized under the FNA to carry out nutrition education and obesity prevention services each fiscal year. This final rule also implements section 4028 of the Agricultural Act of 2014 (Farm Bill of 2014), which authorizes physical activity promotion in addition to promotion of healthy food choices as part of this nutrition education and obesity prevention program.
-
Learning temporal rules to forecast instability in continuously monitored patients.
Guillame-Bert, Mathieu; Dubrawski, Artur; Wang, Donghan; Hravnak, Marilyn; Clermont, Gilles; Pinsky, Michael R
2017-01-01
Inductive machine learning, and in particular extraction of association rules from data, has been successfully used in multiple application domains, such as market basket analysis, disease prognosis, fraud detection, and protein sequencing. The appeal of rule extraction techniques stems from their ability to handle intricate problems yet produce models based on rules that can be comprehended by humans, and are therefore more transparent. Human comprehension is a factor that may improve adoption and use of data-driven decision support systems clinically via face validity. In this work, we explore whether we can reliably and informatively forecast cardiorespiratory instability (CRI) in step-down unit (SDU) patients utilizing data from continuous monitoring of physiologic vital sign (VS) measurements. We use a temporal association rule extraction technique in conjunction with a rule fusion protocol to learn how to forecast CRI in continuously monitored patients. We detail our approach and present and discuss encouraging empirical results obtained using continuous multivariate VS data from the bedside monitors of 297 SDU patients spanning 29 346 hours (3.35 patient-years) of observation. We present example rules that have been learned from data to illustrate potential benefits of comprehensibility of the extracted models, and we analyze the empirical utility of each VS as a potential leading indicator of an impending CRI event. © The Author 2016. Published by Oxford University Press on behalf of the American Medical Informatics Association. All rights reserved. For Permissions, please email: journals.permissions@oup.com.
-
Age Discrimination in Employment Act; retiree health benefits. Final rule.
2007-12-26
The Equal Employment Opportunity Commission is publishing this final rule so that employers may create, adopt, and maintain a wide range of retiree health plan designs, such as Medicare bridge plans and Medicare wrap-around plans, without violating the Age Discrimination in Employment Act of 1967 (ADEA). To address concerns that the ADEA may be construed to create an incentive for employers to eliminate or reduce retiree health benefits, EEOC is creating a narrow exemption from the prohibitions of the ADEA for the practice of coordinating employer-sponsored retiree health benefits with eligibility for Medicare or a comparable State health benefits program. The rule does not otherwise affect an employer's ability to offer health or other employment benefits to retirees, consistent with the law.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-20
... every $100 of current generally applicable leverage exposure based on a group of advanced approaches... approaches adopted by the agencies in July, 2013 (2013 revised capital approaches), the agencies established... organizations subject to the advanced approaches risk-based capital rules. In this notice of proposed rulemaking...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-03
... Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change To Adopt Fitness Standards for... amended by the Dodd-Frank Act. In particular, new DCO Core Principle O requires DCOs to establish fitness...) establish and enforce appropriate fitness standards for (I) directors, (II) members of any disciplinary...
-
75 FR 81488 - Modification of the Rules and Procedures Governing the Provision of International...
Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-28
... FEDERAL COMMUNICATIONS COMMISSION 47 CFR Parts 1 and 63 [IB Docket No. 04-47; FCC 10-187] Modification of the Rules and Procedures Governing the Provision of International Telecommunications Service... forth above is adopted. List of Subjects in 47 CFR Parts 1 and 63 Cable, Telecommunications. Federal...
-
Developmental Trajectory of Rule Detection in Four- to Six-Year-Old Children
ERIC Educational Resources Information Center
Li, Wei; Cao, Bihua; Hu, Lijuan; Li, Fuhong
2017-01-01
Children younger than three years old are able to detect hidden rules in numerical sequences, and this ability matches that of adults by age seven. However, the developmental trajectory of this ability during the ages of four to six remains unknown. The present study adopted a modified Brixton task to address this issue. In this task, children…
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-11
..., fingerprint card and a combined payment of fees to FINRA. Through the CRD system, FINRA maintains the... Member Organizations. $15 for processing and posting to the CRD system each set of fingerprints submitted... processing each set of fingerprints; \\11\\ \\11\\ See Section (4)(b)(4) of Schedule A to the FINRA By-laws...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-29
... With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on... Director'') with discretion to determine whether parties to a FINRA mediation may select a mediator who is... mediation to select a mediator either from a list of FINRA mediators supplied by the Mediation Director, or...
-
Healthy depictions? Depicting adoption and adoption news events on broadcast news.
Kline, Susan L; Chatterjee, Karishma; Karel, Amanda I
2009-01-01
Given that the public uses the media to learn about adoption as a family form, this study analyzes U.S. television news coverage of adoption between 2001 and 2005 (N = 309 stories), to identify the types of news events covered about adoption. A majority of news stories covered fraud, crime, legal disputes, and negative international adoption cases. Adoptees as defective or unhealthy were depicted more in negative news event stories, birth parents appeared less overall, and adoptive parents were most likely to have healthy depictions in positively oriented adoption experience, big family, and reunion stories. Although three quarters of the stories used primary adoption participants as news sources, one-third of the negative event stories did not contain healthy depictions of adoption participants. The authors discuss ways journalists and researchers might improve adoption news coverage.
