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Sample records for organizations financial industry

  1. 77 FR 74712 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-17

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Customer and Industry Codes of Arbitration Procedure Relating to... Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange...

  2. 75 FR 4596 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-28

    ..., RECORDS AND REPORTS * * * * * 4520. Financial Records and Reporting Requirements 4521. Notifications... Financial Responsibility). See also Securities Exchange Act Release No. 60933 (November 4, 2009), 74 FR... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

  3. 76 FR 15012 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-18

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of..., 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of... the growing complexity of the financial services industry and the importance of services provided...

  4. 77 FR 26340 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-03

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... January 10, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and... Industry and Financial Markets Association (``SIFMA''), on the proposal.\\5\\ On April 23, 2012,...

  5. 77 FR 8938 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-15

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... 1, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and... financial or operational schedules or reports as FINRA may deem necessary as a supplement to the...

  6. 77 FR 43885 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-26

    ... Release No. 65025 (August 3, 2011), 76 FR 48937 (August 9, 2011) (SEC order approving SR-FINRA- 2011-027... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and...\\ notice is hereby given that on July 11, 2012, Financial Industry Regulatory Authority, Inc....

  7. 75 FR 30453 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-01

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the By- Laws of NASD Dispute Resolution May 24, 2010. On January 22, 2010, Financial Industry Regulatory Authority,...

  8. 78 FR 62831 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... FINRA Rulebook October 4, 2013. I. Introduction On June 21, 2013, the Financial Industry Regulatory... Securities Exchange Act Release No. 64736 (June 23, 2011), 76 FR 38245 (June 29, 2011) (File No. SR-...

  9. 78 FR 40792 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-08

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... 19b-4 thereunder,\\2\\ notice is hereby given that on June 21, 2013, Financial Industry Regulatory... (Customer Complaints), and Incorporated NYSE Rule 342.21 (Trade Review and Investigation); (3) replace...

  10. 75 FR 39715 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-12

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...\\ and Rule 19b-4 thereunder \\2\\ notice is hereby given that on June 14, 2010, Financial Industry... paragraphs .10-.60, Rule 387 Interpretations/01-/18, 430 (Partial Delivery of Securities to Customers on...

  11. 77 FR 3515 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-24

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting..., the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange... designed to simplify the Rule's price and size tiers; facilitate the display of customer limit orders...

  12. 75 FR 55842 - Self-Regulatory Organizations; Financial Industry Regulatory Authority; Order Granting Approval...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-14

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority; Order Granting Approval of... FINRA Rulebook September 3, 2010. I. Introduction On June 14, 2010, Financial Industry Regulatory...), 75 FR 39715 (July 12, 2010). II. Description As part of the process of developing a new...

  13. 77 FR 77162 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-31

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 20, 2012, Financial Industry... Security'' means any equity security that is not an ``NMS stock'' as that term is defined in Rule...

  14. 77 FR 58880 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-24

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and...,\\2\\ notice is hereby given that on September 17, 2012, Financial Industry Regulatory Authority,...

  15. 78 FR 55322 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-10

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... 19b-4 thereunder,\\2\\ notice is hereby given that on August 23, 2013, Financial Industry Regulatory... investment banking business, or as consideration for investment banking business previously awarded...

  16. 75 FR 71166 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-22

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... thereunder,\\2\\ notice is hereby given that on November 1, 2010, Financial Industry Regulatory Authority, Inc... similar status or performing similar functions, or a natural person engaged in the investment banking...

  17. 76 FR 10629 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-25

    ... No. 63316 (Nov. 15, 2010), 75 FR 71166 (Nov. 22, 2010) (``Notice''). \\4\\ See letter from Board of... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a... November 1, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities...

  18. 76 FR 45883 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-01

    ... certain changes. See Securities Exchange Act Release No. 64687 (June 16, 2011), 76 FR 36586 (June 22, 2011... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... July 15, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities...

  19. 76 FR 59751 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-27

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... thereunder,\\2\\ notice is hereby given that on September 7, 2011, Financial Industry Regulatory Authority, Inc...), or are subject to a separate registration and qualification requirement, Investment...

  20. 76 FR 24076 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-29

    ... 27, 2011.\\4\\ \\3\\ See Securities Exchange Act Release No. 63010 (September 29, 2010), 75 FR 61541... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...,\\2\\ notice is hereby given that on April 18, 2011, Financial Industry Regulatory Authority,...

  1. 75 FR 39069 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-07

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the... FINRA and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of...

  2. 78 FR 21449 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-10

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Customer and Industry Codes of Arbitration Procedure To Revise the Public Arbitrator Definition April 4, 2013....

  3. 78 FR 3925 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-17

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Customer and Industry Codes of Arbitration Procedure To Revise the Public...

  4. 75 FR 35105 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-21

    ... Release No. 17371 (December 12, 1980), 45 FR 83707 (December 19, 1980) (Order Approving Proposed Rule... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of Securities Dealers,...

  5. 77 FR 14052 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-08

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... Change in Ownership, Control, or Business Operations) To Adopt New Standardized Electronic Form CMA March.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of...

  6. 78 FR 17975 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-25

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self... Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and...

  7. 76 FR 61773 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-05

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Implementation Date for Expansion of the Order Audit...

  8. 76 FR 70195 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-10

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules November 4, 2011. Pursuant to Section 19(b)(1) of...

  9. 75 FR 7297 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-18

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Postponement Fee and Hearing Session Fee Rules of the Codes of Arbitration Procedure for Customer and...

  10. 76 FR 37382 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities That Are Part of a Distribution...

  11. 76 FR 48937 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-09

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities That Are Part of a Distribution...

  12. 78 FR 59995 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-30

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Clarify the Classification and Reporting of Certain Securities to FINRA September 24, 2013. Pursuant to Section...

  13. 76 FR 67236 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-31

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Securities Positions in Connection With Certain Corporate Control Transactions October 25, 2011. Pursuant to... 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....

  14. 78 FR 49313 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-13

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)) August...

  15. 78 FR 62788 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to TRACE Fees for Securities Act Rule 144A Transaction Data October 16,...

  16. 76 FR 46340 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-02

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-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 FINRA Rulebook July 26,...

  17. 76 FR 77034 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-09

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend FINRA Rule 4512 (Customer Account Information) December 5, 2011....