-
Howe, D
2001-09-01
Adoption holds particular interest for attachment researchers. Although children adopted as babies experience almost continuous care by their adoptive parents, older placed children experience at least one major change of caregiver when they join their adoptive family. Moreover, in the majority of cases, older placed children have generally suffered a pre-adoption history of abuse, neglect and/or rejection. It is now being recognized that older placed children's attachment histories and internal working models (IWMs) established in relationship with their initial carers remain active in relationship with their new carers. Transactional models have helped both researchers and practitioners to understand the dynamics of parent-child relationships in cases where insecure children with histories of neglect, abuse and rejection find themselves in new caregiving environments. The present study examines the childhood experiences of adult adopted people and their current levels of contact with their adoptive mothers, and in cases where people had searched for and found a birth relative, current levels of contact with their birth mother. Although no information was collected on the adopted adult's pre-placement history, age at placement was used as a proxy measure to examine whether older placed children reported different adoption experiences and what their current levels of contact were with their adoptive and birth mothers. The findings show that age at placement was associated with adopted people's reported experiences of being adopted and current rates of contact with their adoptive and birth mothers, with those placed at older ages most likely to report that they (1) did not feel they belonged in their adoptive families while growing up, (2) did not feel loved by their adoptive mother, (3) were least likely to remain in high-frequency contact with their adoptive mother, and (4) were least likely to remain in high-frequency contact with their birth mother. An
-
A Rule Based Approach to ISS Interior Volume Control and Layout
NASA Technical Reports Server (NTRS)
Peacock, Brian; Maida, Jim; Fitts, David; Dory, Jonathan
2001-01-01
Traditional human factors design involves the development of human factors requirements based on a desire to accommodate a certain percentage of the intended user population. As the product is developed human factors evaluation involves comparison between the resulting design and the specifications. Sometimes performance metrics are involved that allow leniency in the design requirements given that the human performance result is satisfactory. Clearly such approaches may work but they give rise to uncertainty and negotiation. An alternative approach is to adopt human factors design rules that articulate a range of each design continuum over which there are varying outcome expectations and interactions with other variables, including time. These rules are based on a consensus of human factors specialists, designers, managers and customers. The International Space Station faces exactly this challenge in interior volume control, which is based on anthropometric, performance and subjective preference criteria. This paper describes the traditional approach and then proposes a rule-based alternative. The proposed rules involve spatial, temporal and importance dimensions. If successful this rule-based concept could be applied to many traditional human factors design variables and could lead to a more effective and efficient contribution of human factors input to the design process.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-12
... the Month). x (Number of Trading Days During the Month) Standard Fees: Clearing report to transfer a... Business Member establishes pricing for use of the FINRA/Nasdaq TRF, and such pricing is implemented.../Nasdaq TRF and the FINRA/NYSE TRF), FINRA does not take a position on whether the pricing for one TRF is...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-14
... a ``big bang'' approach where all of the rules to be adopted under Title VII go into effect... `big bang' approach to implementation would be too disruptive to the marketplace--particularly given...
-
NASA Astrophysics Data System (ADS)
Chen, Jing-Chao; Zhou, Yu; Wang, Xi
2018-02-01
Technical trading rules have been widely used by practitioners in financial markets for a long time. The profitability remains controversial and few consider the stationarity of technical indicators used in trading rules. We convert MA, KDJ and Bollinger bands into stationary processes and investigate the profitability of these trading rules by using 3 high-frequency data(15s,30s and 60s) of CSI300 Stock Index Futures from January 4th 2012 to December 31st 2016. Several performance and risk measures are adopted to assess the practical value of all trading rules directly while ADF-test is used to verify the stationarity and SPA test to check whether trading rules perform well due to intrinsic superiority or pure luck. The results show that there are several significant combinations of parameters for each indicator when transaction costs are not taken into consideration. Once transaction costs are included, trading profits will be eliminated completely. We also propose a method to reduce the risk of technical trading rules.
-
Kegler, Michelle C; Haardӧrfer, Regine; Berg, Carla; Escoffery, Cam; Bundy, Lucja; Williams, Rebecca; Mullen, Patricia Dolan
2016-05-01
Smoke-free homes reduce exposure to secondhand smoke, contribute to lower levels of consumption, and help smokers to quit. Even when home smoking rules are established however, they may not be consistently enforced. This study uses data from a randomized controlled trial of a brief intervention to create smoke-free homes among callers to the United Way of Greater Atlanta 2-1-1. Participants with partial or full home smoking bans at 6-month follow-up were asked about enforcement challenges, rooms where smoking occurred, and exceptions to the rules. Air nicotine monitors were placed in a subset of homes. Participants (n = 286) were mostly female (84.6%) and African American (84.9%). Most were smokers (79.0%) and reported at least half of their friends and relatives smoked (63.3%). Among those with a full ban, 4.3% reported their rules were broken very often whereas 52.6% stated they were never broken. Bad weather and parties were the most common exceptions to rules. Among nonsmokers with full bans, 16% reported exposure to secondhand smoke in the home 1-3 days in the past week. In multivariate analyses, having a partial ban, being a nonsmoker, and living with three or more smokers predicted higher levels of enforcement challenges. Findings suggest the majority of households with newly adopted smoke-free rules had no or rare enforcement challenges, but about one-fifth reported their rules were broken sometimes or very often. Interventions to create smoke-free homes should address enforcement challenges as newly adopted rules may be fragile in some households. Interventions that promote smoke-free homes should address enforcement challenges. © The Author 2015. Published by Oxford University Press on behalf of the Society for Research on Nicotine and Tobacco. All rights reserved. For permissions, please e-mail: journals.permissions@oup.com.
-
Sendi, Pedram; Al, Maiwenn J; Gafni, Amiram; Birch, Stephen
2004-05-01
Bridges and Terris (Soc. Sci. Med. (2004)) critique our paper on the alternative decision rule of economic evaluation in the presence of uncertainty and constrained resources within the context of a portfolio of health care programs (Sendi et al. Soc. Sci. Med. 57 (2003) 2207). They argue that by not adopting a formal portfolio theory approach we overlook the optimal solution. We show that these arguments stem from a fundamental misunderstanding of the alternative decision rule of economic evaluation. In particular, the portfolio theory approach advocated by Bridges and Terris is based on the same theoretical assumptions that the alternative decision rule set out to relax. Moreover, Bridges and Terris acknowledge that the proposed portfolio theory approach may not identify the optimal solution to resource allocation problems. Hence, it provides neither theoretical nor practical improvements to the proposed alternative decision rule.
-
ERIC Educational Resources Information Center
Meezan, William; And Others
1978-01-01
This summary report of a 2-year study of independent adoptions (without agencies) conducted by the Child Welfare League of America Research Center briefly describes the findings on the risks involved for the children and the adoptive and biological parents, relevant state laws, and agency policies that tend to turn away adoptive applications. (CM)
-
This rule will adopt the current voluntary NOx and CO emissions standards of the United Nations International Civil Aviation Organization (ICAO), bringing the United States aircraft standards into alignment with the international standards.
-
NASA Astrophysics Data System (ADS)
Huang, Yin; Chen, Jianhua; Xiong, Shaojun
2009-07-01
Mobile-Learning (M-learning) makes many learners get the advantages of both traditional learning and E-learning. Currently, Web-based Mobile-Learning Systems have created many new ways and defined new relationships between educators and learners. Association rule mining is one of the most important fields in data mining and knowledge discovery in databases. Rules explosion is a serious problem which causes great concerns, as conventional mining algorithms often produce too many rules for decision makers to digest. Since Web-based Mobile-Learning System collects vast amounts of student profile data, data mining and knowledge discovery techniques can be applied to find interesting relationships between attributes of learners, assessments, the solution strategies adopted by learners and so on. Therefore ,this paper focus on a new data-mining algorithm, combined with the advantages of genetic algorithm and simulated annealing algorithm , called ARGSA(Association rules based on an improved Genetic Simulated Annealing Algorithm), to mine the association rules. This paper first takes advantage of the Parallel Genetic Algorithm and Simulated Algorithm designed specifically for discovering association rules. Moreover, the analysis and experiment are also made to show the proposed method is superior to the Apriori algorithm in this Mobile-Learning system.
-
Adopted daughters and adopted daughters-in-law in Taiwan: a mortality analysis
Seabright, Edmond; Reynolds, Adam Z.; Cao, Jingzhe (Bill); Brown, Melissa J.
2018-01-01
Adoption is sometimes considered paradoxical from an evolutionary perspective because the costs spent supporting an adopted child would be better spent on rearing one's own. Kin selection theory is commonly used to solve this paradox, because the adoption of closely related kin contributes to the inclusive fitness of the adoptive parent. In this paper, we perform a novel test of kin selection theory in the context of adoption by asking whether adopted daughters-in-law, who contribute directly (i.e. genealogically) to the perpetuation of their adoptive families' lineages, experience lower mortality than daughters adopted for other purposes in historical Taiwan. We show that both classes of adopted daughter suffer lower mortality than biological daughters, but that the protective effect of adoption is stronger among daughters who were not adopted with the intention of perpetuating the family lineage. We speculate as to the possible benefits of such a pattern and emphasize the need to move beyond typological definitions of adoption to understand the specific costs and benefits involved in different forms of caring for others' children. PMID:29657778
-
Adopted daughters and adopted daughters-in-law in Taiwan: a mortality analysis.
Mattison, Siobhán M; Seabright, Edmond; Reynolds, Adam Z; Cao, Jingzhe Bill; Brown, Melissa J; Feldman, Marcus W
2018-03-01
Adoption is sometimes considered paradoxical from an evolutionary perspective because the costs spent supporting an adopted child would be better spent on rearing one's own. Kin selection theory is commonly used to solve this paradox, because the adoption of closely related kin contributes to the inclusive fitness of the adoptive parent. In this paper, we perform a novel test of kin selection theory in the context of adoption by asking whether adopted daughters-in-law, who contribute directly (i.e. genealogically) to the perpetuation of their adoptive families' lineages, experience lower mortality than daughters adopted for other purposes in historical Taiwan. We show that both classes of adopted daughter suffer lower mortality than biological daughters, but that the protective effect of adoption is stronger among daughters who were not adopted with the intention of perpetuating the family lineage. We speculate as to the possible benefits of such a pattern and emphasize the need to move beyond typological definitions of adoption to understand the specific costs and benefits involved in different forms of caring for others' children.
-
Rule-Based Event Processing and Reaction Rules
NASA Astrophysics Data System (ADS)
Paschke, Adrian; Kozlenkov, Alexander
Reaction rules and event processing technologies play a key role in making business and IT / Internet infrastructures more agile and active. While event processing is concerned with detecting events from large event clouds or streams in almost real-time, reaction rules are concerned with the invocation of actions in response to events and actionable situations. They state the conditions under which actions must be taken. In the last decades various reaction rule and event processing approaches have been developed, which for the most part have been advanced separately. In this paper we survey reaction rule approaches and rule-based event processing systems and languages.