  18. 76 FR 68800 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-07

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, etc. November...

  19. 76 FR 70190 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-10

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Allow FINRA To Grant Exemptions From Certain Equity Trade Reporting Obligations for Certain Alternative Trading...

  20. 75 FR 62911 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-13

    ... Securities Exchange Act Release No. 62655 (August 5, 2010), 75 FR 48731 (August 11, 2010). \\4\\ See Letter... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... commenter opposed the proposal and asserted that the harm outweighed any benefit of the proposed...

  1. 76 FR 41537 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-14

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Revolving Door Restrictions on Former Officers of FINRA July 8, 2011. Pursuant...

  2. 76 FR 72463 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-23

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA's Code of Procedure November 18, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...

  3. 75 FR 8169 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-23

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-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 Witnesses in...

  4. 75 FR 9459 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-02

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the By-Laws of NASD Dispute Resolution February 23, 2010. Pursuant to Section 19(b)(1) of the Securities...

  5. 75 FR 69508 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filings...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-12

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filings of Amendments No. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, To Adopt FINRA Rule 4530...

  6. 75 FR 47863 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-09

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook July 30, 2010. Pursuant to Section...

  7. 75 FR 41254 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-15

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION 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...

  8. 75 FR 71479 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-23

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1,...

  9. 75 FR 66173 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-27

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1,...

  10. 78 FR 71695 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-29

    ... purposes of reporting a reversal (see note 20 herein); (4) one committee member asked whether FINRA intends... audit trail and automated surveillance program, promote more consistent trade reporting by members and... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

  11. 76 FR 82334 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-30

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Increase the Trading Activity Fee Rate for Transactions in Covered Equity Securities December 23, 2011. Pursuant...

  12. 78 FR 9979 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-12

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the ``Late Report--T+N'' Fee Applicable to Members Using the FINRA/Nasdaq...

  13. 77 FR 41832 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-16

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE...

  14. 77 FR 66908 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-07

    ... 26, 2012 in FR Doc. 2012-65436, on page 65437, in the seventh line in the paragraph under the heading... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting... Transactions; Correction October 31, 2012. AGENCY: Securities and Exchange Commission. ACTION:...

  15. 76 FR 21932 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-19

    ... for Correction In FR Document No. 2011-8897 beginning on page 20741 as published on Wednesday, April... Securities and Exchange Act Release No. 63909 (February 15, 2011), 76 FR 9838 (February 22, 2011) (``Notice... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order...

  16. 76 FR 63969 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-14

    ...., Washington, DC 20549, (202) 551-5618. Correction In the Federal Register of August 2, 2011, in FR Doc. 2011... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... Consolidated FINRA Rulebook; Correction October 7, 2011. AGENCY: Securities and Exchange Commission....

  17. 76 FR 25385 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-04

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to TRACE Reporting of Asset-Backed Securities April 28, 2011. I. Introduction On March 3, 2011,...

  18. 77 FR 6161 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-07

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for Amendments to the Trading Activity Fee Rate...

  19. 75 FR 44033 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-27

    ... 240.19b-4. \\3\\ Securities Exchange Act Release No. 62299 (June 16, 2010), 75 FR 35105 (June 21, 2010... Release No. 17371 (December 12, 1980), 45 FR 83707 (December 19, 1980) (File No. SR-NASD-78-3). A... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

  20. 76 FR 29808 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-23

    .... 64341 (Apr. 26, 2011), 76 FR 24076 (Apr. 29, 2011) (SR-FINRA-2011-017). \\4\\ The Commission received one... (September 29, 2010), 75 FR 61541 (October 5, 2010) (Order Approving File No. SR- NASD-2003-140). \\6\\ See... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order...

  1. 78 FR 11925 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-20

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration...

  2. 76 FR 82014 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-29

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2210 (Communications With the Public), 2212 (Use...

  3. 77 FR 33537 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-06

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders May 31, 2012. Pursuant to Section 19(b)(1) of the Securities...

  4. 75 FR 60157 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-29

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-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 Changes to Certain...

  5. 75 FR 17810 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-07

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and...(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ 15 U.S.C. 78s(b)(3)(A)(ii). \\4\\ 17 CFR 240.19b-4(f)(2). I. Self...'s Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of,...

  6. 77 FR 12340 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-29

    ... Accounting Support Fee February 23, 2012. I. Introduction On December 20, 2011, the Financial Industry... of the GASB to establish standards of financial accounting and reporting applicable to state and..., many diverse end users of GASB's accounting and financial reporting standards would get a ``free...

  7. 76 FR 25397 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-04

    ....19b-4. \\3\\ See Securities Exchange Act Release No. 64002 (March 2, 2011), 76 FR 12390 (``Notice''). \\4... April 28, 2011. I. Introduction On February 25, 2011, the Financial Industry Regulatory Authority,...

  8. 77 FR 3019 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-20

    ... CFR 240.19b-4. \\3\\ Securities Exchange Act Release No. 65877 (December 2, 2011), 76 FR 76777. \\4\\ See letter from Chris Killian, Managing Director, Securitization, Securities Industry and Financial...

  9. 76 FR 66344 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-26

    ...). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 65313 (September 12, 2011), 76 FR.... 58643 (September 25, 2008), 73 FR 57174 (October 1, 2008) (Order Approving SR-FINRA-2008-021.... Introduction On August 31, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a...

  10. 77 FR 43620 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-25

    ... Securities Exchange Act Release No. 67085 (May 31, 2012), 77 FR 33537. \\4\\ See Letters to Elizabeth M. Murphy... Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders July 19, 2012. On May 24, 2012, Financial Industry Regulatory Authority,...

  11. 75 FR 17460 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-06

    ...'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on March 26, 2010, Financial Industry...% 50 Tape A Tier 4 0.50% =>0.75% 100 Tape B Tier 2 0.25% 0.25% 80 Tape B Tier 3 0.10% 0.10% 50 Tape B Tier 4 0.75% =>0.75% 100 Tape C Tier 2 0.25% 0.25% 80 Tape C Tier 3 0.10%......

  12. Strategic relatedness in mergers and financial performance: the case of the health maintenance organization industry in the United States.