-
Pace, Cecilia S.; Di Folco, Simona; Guerriero, Viviana; Santona, Alessandra; Terrone, Grazia
2015-01-01
Introduction: Recent literature has shown that the good outcome of adoption would mostly depend on the quality of adoptive parenting, which is strongly associated with the security of parental internal working models (IWMs) of attachment. Specifically, attachment states-of-mind of adoptive mothers classified as free and autonomous and without lack of resolution of loss or trauma could represent a good protective factor for adopted children, previously maltreated and neglected. While most research on adoptive families focused on pre-school and school-aged children, the aim of this study was to assess the concordance of IWMs of attachment in adoptive dyads during adolescence. Method: Our pilot-study involved 76 participants: 30 adoptive mothers (mean age = 51.5 ± 4.3), and their 46 late-adopted adolescents (mean age = 13.9 ± 1.6), who were all aged 4–9 years old at time of adoption (mean age = 6.3 ± 1.5). Attachment representations of adopted adolescents were assessed by the Friend and Family Interview (FFI), while adoptive mothers’ state-of-mind with respect to attachment was classified by the Adult Attachment Interview (AAI). Adolescents’ verbal intelligence was controlled for. Results: Late-adopted adolescents were classified as follows: 67% secure, 26% dismissing, and 7% preoccupied in the FFI, while their adoptive mothers’ AAI classifications were 70% free-autonomous, 7% dismissing, and 23% unresolved. We found a significant concordance of 70% (32 dyads) between the secure–insecure FFI and AAI classifications. Specifically adoptive mothers with high coherence of transcript and low unresolved loss tend to have late-adopted children with high secure attachment, even if the adolescents’ verbal intelligence made a significant contribution to this prediction. Discussion: Our results provides an empirical contribution to the literature concerning the concordance of attachment in adoptive dyads, highlighting the beneficial impact of highly coherent
-
Pace, Cecilia S; Di Folco, Simona; Guerriero, Viviana; Santona, Alessandra; Terrone, Grazia
2015-01-01
Recent literature has shown that the good outcome of adoption would mostly depend on the quality of adoptive parenting, which is strongly associated with the security of parental internal working models (IWMs) of attachment. Specifically, attachment states-of-mind of adoptive mothers classified as free and autonomous and without lack of resolution of loss or trauma could represent a good protective factor for adopted children, previously maltreated and neglected. While most research on adoptive families focused on pre-school and school-aged children, the aim of this study was to assess the concordance of IWMs of attachment in adoptive dyads during adolescence. Our pilot-study involved 76 participants: 30 adoptive mothers (mean age = 51.5 ± 4.3), and their 46 late-adopted adolescents (mean age = 13.9 ± 1.6), who were all aged 4-9 years old at time of adoption (mean age = 6.3 ± 1.5). Attachment representations of adopted adolescents were assessed by the Friend and Family Interview (FFI), while adoptive mothers' state-of-mind with respect to attachment was classified by the Adult Attachment Interview (AAI). Adolescents' verbal intelligence was controlled for. Late-adopted adolescents were classified as follows: 67% secure, 26% dismissing, and 7% preoccupied in the FFI, while their adoptive mothers' AAI classifications were 70% free-autonomous, 7% dismissing, and 23% unresolved. We found a significant concordance of 70% (32 dyads) between the secure-insecure FFI and AAI classifications. Specifically adoptive mothers with high coherence of transcript and low unresolved loss tend to have late-adopted children with high secure attachment, even if the adolescents' verbal intelligence made a significant contribution to this prediction. Our results provides an empirical contribution to the literature concerning the concordance of attachment in adoptive dyads, highlighting the beneficial impact of highly coherent states-of-mind of adoptive mothers on the attachment
-
78 FR 25137 - Radio Experimentation and Market Trials-Streamlining Rules
Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-29
...This document revises and streamlines the Commission rules to modernize the Experimental Radio Service (ERS). The rules adopted in the Report and Order updates the ERS to a more flexible framework to keep pace with the speed of modern technological change while continuing to provide an environment where creativity can thrive. To accomplish this transition, the Commission created three new types of ERS licenses--the program license, the medical testing license, and the compliance testing license--to benefit the development of new technologies, expedite their introduction to the marketplace, and unleash the full power of innovators to keep the United States at the forefront of the communications industry. The Commission's actions also modify the market trial rules to eliminate confusion and more clearly articulate its policies with respect to marketing products prior to equipment certification. The Commission believes that these actions will remove regulatory barriers to experimentation, thereby permitting institutions to move from concept to experimentation to finished product more rapidly and to more quickly implement creative problem- solving methodologies.
-
Form and Objective of the Decision Rule in Absolute Identification
NASA Technical Reports Server (NTRS)
Balakrishnan, J. D.
1997-01-01
In several conditions of a line length identification experiment, the subjects' decision making strategies were systematically biased against the responses on the edges of the stimulus range. When the range and number of the stimuli were small, the bias caused the percentage of correct responses to be highest in the center and lowest on the extremes of the range. Two general classes of decision rules that would explain these results are considered. The first class assumes that subjects intend to adopt an optimal decision rule, but systematically misrepresent one or more parameters of the decision making context. The second class assumes that subjects use a different measure of performance than the one assumed by the experimenter: instead of maximizing the chances of a correct response, the subject attempts to minimize the expected size of the response error (a "fidelity criterion"). In a second experiment, extended experience and feedback did not diminish the bias effect, but explicitly penalizing all response errors equally, regardless of their size, did reduce or eliminate it in some subjects. Both results favor the fidelity criterion over the optimal rule.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-30
... Corporation 12 CFR Parts 324, 325 Regulatory Capital Rules: Advanced Approaches Risk-Based Capital Rule... 325 RIN 3064-AD97 Regulatory Capital Rules: Advanced Approaches Risk-Based Capital Rule; Market Risk... the agencies' current capital rules. In this NPR (Advanced Approaches and Market Risk NPR) the...
-
Adoptive Families: Out of the Shadows = Les familes adoptives: sortent de l'ombre.
ERIC Educational Resources Information Center
Theilheimer, Ish, Ed.
1992-01-01
This theme issue deals with adoption. "Adoption in Canada: A Profile," provides statistics on public and private adoption, as well as demographic characteristics on adoption applicants and children placed for adoption. It also discusses current adoption legislation. "Abandoning Ownership: A Philosophical Approach to Adoption"…
-
Association Rule Analysis for Tour Route Recommendation and Application to Wctsnop
NASA Astrophysics Data System (ADS)
Fang, H.; Chen, C.; Lin, J.; Liu, X.; Fang, D.
2017-09-01
The increasing E-tourism systems provide intelligent tour recommendation for tourists. In this sense, recommender system can make personalized suggestions and provide satisfied information associated with their tour cycle. Data mining is a proper tool that extracting potential information from large database for making strategic decisions. In the study, association rule analysis based on FP-growth algorithm is applied to find the association relationship among scenic spots in different cities as tour route recommendation. In order to figure out valuable rules, Kulczynski interestingness measure is adopted and imbalance ratio is computed. The proposed scheme was evaluated on Wangluzhe cultural tourism service network operation platform (WCTSNOP), where it could verify that it is able to quick recommend tour route and to rapidly enhance the recommendation quality.
-
2015-08-06
This final rule updates the prospective payment rates for inpatient rehabilitation facilities (IRFs) for federal fiscal year (FY) 2016 as required by the statute. As required by section 1886(j)(5) of the Act, this rule includes the classification and weighting factors for the IRF PPS's case-mix groups and a description of the methodologies and data used in computing the prospective payment rates for FY 2016. This final rule also finalizes policy changes, including the adoption of an IRF-specific market basket that reflects the cost structures of only IRF providers, a 1-year phase-in of the revised wage index changes, a 3-year phase-out of the rural adjustment for certain IRFs, and revisions and updates to the quality reporting program (QRP).
-
Pushing the rules: effects and aftereffects of deliberate rule violations.
Wirth, Robert; Pfister, Roland; Foerster, Anna; Huestegge, Lynn; Kunde, Wilfried
2016-09-01
Most of our daily life is organized around rules and social norms. But what makes rules so special? And what if one were to break a rule intentionally? Can we simply free us from the present set of rules or do we automatically adhere to them? How do rule violations influence subsequent behavior? To investigate the effects and aftereffects of violating simple S-R rule, we conducted three experiments that investigated continuous finger-tracking responses on an iPad. Our experiments show that rule violations are distinct from rule-based actions in both response times and movement trajectories, they take longer to initiate and execute, and their movement trajectory is heavily contorted. Data not only show differences between the two types of response (rule-based vs. violation), but also yielded a characteristic pattern of aftereffects in case of rule violations: rule violations do not trigger adaptation effects that render further rule violations less difficult, but every rule violation poses repeated effort on the agent. The study represents a first step towards understanding the signature and underlying mechanisms of deliberate rule violations, they cannot be acted out by themselves, but require the activation of the original rule first. Consequently, they are best understood as reformulations of existing rules that are not accessible on their own, but need to be constantly derived from the original rule, with an add-on that might entail an active tendency to steer away from mental representations that reflect (socially) unwanted behavior.
-
Mechanisms of rule acquisition and rule following in inductive reasoning.
Crescentini, Cristiano; Seyed-Allaei, Shima; De Pisapia, Nicola; Jovicich, Jorge; Amati, Daniele; Shallice, Tim
2011-05-25
Despite the recent interest in the neuroanatomy of inductive reasoning processes, the regional specificity within prefrontal cortex (PFC) for the different mechanisms involved in induction tasks remains to be determined. In this study, we used fMRI to investigate the contribution of PFC regions to rule acquisition (rule search and rule discovery) and rule following. Twenty-six healthy young adult participants were presented with a series of images of cards, each consisting of a set of circles numbered in sequence with one colored blue. Participants had to predict the position of the blue circle on the next card. The rules that had to be acquired pertained to the relationship among succeeding stimuli. Responses given by subjects were categorized in a series of phases either tapping rule acquisition (responses given up to and including rule discovery) or rule following (correct responses after rule acquisition). Mid-dorsolateral PFC (mid-DLPFC) was active during rule search and remained active until successful rule acquisition. By contrast, rule following was associated with activation in temporal, motor, and medial/anterior prefrontal cortex. Moreover, frontopolar cortex (FPC) was active throughout the rule acquisition and rule following phases before a rule became familiar. We attributed activation in mid-DLPFC to hypothesis generation and in FPC to integration of multiple separate inferences. The present study provides evidence that brain activation during inductive reasoning involves a complex network of frontal processes and that different subregions respond during rule acquisition and rule following phases.
-
18 CFR 385.104 - Rule of construction (Rule 104).
Code of Federal Regulations, 2011 CFR
2011-04-01
... 18 Conservation of Power and Water Resources 1 2011-04-01 2011-04-01 false Rule of construction (Rule 104). 385.104 Section 385.104 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY... Definitions § 385.104 Rule of construction (Rule 104). To the extent that the text of a rule is inconsistent...