    PubMed

    Weech-Maldonado, Robert

    2002-11-01

    Knowledge and identification of strategic factors associated with favourable post-acquisition performance can be of benefit to both managers and shareholders. From a management perspective, the identification of contextual factors that can influence postmerger performance is 'strategic' in nature, and should be considered in the analysis of future acquisitions. Within the context of the health maintenance organization (HMO) industry, this study examines the impact of strategic relatedness on postmerger financial performance. Strategic relatedness is conceptualized as similarity between the acquirer and target HMOs in terms of operational efficiency, marketing orientation, organizational structure and profit orientation. Regression analysis showed that similarity in operational efficiency and similarity in HMO structure were associated with better postmerger financial performance. However, marketing orientation similarity and profit orientation similarity were not significantly related to postmerger performance. This finding suggests that HMO mergers involving firms with similar strategic orientations and similar approaches to the delivery of care have greater strategic fit and experience better financial performance. PMID:12396551

  13. 76 FR 77283 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-12

    ... Industry Code currently provides that a claim alleging employment discrimination, including sexual harassment, in violation of a statute, is not required to be arbitrated under the Industry Code. Such a...

  14. 75 FR 53362 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-31

    ... business activities and for firms to implement a system to assess the risk that these outside business... (June 30, 2009), 74 FR 32668 (July 8, 2009). \\2\\ See letter from Dale E. Brown, CAE, Financial Services... Rulebook, Securities Exchange Act Release No. 62718 (August 13, 2010), 75 FR 51310 (August 19, 2010)....

  15. 75 FR 13632 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-22

    ... FR 41774 (August 18, 2009). \\4\\ See letter from Frederick T. Greene, Woodforest Financial Services...), 62 FR 60542, 60547 (November 10, 1997) (Approval Order). The Gramm-Leach Bliley Act and Regulation R...\\ See 17 CFR 247.701(a)(3). See also Securities Exchange Act Release No. 56501, 72 FR 56514,...

  16. 77 FR 67038 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-08

    ...), 77 FR 55885 (Sept. 11, 2012). (``Notice''). The comment period closed on October 2, 2012. \\6\\ See... Provided by Mediators Should Not Cause Them To Be Classified as Industry Members Under the By-Laws November... mediation, should not cause the individuals to be classified as Industry Members under the...

  17. 77 FR 56694 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-13

    ... Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to... proposing to amend the Customer and Industry Codes of Arbitration Procedure (collectively ``Codes''), to... arbitration, FINRA arbitrators shall issue orders for the appearance of witnesses or the production...

  18. 75 FR 42795 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-22

    ... Exchange Act Release No. 61517 (February 16, 2010), 75 FR 8169 (February 23, 2010), (SR-FINRA-2010-006... process by ensuring that a non-party witness may be represented by counsel during his or her testimony is... (``Industry Code'') (collectively, the ``Codes'') to provide that a non-party witness may be represented by...

  19. 78 FR 57916 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-20

    ... proceedings, and not to intra-industry cases. \\1\\ See Exchange Act Rel. No. 64166 (Apr. 1, 2011), 76 FR 19155.... 69761 (June 13, 2013), 78 FR 37261 (June 20, 2013). \\6\\ Comment letters were submitted by Mary Alice Mc... Proposed Rule Change Relating to Amendments to the Discovery Guide Used in Customer Arbitration...

  20. 77 FR 55885 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-11

    ... Proposed Rule Change To Amend the By-Laws of FINRA Dispute Resolution, Inc. To Clarify That Services Provided by Mediators Should Not Cause Them To Be Classified as Industry Members Under the By-Laws...-Laws of FINRA Dispute Resolution, Inc. (By-Laws) to clarify that services provided by mediators,...

  1. 77 FR 12092 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-28

    ... Proposed Rule Change Relating To Raising the Limit for Simplified Arbitration February 22, 2012. Pursuant... and Industry Codes ] of Arbitration Procedure to raise the limit for simplified arbitration from $25... is proposing to amend FINRA Rules 12401 (Number of Arbitrators) and 12800 (Simplified Arbitration)...

  2. 76 FR 9840 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-22

    ... Proposed Rule Change Relating to Motions in Arbitration February 15, 2011. Pursuant to Section 19(b)(1) of... Code of Arbitration Procedure for Customer Disputes, and Rules 13206, 13503, and 13504 of the Code of Arbitration Procedure for Industry Disputes (collectively, ``Codes''), to provide moving parties with a...

  3. 77 FR 22374 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-13

    .... \\3\\ See Exchange Act Release No. 66109 (Jan. 5, 2012), 77 FR 1773 (Jan. 11, 2012) (Notice of Filing... No. 1, Amending Rule 13024 of the Code of Arbitration Procedure for Industry Disputes To Preclude... (``Exchange Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposal to amend Rule 13204 of the Code of...

  4. 77 FR 12098 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-28

    ... Release No. 63799 (Jan. 31, 2011), 76 FR 6500 (Feb. 4, 2011) (Order Approving File No. SR-FINRA- 2010-053... Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others... Proposed Rule Change Relating to Mediator Selection February 22, 2012. Pursuant to Section 19(b)(1) of...

  5. 78 FR 52594 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-23

    ... appropriate self-regulatory organizations (``SROs''). The Form U4 elicits administrative information (e.g., residential history, office of employment, outside business activities) and disclosure information (e.g... registered representative learns of the facts or circumstances giving rise to the event (i.e., the filing...

  6. 77 FR 7218 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-10

    .... 65599 (October 20, 2011), 76 FR 66344 (October 26, 2011) (Order Approving File No. SR- FINRA-2011-043... Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and... viewing and printing in the Commission's Public Reference Room, 100 F Street NE, Washington, DC 20549,...

  7. Financial Relationships between Organizations That Produce Clinical Practice Guidelines and the Biomedical Industry: A Cross-Sectional Study

    PubMed Central

    Campsall, Paul; Colizza, Kate; Straus, Sharon; Stelfox, Henry T.