-
18 CFR 385.104 - Rule of construction (Rule 104).
Code of Federal Regulations, 2010 CFR
2010-04-01
... 18 Conservation of Power and Water Resources 1 2010-04-01 2010-04-01 false Rule of construction (Rule 104). 385.104 Section 385.104 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY... Definitions § 385.104 Rule of construction (Rule 104). To the extent that the text of a rule is inconsistent...
-
Phonological reduplication in sign language: Rules rule
Berent, Iris; Dupuis, Amanda; Brentari, Diane
2014-01-01
Productivity—the hallmark of linguistic competence—is typically attributed to algebraic rules that support broad generalizations. Past research on spoken language has documented such generalizations in both adults and infants. But whether algebraic rules form part of the linguistic competence of signers remains unknown. To address this question, here we gauge the generalization afforded by American Sign Language (ASL). As a case study, we examine reduplication (X→XX)—a rule that, inter alia, generates ASL nouns from verbs. If signers encode this rule, then they should freely extend it to novel syllables, including ones with features that are unattested in ASL. And since reduplicated disyllables are preferred in ASL, such a rule should favor novel reduplicated signs. Novel reduplicated signs should thus be preferred to nonreduplicative controls (in rating), and consequently, such stimuli should also be harder to classify as nonsigns (in the lexical decision task). The results of four experiments support this prediction. These findings suggest that the phonological knowledge of signers includes powerful algebraic rules. The convergence between these conclusions and previous evidence for phonological rules in spoken language suggests that the architecture of the phonological mind is partly amodal. PMID:24959158
-
Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-04
... transactions on NASDAQ's own motion. The text of the proposed rule change is available on the Exchange's Web... and adjustment of options transactions. Specifically, NASDAQ proposes to adopt a provision which... officer''), may, on his or her own motion or upon request, determine to review any transaction occurring...
-
Pace, C S; Zavattini, G C
2011-01-01
This study examined the attachment patterns of late-adopted children (aged 4-7) and their adoptive mothers during the first 7- to 8-month period after adoption and aimed to evaluate the effect of adoptive mothers' attachment security on the revision of the attachment patterns of their late-adopted children. We assessed attachment patterns in 20 adoptive dyads and 12 genetically related dyads at two different times: T1 (time 1) within 2 months of adoption and T2 (time 2) 6 months after T1. The children's behavioural attachment patterns were assessed using the Separation-Reunion Procedure and the children's representational (verbal) attachment patterns using the Manchester Child Attachment Story Task. The attachment models of the adoptive mothers were classified using the Adult Attachment Interview. We found that there was a significant enhancement of the late-adopted children's attachment security across the time period considered (P= 0.008). Moreover, all the late-adopted children who showed a change from insecurity to security had adoptive mothers with secure attachment models (P= 0.044). However, the matching between maternal attachment models and late-adopted children's attachment patterns (behaviours and representations) was not significant. Our data suggest that revision of the attachment patterns in the late-adopted children is possible but gradual, and that the adoptive mothers' attachment security makes it more likely to occur. © 2010 Blackwell Publishing Ltd.
-
... Family Life > Family Dynamics > Adoption & Foster Care Adoption & Foster Care Article Body Each year, many children join families through adoption and foster care. These families may face unique challenges. The ...
-
Accepting adoption's uncertainty: the limited ethics of pre-adoption genetic testing.
Leighton, Kimberly J
2014-06-01
An increasing number of children are adopted in the United States from countries where both medical care and environmental conditions are extremely poor. In response to worries about the accuracy of medical histories, prospective adoptive parents increasingly request genetic testing of children prior to adoption. Though a general consensus on the ethics of pre-adoption genetic testing (PAGT) argues against permitting genetic testing on children available for adoption that is not also permitted for children in general, a view gaining traction argues for expanding the tests permitted. The reasoning behind this view is that the State has a duty to provide a child with parents who are the best "match," and thus all information that advances this end should be obtained. While the matching argument aims to promote the best interests of children, I show how it rests on the claim that what is in the best interests of children available for adoption is for prospective adoptive parents to have their genetic preferences satisfied such that the "genetics" of the children they end up adopting accurately reflects those preferences. Instead of protecting a vulnerable population, I conclude, PAGT contributes to the risks of harm such children face as it encourages people with strong genetic preferences to adopt children whose genetic backgrounds will always be uncertain.
-
RuleMonkey: software for stochastic simulation of rule-based models
2010-01-01
Background The system-level dynamics of many molecular interactions, particularly protein-protein interactions, can be conveniently represented using reaction rules, which can be specified using model-specification languages, such as the BioNetGen language (BNGL). A set of rules implicitly defines a (bio)chemical reaction network. The reaction network implied by a set of rules is often very large, and as a result, generation of the network implied by rules tends to be computationally expensive. Moreover, the cost of many commonly used methods for simulating network dynamics is a function of network size. Together these factors have limited application of the rule-based modeling approach. Recently, several methods for simulating rule-based models have been developed that avoid the expensive step of network generation. The cost of these "network-free" simulation methods is independent of the number of reactions implied by rules. Software implementing such methods is now needed for the simulation and analysis of rule-based models of biochemical systems. Results Here, we present a software tool called RuleMonkey, which implements a network-free method for simulation of rule-based models that is similar to Gillespie's method. The method is suitable for rule-based models that can be encoded in BNGL, including models with rules that have global application conditions, such as rules for intramolecular association reactions. In addition, the method is rejection free, unlike other network-free methods that introduce null events, i.e., steps in the simulation procedure that do not change the state of the reaction system being simulated. We verify that RuleMonkey produces correct simulation results, and we compare its performance against DYNSTOC, another BNGL-compliant tool for network-free simulation of rule-based models. We also compare RuleMonkey against problem-specific codes implementing network-free simulation methods. Conclusions RuleMonkey enables the simulation of
-
A Study of Self-Esteem in Adopted Non-adopted Adolescents.
ERIC Educational Resources Information Center
Steward, Robbie J.; Lynn, Betty Jane
This study tested the hypothesis that adopted adolescents have lower self-esteem than do non-adopted adolescents. Male and female students (N=159) between the ages of 18 and 22 were conveniently sampled from college undergraduate populations. Forty-four of the participants reported adoptive status. Each participant completed the Coopersmith…
-
International Adoption: Issues of Acknowledgement of Adoption and Birth Culture.
ERIC Educational Resources Information Center
Trolley, Barbara C.; And Others
1995-01-01
Families who adopt children internationally are faced with not only the acknowledgement of the adoption but also the recognition of the child's birth culture. Thirty-four families were surveyed to assess issues regarding the relevance, frequency, and means of acknowledgement of the adoption and of the birth culture. Findings suggest ways adoption…
-
4 CFR 22.1 - Applicability of Rules [Rule 1].
Code of Federal Regulations, 2010 CFR
2010-01-01
... 4 Accounts 1 2010-01-01 2010-01-01 false Applicability of Rules [Rule 1]. 22.1 Section 22.1... ACCOUNTABILITY OFFICE CONTRACT APPEALS BOARD § 22.1 Applicability of Rules [Rule 1]. The Government... all appeals filed with the Board on or after October 1, 2007. ...
-
... adopted child, before, during, and after the adoption. Open Adoptions If you have an open or semi-open adoption — one in which you meet the mother ... able to get substantial health information. In an open adoption, you may help arrange the birth mother's ...
-
Perry, Jeffrey J; Stiell, Ian G
2006-12-01
Traumatic injuries to the ankle/foot, knee, cervical spine, and head are very commonly seen in emergency and accident departments around the world. There has been much interest in the development of clinical decision rules to help guide the investigations of these patients in a standardised and cost-effective manner. In this article we reviewed the impact of the Ottawa ankle rules, Ottawa knee rules, Canadian C-spine rule and the Canadian CT head rule. The studies conducted have confirmed that the use of well developed clinical decision rules results in less radiography, less time spent in the emergency department and does not decrease patient satisfaction or result in misdiagnosis. Emergency physicians around the world should adopt the use of clinical decision rules for ankle/foot, knee, cervical spine and minor head injuries. With relatively simple implementation strategies, care can be standardized and costs reduced while providing excellent clinical care.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-01
...This final rule amends some of the final mortgage rules issued by the Bureau of Consumer Financial Protection (Bureau) in January 2013. These amendments focus primarily on loss mitigation procedures under Regulation X's servicing provisions, amounts counted as loan originator compensation to retailers of manufactured homes and their employees for purposes of applying points and fees thresholds under the Home Ownership and Equity Protection Act and the Ability-to-Repay rules in Regulation Z, exemptions available to creditors that operate predominantly in ``rural or underserved'' areas for various purposes under the mortgage regulations, application of the loan originator compensation rules to bank tellers and similar staff, and the prohibition on creditor-financed credit insurance. The Bureau also is adjusting the effective dates for certain provisions of the loan originator compensation rules. In addition, the Bureau is adopting technical and wording changes for clarification purposes to Regulations B, X, and Z.
-
Soares, Joana; Barbosa-Ducharne, Maria; Palacios, Jesús; Pacheco, Ana
2017-02-01
Acknowledgement/rejection of adoption related differences and communication about adoption are two of the most important features of adoptive family dynamics. The present study focuses on the role played by these two variables on the adoptees’ emotion regulation. The adoptive parents of 70 school-aged children participated in the study. Data showed that participant parents perceived their adopted children’s emotion regulation as adequate. In relation to family dynamics, acknowledgment of the adoption specificities significantly predicted the emotional lability/negativity of the adoptees, simultaneously mediated by the emotional quality of and the parental satisfaction with the communication about adoption. Furthermore, there was an indirect effect of early adversity on the adopted child’s emotional lability. These findings provide new insight into adopted children’s emotional development, highlighting the importance of the family environment and pre-adoption experiences.
-
18 CFR 385.103 - References to rules (Rule 103).
Code of Federal Regulations, 2011 CFR
2011-04-01
... 18 Conservation of Power and Water Resources 1 2011-04-01 2011-04-01 false References to rules (Rule 103). 385.103 Section 385.103 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY... Definitions § 385.103 References to rules (Rule 103). This part cross-references its sections according to...
-
18 CFR 385.103 - References to rules (Rule 103).
Code of Federal Regulations, 2010 CFR
2010-04-01
... 18 Conservation of Power and Water Resources 1 2010-04-01 2010-04-01 false References to rules (Rule 103). 385.103 Section 385.103 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY... Definitions § 385.103 References to rules (Rule 103). This part cross-references its sections according to...
-
Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-08
.... During pre and post-market hours, the wider Designated Percentage and Defined Limit associated with the 9... Exchange, the automated quote management functionality (``AQ'') offered by these rules is designed to help Exchange market makers meet the enhanced market maker obligations adopted post May 6, 2010,\\6\\ and avoid...