    2016-01-01

    Background Financial relationships between organizations that produce clinical practice guidelines and biomedical companies are vulnerable to conflicts of interest. We sought to determine whether organizations that produce clinical practice guidelines have financial relationships with biomedical companies and whether there are associations between organizations’ conflict of interest policies and recommendations and disclosures provided in guidelines. Methods and Findings We conducted a cross-sectional survey and review of websites of 95 national/international medical organizations that produced 290 clinical practice guidelines published on the National Guideline Clearinghouse website from January 1 to December 31, 2012. Survey responses were available for 68% (65/95) of organizations (167/290 guidelines, 58%), and websites were reviewed for 100% (95/95) of organizations (290/290 guidelines, 100%). In all, 63% (60/95) of organizations producing clinical practice guidelines reported receiving funds from a biomedical company; 80% (76/95) of organizations reported having a policy for managing conflicts of interest. Disclosure statements (disclosing presence or absence of financial relationships with biomedical companies) were available in 65% (188/290) of clinical practice guidelines for direct funding sources to produce the guideline, 51% (147/290) for financial relationships of the guideline committee members, and 1% (4/290) for financial relationships of the organizations producing the guidelines. Among all guidelines, 6% (18/290) disclosed direct funding by biomedical companies, 40% (117/290) disclosed financial relationships between committee members and biomedical companies (38% of guideline committee members, 773/2,043), and 1% (4/290) disclosed financial relationships between the organizations producing the guidelines and biomedical companies. In the survey responses, 60 organizations reported the procedures that they included in their conflict of interest

  8. Financial Management: An Organic Approach

    ERIC Educational Resources Information Center

    Laux, Judy

    2013-01-01

    Although textbooks present corporate finance using a topical approach, good financial management requires an organic approach that integrates the various assignments financial managers confront every day. Breaking the tasks into meaningful subcategories, the current article offers one approach.

  9. Restructuring the energy industry: A financial perspective

    SciTech Connect

    Abrams, W.A.

    1995-12-31

    This paper present eight tables summarizing financial aspects of energy industry restructuring. Historical, current, and future business characteristics of energy industries are outlined. Projections of industry characteristics are listed for the next five years and for the 21st century. Future independent power procedures related to financial aspects are also outlined. 8 tabs.

  10. Financial risk of the biotech industry versus the pharmaceutical industry.

    PubMed

    Golec, Joseph; Vernon, John A

    2009-01-01

    The biotech industry now accounts for a substantial and growing proportion of total R&D spending on new medicines. However, compared with the pharmaceutical industry, the biotech industry is financially fragile. This article illustrates the financial fragility of the biotech and pharmaceutical industries in the US and the implications of this fragility for the effects that government regulation could have on biotech firms. Graphical analysis and statistical tests were used to show how the biotech industry differs from the pharmaceutical industry. The two industries' characteristics were measured and compared, along with various measures of firms' financial risk and sensitivity to government regulation. Data from firms' financial statements provided accounting-based measures and firms' stock returns applied to a multifactor asset pricing model provided financial market measures. The biotech industry was by far the most research-intensive industry in the US, averaging 38% R&D intensity (ratio of R&D spending to total firm assets) over the past 25 years, compared with an average of 25% for the pharmaceutical industry and 3% for all other industries. Biotech firms exhibited lower and more volatile profits and higher market-related and size-related risk, and they suffered more negative stock returns in response to threatened government price regulation. Biotech firms' financial risks increase their costs of capital and make them more sensitive to government regulations that affect their financial prospects. As biotech products grow to represent a larger share of new medicines, general stock market conditions and government regulations could have a greater impact on the level of innovation of new medicines. PMID:19799470

  11. Global warming, insurance losses and financial industry

    SciTech Connect

    Low, N.C.

    1996-12-31

    Global warming causes extremely bad weather in the near term. They have already caught the attention of the insurance industry, as they suffered massive losses in the last decade. Twenty-one out of the 25 largest catastrophes in the US, mainly in the form of hurricanes have occurred in the last decade. The insurance industry has reacted by taking the risk of global warming in decisions as to pricing and underwriting decisions. But they have yet to take a more active role in regulating the factors that contributes to global warming. How global warming can impact the financial industry and the modern economy is explored. Insurance and modern financial derivatives are key to the efficient functioning of the modern economy, without which the global economy can still function but will take a giant step backward. Any risk as global warming that causes economic surprises will hamper the efficient working of the financial market and the modern economy.

  12. Financial Assistance--Industries of the Future

    SciTech Connect

    2001-01-24

    This 8-page brochure describes the Office of Industrial Technologies' financial assistance programs--National Industrial Competitiveness through Energy, Environment, and Economics (NICE3) and Inventions and Innovation (I and I). Cost-shared grants awarded by NICE3 provide up to $500,000 to industry-state partnerships for demonstrations of clean and energy-efficient technologies. I and I awards grants of up to $200,000 to inventors who are establishing technical performance or in the early stages of development or commercialization of energy-efficient technologies.

  13. Internationalizing Industrial Organization Courses.

    ERIC Educational Resources Information Center

    Chapman, Margaret

    1992-01-01

    Suggests ways of increasing the international focus of industrial organization courses. Discusses four areas of international topics that could be integrated into such courses. Includes imperfect markets, trade, and industrial policy; theory of the firm; exchange rates and market behavior; and issues in antitrust. Evaluates the extent and adequacy…

  14. Industrial Organic Electrosynthesis.

    ERIC Educational Resources Information Center

    Wagenknecht, John H.

    1983-01-01

    Four examples of industrial electrochemical synthesis of organic compounds are described. These include acrylonitrile dimerization, tetramethyl lead, electrochemical fluorination, and production of diacetone-2-keto-L-gulonic acid. Additional examples are also cited, including the production of several compounds by the BASF company of Germany. (JN)

  15. Teaching Teachers Industrial Organic

    ERIC Educational Resources Information Center

    Chemical and Engineering News, 1977

    1977-01-01

    Describes a teacher seminar held at the University of Minnesota to introduce the addition of courses of industrial chemistry into higher education science curriculums in order to better prepare college science graduates for positions in industry. (SL)

  16. The Study on Financial Supervision for Chinese Financial Industry under Mixed Operation

    NASA Astrophysics Data System (ADS)

    Wei, Song

    Financial mixed operation refers to that financial institution can offer all financial services (banking, securities, insurance, and trust) and engage in industrial businesses by holding the share ownership. Because of self interests, risk diversification, the change of competition condition, and clients' needs of the diversity of financial products and services, commercial banks make it possible for the mixed operation to be the optimal choice of the banking businesses under dynamic conditions in globalized competition, which results in the diversity and integration of banking businesses.