-
A Non-Modeling Exploration of Residential Solar Photovoltaic (PV) Adoption and Non-Adoption
DOE Office of Scientific and Technical Information (OSTI.GOV)
Moezzi, Mithra; Ingle, Aaron; Lutzenhiser, Loren
Although U.S. deployment of residential rooftop solar photovoltaic (PV) systems has accelerated in recent years, PV is still installed on less than 1 percent of single-family homes. Most research on household PV adoption focuses on scaling initial markets and modeling predicted growth rather than considering more broadly why adoption occurs. Among the studies that have investigated the characteristics of PV adoption, most collected data from adopters, sometimes with additional non-adopter data, and rarely from people who considered but did not adopt PV. Yet the vast majority of Americans are non-adopters, and they are a diverse group - understanding their waysmore » of evaluating PV adoption is important. Similarly, PV is a unique consumer product, which makes it difficult to apply findings from studies of other technologies to PV. In addition, little research addresses the experience of households after they install PV. This report helps fill some of these gaps in the existing literature. The results inform a more detailed understanding of residential PV adoption, while helping ensure that adoption is sufficiently beneficial to adopters and even non-adopters.« less
-
Multiple-rule bias in the comparison of classification rules
Yousefi, Mohammadmahdi R.; Hua, Jianping; Dougherty, Edward R.
2011-01-01
Motivation: There is growing discussion in the bioinformatics community concerning overoptimism of reported results. Two approaches contributing to overoptimism in classification are (i) the reporting of results on datasets for which a proposed classification rule performs well and (ii) the comparison of multiple classification rules on a single dataset that purports to show the advantage of a certain rule. Results: This article provides a careful probabilistic analysis of the second issue and the ‘multiple-rule bias’, resulting from choosing a classification rule having minimum estimated error on the dataset. It quantifies this bias corresponding to estimating the expected true error of the classification rule possessing minimum estimated error and it characterizes the bias from estimating the true comparative advantage of the chosen classification rule relative to the others by the estimated comparative advantage on the dataset. The analysis is applied to both synthetic and real data using a number of classification rules and error estimators. Availability: We have implemented in C code the synthetic data distribution model, classification rules, feature selection routines and error estimation methods. The code for multiple-rule analysis is implemented in MATLAB. The source code is available at http://gsp.tamu.edu/Publications/supplementary/yousefi11a/. Supplementary simulation results are also included. Contact: edward@ece.tamu.edu Supplementary Information: Supplementary data are available at Bioinformatics online. PMID:21546390
-
[Adoptive parents' satisfaction with the adoption experience and with its impact on family life].
Sánchez-Sandoval, Yolanda
2011-11-01
In this study, we discuss the relevance of adoptive families' satisfaction in the assessment of adoption processes. The effects of adoption on a sample group of 272 adoptive families are analyzed. Most families show high levels of satisfaction as to: their decision to adopt, the features of their adopted children and how adoption has affected them as individuals and as a family. Statistical analyses show that these families can have different satisfaction levels depending on certain features of the adoptees, of the adoptive families or of their educational style. Life satisfaction of the adoptees is also related to how their adoptive parents evaluate the adoption.
-
Payment or Reimbursement for Certain Medical Expenses for Camp Lejeune Family Members. Final rule.
2017-05-05
The Department of Veterans Affairs (VA) adopts as final an interim final rule addressing payment or reimbursement of certain medical expenses for family members of Camp Lejeune veterans. Under this rule, VA reimburses family members, or pays providers, for medical expenses incurred as a result of certain illnesses and conditions that may be associated with contaminants present in the base water supply at U.S. Marine Corps Base Camp Lejeune (Camp Lejeune), North Carolina, from August 1, 1953, to December 31, 1987. Payment or reimbursement is made within the limitations set forth in statute and Camp Lejeune family members receive hospital care and medical services that are consistent with the manner in which we provide hospital care and medical services to Camp Lejeune veterans. The statutory authority has since been amended to also include certain veterans' family members who resided at Camp Lejeune, North Carolina, for no less than 30 days (consecutive or nonconsecutive) between August 1, 1953, and December 31, 1987. This final rule will reflect that statutory change and will address public comments received in response to the interim final rule.
-
Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-06
... relating to codes of ethics. This Rule requires investment advisers to adopt a code of ethics that reflects... securities laws. Accordingly, procedures designed to prevent the communication and misuse of non-public... securities of large, medium and small capitalization companies across the globe including developed countries...
-
26 CFR 1.1445-11T - Special rules requiring withholding under § 1.1445-5 (temporary).
Code of Federal Regulations, 2010 CFR
2010-04-01
... OF THE TREASURY (CONTINUED) INCOME TAX (CONTINUED) INCOME TAXES Withholding of Tax on Nonresident Aliens and Foreign Corporations and Tax-Free Covenant Bonds § 1.1445-11T Special rules requiring... that, if and when adopted as a final regulation will add certain new paragraphs within § 1.1445-5 (b...
-
Contact in Adoption and Adoptive Identity Formation: The Mediating Role of Family Conversation
Korff, Lynn Von; Grotevant, Harold D.
2012-01-01
The present study examined adoption-related family conversation as a mediator of the association between adoptive parents’ facilitation of contact with birth relatives and adolescent adoptive identity formation. The sample consisted of 184 adoptive families. Data were collected in two waves from adoptive mothers and fathers, and adoptees (M = 15.68 years at adolescence; M = 24.95 years at emerging adulthood) using semistructured interviews and questionnaires. Structural equation models showed a good fit to sample data, and analyses supported the hypothesized mediation model. Contact with birth relatives is associated with more frequent adoption-related family conversation, which in turn is associated with the development of adoptive identity. These results highlight the importance of supporting activities such as contact that lead to adoption-related family conversation. PMID:21517175