  17. Office of Industrial Technologies (OIT) Financial Assistance Brochure

    SciTech Connect

    Ericksen, E.

    1999-02-04

    In today's competitive world markets, the success of U.S. industry hinges on technological advances. Financial Assistance helps technology innovators develop and deliver clean, energy-saving technologies to the marketplace. Two Office of Industrial Technologies (OIT) programs Inventions and Innovation and NICE3 provide independent inventors, technology developers, and industry with easy access to a flexible package of services. Together, these programs issue 35 to 40 new grants each year to address pressing energy and environmental issues. Financial Assistance focuses specifically on technologies that can potentially improve energy efficiency, reduce wastes, and enhance productivity.

  18. US energy industry financial developments, 1993 second quarter

    SciTech Connect

    Not Available

    1993-09-29

    US Energy Industry Financial Developments, 1993 Second Quarter provides information on the financial performance of energy companies during the most recent reporting period. The data are taken from public sources such as the Wall Street Journal, Energy Information Administration publications, corporate press releases, and other public sources. Based on information provided in 1993 second quarter financial disclosures, net income for 114 petroleum companies--including 19 majors--rose 33 percent between the second quarter of 1992 and the second quarter of 1993. Both upstream (oil and gas exploration, development and production) operations and downstream (petroleum refining, marketing, and transport) contributed to the improved financial Performance of petroleum companies consolidated operations. Rate-regulated industries also showed positive income growth between the second quarter of 1992 and the second quarter of 1993 due to higher natural gas prices and increased electricity consumption.

  19. Market Structure, Financial Dependence and Industrial Growth: Evidence from the Banking Industry in Emerging Asian Economies

    PubMed Central

    Khan, Habib Hussain; Ahmad, Rubi Binit; Gee, Chan Sok

    2016-01-01

    In this study, we examine the role of market structure for growth in financially dependent industries from 10 emerging Asian economies over the period of 1995–2011. Our approach departs from existing studies in that we apply four alternative measures of market structure based on structural and non-structural approaches and compare their outcomes. Results indicate that higher bank concentration may slow down the growth of financially dependent industries. Bank competition on the other hand, allows financially dependent industries to grow faster. These findings are consistent across a number of sensitivity checks such as alternative measures of financial dependence, institutional factors (including property rights, quality of accounting standards and bank ownership), and endogeneity consideration. In sum, our study suggests that financially dependent industries grow more in more competitive/less concentrated banking systems. Therefore, regulatory authorities need to be careful while pursuing a consolidation policy for banking sector in emerging Asian economies. PMID:27490847

  20. Market Structure, Financial Dependence and Industrial Growth: Evidence from the Banking Industry in Emerging Asian Economies.

    PubMed

    Khan, Habib Hussain; Ahmad, Rubi Binit; Gee, Chan Sok

    2016-01-01

    In this study, we examine the role of market structure for growth in financially dependent industries from 10 emerging Asian economies over the period of 1995-2011. Our approach departs from existing studies in that we apply four alternative measures of market structure based on structural and non-structural approaches and compare their outcomes. Results indicate that higher bank concentration may slow down the growth of financially dependent industries. Bank competition on the other hand, allows financially dependent industries to grow faster. These findings are consistent across a number of sensitivity checks such as alternative measures of financial dependence, institutional factors (including property rights, quality of accounting standards and bank ownership), and endogeneity consideration. In sum, our study suggests that financially dependent industries grow more in more competitive/less concentrated banking systems. Therefore, regulatory authorities need to be careful while pursuing a consolidation policy for banking sector in emerging Asian economies. PMID:27490847

  1. The Revolution in Banking and the Financial Services Industry. Series on Public Issues No. 11.

    ERIC Educational Resources Information Center

    Fraser, Donald R.

    It is the premise of this booklet, one of a series intended to apply economic principles to major social and political issues of the day, that a revolution in the banking and financial services industry is altering not only the fundamental nature of the services offered but the character of the organizations themselves. The purpose of the essay is…

  2. US energy industry financial developments, 1994 first quarter

    SciTech Connect

    Not Available

    1994-06-23

    This report traces key financial trends in the US energy industry for the first quarter of 1994. Financial data (only available for publicly-traded US companies) are included in two broad groups -- fossil fuel production and rate-regulated electric utilities. All financial data are taken from public sources such as energy industry corporate reports and press releases, energy trade publications, and The Wall Street Journal`s, Earnings Digest. Return on equity is calculated from data available from Standard and Poor`s Compustat data service. Since several major petroleum companies disclose their income by lines of business and geographic area. These data are also presented in this report. Although the disaggregated income concept varies by company and is not strictly comparable to corporate income, relative movements in income by lines of business and geographic area are summarized as useful indicators of short-term changes in the underlying profitability of these operations.

  3. Recent Developments in Empirical Industrial Organization.

    ERIC Educational Resources Information Center

    Porter, Robert H.

    1994-01-01

    Presents an bibliographic essay of recent empirical research in industrial organization. Examines topics such as the econometrics of markets with imperfect competition, technology and industry structure, industry evolution, and industry studies of regulation. (CFR)

  4. The proprietary hospital industry: a financial analysis 1972-1982.

    PubMed

    Michel, A; Shaked, I; Daley, J

    1985-01-01

    This paper evaluates the performance of both specific firms within the American for-profit hospital industry and the industry as a whole. First, traditional financial analysis is used to evaluate individual publicly traded for-profit chains. Then, industry performance from 1973 to 1982 is evaluated using a set of measures based on Modern Portfolio Theory. The traditional financial analysis indicates that the industry seems increasingly profitable as well as increasingly healthy from the perspective of utilizing its assets and reducing its collection period. However, the industry's rapid growth rate has strained its ability to use additional debt funding and has created a potentially dangerous liquidity position. Measures based on Modern Portfolio Theory indicate that the average return of the industry has improved over the past 5 years. However, its risk has also increased. Nevertheless, the increase in risk is more than offset by the increased average return. In addition, recent legislation designed 'to reward the efficient' has introduced a significant degree of uncertainty into the industry's performance for the coming years. Thus, hospitals' ability to maintain the substantial profitability and rate of growth they have experienced over the past decade will depend on how well they will adapt to the changing environment. PMID:3929391

  5. US Energy Industry Financial Developments, 1993 fourth quarter, April 1994

    SciTech Connect

    Not Available

    1994-04-14

    This report traces key financial trends in the US energy industry for the fourth quarter of 1993. Financial data (only available for publicly-traded US companies) are included in two broad groups -- fossil fuel production and rate-regulated electric utilities. All financial data are taken from public sources such as energy industry corporate reports and press releases, energy trade publications, and The Wall Street Journal`s Earnings Digest; return on equity is calculated from data available from Standard and Poor`s Compustat data service. Since several major petroleum companies disclose their income by lines of business and geographic area, these data are also presented in this report. Although the disaggregated income concept varies by company and is not strictly comparable to corporate income, relative movements in income by lines of business and geographic area are summarized as useful indicators of short-term changes in the underlying profitability of these operations. Based on information provided in 1993 fourth quarter financial disclosures, the net income for 82 petroleum companies -- including 18 majors -- was unchanged between the fourth quarter of 1992 and the fourth quarter of 1993. An 18-percent decline in crude oil prices resulted in a deterioration of the performance of upstream (oil and gas production) petroleum companies during the final quarter of 1993. However, prices for refined products fell much less than the price of crude oil, resulting in higher refined product margins and downstream (refining, marketing and transport) petroleum earnings. An increase in refined product demand also contributed to the rise in downstream income.

  6. A Knowledge Management Model for Firms in the Financial Services Industry

    ERIC Educational Resources Information Center

    Held, Carsten; Duncan, Glen; Yanamandram, Venkat

    2013-01-01

    The financial services industry faces many demanding challenges. Firms within this industry are predominantly knowledge-based, as are most of the industry's products, processes and services. The application of knowledge management represents a clear opportunity for financial services firms to confront challenges. However, no industry specific…

  7. Financial incentives in the transit industry. Final report

    SciTech Connect

    Scott, K.D.; Markham, E.; Murry, W.D.

    1989-09-01

    Presented is a concise review of Financial Incentive Programs (FIPs) in the transit industry, the goals for the workshop on FIPs, and a brief outline of how the workshop was designed. The content of the workshop is summarized. FIP data collected from the thirty transit authorities that participated in the three workshops is presented and analyzed. Participants were asked to identify the FIPs that have been or are being used by their transit authorities and to evaluate the success of those programs. Observations on the use of FIPs that were offered in Philadelphia, Indianapolis, and San Francisco are offered. Suggestions are made concerning the direction that should be pursued in the future.

  8. US energy industry financial developments, 1993 third quarter

    SciTech Connect

    Not Available

    1993-12-01

    Based on information provided in 1993 third quarter financial disclosures, the average net income for 112 petroleum companies -- including 18 majors -- rose 13 percent between the third quarter of 1992 and the third quarter of 1993. The gain in overall petroleum income was derived from increases in refined product consumption and margins, which improved the profitability of downstream petroleum (refining, marketing and transport) operations. A 17-percent decline in crude oil prices led to reduced income for upstream (oil and gas exploration, development and production) operations. A 16-percent rise in natural gas wellhead prices only partially offset the negative effects of low crude oil prices. Electric utilities also reported improved financial results for the third quarter of 1993 as hotter summer temperatures relative to the year-earlier quarter helped boost air conditioning demand and overall electricity usage. The following points highlight third-quarter energy industry financial developments: (1) Refined product demand and margins lift downstream earnings. Petroleum product consumption rose 2 percent between the third quarter of 1992 and the third quarter of 1993. Although petroleum product prices declined in the most recent reporting period, they did not decline as much as crude oil input prices. As a consequence, refined product margins widened. (2) Lower crude oil prices reduce upstream earnings. Crude oil prices fell 17 percent between the third quarter of 1992 and the third quarter of 1993 leading to a substantial reduction in income for the major petroleum companies` upstream operations. (3) Drilling income rises with increased North American exploratory activity.

  9. Consumerism in the financial services industry: lessons for managed care.

    PubMed

    Peyser, N; Wong, A

    2000-01-01

    Managed care today is being shaped by the emergence of a savvier, better informed health care consumer. Facing a strikingly similar consumer movement over the past two decades, the banking industry experienced a market transformation that holds important lessons for managed care. Nontraditional entrants in the financial services industry, offering focused "monoline" products and services closely analogous to "carve-out" providers in health care, targeted rising consumer demands and stronger preferences. Banks in time answered these formidable new competitive forces with innovative consolidation and globalization strategies. The most successful initiatives in healthcare, as in banking, will focus on satisfying the consumer's hunger for information, improved levels of service, and enhanced outcomes. Managed care plans may play a lead role in accelerating the impact of consumerism by bridging the disconnect between patients and their purchasing decisions. PMID:11010386

  10. Living and deceased organ donation should be financially neutral acts.

    PubMed

    Delmonico, F L; Martin, D; Domínguez-Gil, B; Muller, E; Jha, V; Levin, A; Danovitch, G M; Capron, A M

    2015-05-01

    The supply of organs—particularly kidneys—donated by living and deceased donors falls short of the number of patients added annually to transplant waiting lists in the United States. To remedy this problem, a number of prominent physicians, ethicists, economists and others have mounted a campaign to suspend the prohibitions in the National Organ Transplant Act of 1984 (NOTA) on the buying and selling of organs. The argument that providing financial benefits would incentivize enough people to part with a kidney (or a portion of a liver) to clear the waiting lists is flawed. This commentary marshals arguments against the claim that the shortage of donor organs would best be overcome by providing financial incentives for donation. We can increase the number of organs available for transplantation by removing all financial disincentives that deter unpaid living or deceased kidney donation. These disincentives include a range of burdens, such as the costs of travel and lodging for medical evaluation and surgery, lost wages, and the expense of dependent care during the period of organ removal and recuperation. Organ donation should remain an act that is financially neutral for donors, neither imposing financial burdens nor enriching them monetarily. PMID:25833381

  11. Financial compensation for deceased organ donation in China.

    PubMed

    Wu, Xiaoliang; Fang, Qiang

    2013-06-01

    In March 2010, China launched a pilot programme of deceased donor organ donation in 10 provinces and cities. However, the deceased donor donation rate in China remains significantly lower than in Spain and other Western countries. In order to provide incentive for deceased donor organ donation, five pilot provinces and cities have subsequently launched a financial compensation policy. Financial compensation can be considered to include two main forms, the 'thank you' form and the 'help' form. The 'thank you' form is an expression of gratitude on behalf of the Red Cross Society of China for consenting to donation. The 'help' form is social welfare support for needy families. PMID:23322684

  12. Assessing the financial characteristics of multi-institutional organizations.

    PubMed Central

    Coyne, J S

    1985-01-01

    The prospective pricing of health services is precipitating greater attention to financial characteristics and greater development of multi-institutional organizations (MIOs). This study compares the financial characteristics of 1,590 MIO hospitals with 2,819 freestanding hospitals by ownership type: church-operated, other not-for-profit, and investor-owned. Using 1981 data from the American Hospital Association, the hospitals' capital structure and profitability are measured using three financial ratios: total assets-to-equity, return on equity, and operating margin. The results indicate both greater leverage and greater profitability among MIO hospitals, particularly in the investor-owned sector. The implications of these findings are discussed relative to financial performance by hospital ownership type in the future. PMID:4038697

  13. MUTAGENISTIC TESTING OF INDUSTRIAL WASTES FROM REPRESENTATIVE ORGANIC CHEMICAL INDUSTRIES

    EPA Science Inventory

    The general applicability of the Ames test for screening wastewater samples was investigated. Application of the Ames test to raw and treated wastewaters from representative organic chemical industries involved the investigation of several problems: (1) the feasibility of using t...

  14. 78 FR 13070 - Guidance for Clinical Investigators, Industry, and Food and Drug Administration Staff: Financial...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-26

    ...The Food and Drug Administration (FDA) is announcing the availability of a guidance entitled ``Guidance for Clinical Investigators, Industry, and FDA Staff: Financial Disclosure by Clinical Investigators.'' This guidance is intended to assist clinical investigators, industry, and FDA staff in interpreting and complying with the regulations governing financial disclosure by clinical......

  15. Financial competitiveness of organic agriculture on a global scale.

    PubMed

    Crowder, David W; Reganold, John P

    2015-06-16

    To promote global food and ecosystem security, several innovative farming systems have been identified that better balance multiple sustainability goals. The most rapidly growing and contentious of these systems is organic agriculture. Whether organic agriculture can continue to expand will likely be determined by whether it is economically competitive with conventional agriculture. Here, we examined the financial performance of organic and conventional agriculture by conducting a meta-analysis of a global dataset spanning 55 crops grown on five continents. When organic premiums were not applied, benefit/cost ratios (-8 to -7%) and net present values (-27 to -23%) of organic agriculture were significantly lower than conventional agriculture. However, when actual premiums were applied, organic agriculture was significantly more profitable (22-35%) and had higher benefit/cost ratios (20-24%) than conventional agriculture. Although premiums were 29-32%, breakeven premiums necessary for organic profits to match conventional profits were only 5-7%, even with organic yields being 10-18% lower. Total costs were not significantly different, but labor costs were significantly higher (7-13%) with organic farming practices. Studies in our meta-analysis accounted for neither environmental costs (negative externalities) nor ecosystem services from good farming practices, which likely favor organic agriculture. With only 1% of the global agricultural land in organic production, our findings suggest that organic agriculture can continue to expand even if premiums decline. Furthermore, with their multiple sustainability benefits, organic farming systems can contribute a larger share in feeding the world. PMID:26034271

  16. INDUSTRIAL PROCESS PROFILES FOR ENVIRONMENTAL USE: CHAPTER 6. THE INDUSTRIAL ORGANIC CHEMICALS INDUSTRY

    EPA Science Inventory

    The catalog of Industrial Process Profiles for Environmental Use was developed as an aid in defining the environmental impacts of industrial activity in the U.S. Entries for each industry are in consistent format and form separate chapters of the study. Industrial organic chemica...

  17. [The Argentine Health System: organization and financial features].

    PubMed

    Arce, Hugo E

    2012-01-01

    The Argentine health system is defined by the following features: a) federal country organization; b) coexistence of public and private services with either outpatients or inpatients; c) fragmented entities of social security, most of these originated outside of the state organization. Components of the system are described and weighed; making decisions strength between national and provincial health authorities is analyzed and the Argentine system is compared with that of other countries. Statistical data on distribution of health expenditures and coverage of health services are presented as well as financial flow among diverse funding sources, insurers, providers and users of each sector. PMID:23089118

  18. Financial Services and the Internet: What Does Cyberspace Mean for the Financial Services Industry?

    ERIC Educational Resources Information Center

    Birch, David; Young, Michael A.

    1997-01-01

    More than 30 million households own PCs and more than 20% of these use PCs to manage their finances. This article examines the Internet and financial services, consumer needs, and differentiation in service products and predicts future trends in retail financial services (cheaper niche products, cross-border selling, selling knowledge, payments,…

  19. Financial Awareness Education with Apprentices in the Australian Construction Industry: Program Evaluation

    ERIC Educational Resources Information Center

    Du Plessis, Karin; Green, Emma

    2013-01-01

    A financial awareness education program was implemented with construction industry apprentices in Victoria, Australia. The program included face-to-face delivery of education around a range of financial management issues that apprentices face as they begin their apprenticeship. The paper reports on an evaluation of the program, which included…

  20. Governed financial incentives as an alternative to altruistic organ donation.

    PubMed

    Ghods, Ahad J

    2004-12-01

    In 1984, an offensive proposal for kidney sales by a US physician led the National Organ Transplant Act to become a law in the United States. Similar legislation passed in many other countries. An ethical consensus developed around the world that there should be no monetary compensation for transplantable organs, either from living or deceased persons. Unfortunately, the altruistic supply of organs has been much less than adequate, and thousands of patients die each year waiting for organ transplantation. As the altruistic system of organ donation has met with failure, some from the transplant community believe that altruism alone is not enough to satisfy the needs of the thousands of patients on organ transplant waiting lists, and providing some financial incentives or social benefits to organ sources is necessary to increase the number of cadaveric or living organ donations. In this article, the many controversies surrounding altruistic and compensated organ donation systems are discussed. The Iran model for renal transplantation, a compensated and well-regulated living-unrelated donor renal transplantation program that has successfully eliminated a renal transplant waiting list in Iran, is briefly reviewed. PMID:15859932

  1. Financial competitiveness of organic agriculture on a global scale

    PubMed Central

    Crowder, David W.; Reganold, John P.

    2015-01-01

    To promote global food and ecosystem security, several innovative farming systems have been identified that better balance multiple sustainability goals. The most rapidly growing and contentious of these systems is organic agriculture. Whether organic agriculture can continue to expand will likely be determined by whether it is economically competitive with conventional agriculture. Here, we examined the financial performance of organic and conventional agriculture by conducting a meta-analysis of a global dataset spanning 55 crops grown on five continents. When organic premiums were not applied, benefit/cost ratios (−8 to −7%) and net present values (−27 to −23%) of organic agriculture were significantly lower than conventional agriculture. However, when actual premiums were applied, organic agriculture was significantly more profitable (22–35%) and had higher benefit/cost ratios (20–24%) than conventional agriculture. Although premiums were 29–32%, breakeven premiums necessary for organic profits to match conventional profits were only 5–7%, even with organic yields being 10–18% lower. Total costs were not significantly different, but labor costs were significantly higher (7–13%) with organic farming practices. Studies in our meta-analysis accounted for neither environmental costs (negative externalities) nor ecosystem services from good farming practices, which likely favor organic agriculture. With only 1% of the global agricultural land in organic production, our findings suggest that organic agriculture can continue to expand even if premiums decline. Furthermore, with their multiple sustainability benefits, organic farming systems can contribute a larger share in feeding the world. PMID:26034271

  2. US energy industry financial developments, First quarter 1995

    SciTech Connect

    1995-06-19

    This report traces key developments in US energy companies` financial performance for the first quarter of 1995. Financial data (only available for publicly-traded US companies) are included in two broad groups -- fossil fuel production and rate-regulated utilities. All financial data are taken from public sources such as corporate reports and press releases, energy trade publications, and The Wall Street Journal`s Earnings Digest. Return on equity is calculated from data available from Standard and Poor`s Compustat data service. Since several major petroleum companies disclose their income by lines of business and geographic area, these data are also presented in this report. Although the disaggregated income concept varies by company and is not strictly comparable to corporate income, relative movements in income by lines of business and geographic area are summarized as useful indicators of short-term changes in the underlying profitability of these operations.

  3. Essays on Industrial Organization and Political Economy

    ERIC Educational Resources Information Center

    Camara, Odilon Roberto VG de a

    2009-01-01

    This thesis presents three essays on industrial organization and political economy. In the first essay, I show how the attributes of a managerial workforce affect firms' placement decisions and wage offers, and managers' quit decisions. My OLG model features two division managers and a CEO, where each executive may be at a different point in his…

  4. Evaluation of participatory training in managing mental health for supervisory employees in the financial industry.

    PubMed

    Yoshikawa, Toru; Ogami, Ayumi; Muto, Takashi

    2013-12-01

    Industry-specific primary prevention measures for promoting mental health of workers were undertaken in 2008 and 2009 as a result of participatory training involving 130 supervisory employees in workplaces of the financial industry. These measures included the following five points suggested to be effective in the industry: 1) proper opportunities for training and career building, 2) control of work time and improving work organization, 3) standardization of tasks, 4) job rotation for sharing work responsibilities, and 5) increasing communication and mutual support. A post-training follow-up survey revealed that participatory, action-oriented training facilitated sharing of feasible measures and mutual support, leading to the development of measures easily introduced and established at each workplace. We concluded that mutually supportive group work of teams composed of members who held similar duty positions and were engaged in similar operations, using the Mental Health Action Checklist as a guiding tool, was effective for realizing implementation of optimally practical and specific measures. PMID:25647945

  5. Academia-industry symbiosis in organic chemistry.

    PubMed

    Michaudel, Quentin; Ishihara, Yoshihiro; Baran, Phil S

    2015-03-17

    Collaboration between academia and industry is a growing phenomenon within the chemistry community. These sectors have long held strong ties since academia traditionally trains the future scientists of the corporate world, but the recent drastic decrease of public funding is motivating the academic world to seek more private grants. This concept of industrial "sponsoring" is not new, and in the past, some companies granted substantial amounts of money per annum to various academic institutions in exchange for prime access to all their scientific discoveries and inventions. However, academic and industrial interests were not always aligned, and therefore the investment has become increasingly difficult to justify from industry's point of view. With fluctuating macroeconomic factors, this type of unrestricted grant has become more rare and has been largely replaced by smaller and more focused partnerships. In our view, forging a partnership with industry can be a golden opportunity for both parties and can represent a true symbiosis. This type of project-specific collaboration is engendered by industry's desire to access very specific academic expertise that is required for the development of new technologies at the forefront of science. Since financial pressures do not allow companies to spend the time to acquire this expertise and even less to explore fundamental research, partnering with an academic laboratory whose research is related to the problem gives them a viable alternative. From an academic standpoint, it represents the perfect occasion to apply "pure science" research concepts to solve problems that benefit humanity. Moreover, it offers a unique opportunity for students to face challenges from the "real world" at an early stage of their career. Although not every problem in industry can be solved by research developments in academia, we argue that there is significant scientific overlap between these two seemingly disparate groups, thereby presenting an

  6. Determining organic pollutants in automotive industry sludge.

    PubMed

    Munaretto, Juliana S; Wonghon, Audrey L; von Mühlen, Carin

    2012-12-01

    In Brazil, the policy for disposing industrial sludge is changing from an emphasis on using controlled landfills to other treatment or co-processing methods; however, the monitoring of organic pollutants is not mandatory. The present study evaluated two general screening methods for organic pollutants in sludge generated in an automotive industrial complex in southern Brazil. The screening was performed using Soxhlet and sonication extractions and Gas Chromatograph coupled with Quadrupole Mass Spectrometry (GC/qMS). It was concluded that both techniques were effective and that most of the compounds identified were alkanes, phenols and esters. Important pollutants were detected in the sludge, which confirms the necessity of monitoring this type of residue. PMID:23007373

  7. Financial Aspects of Industrial Information Centers: A Survey.

    ERIC Educational Resources Information Center

    Talavage, Joseph

    1979-01-01

    Reports on a survey of the economic elements of special libraries and information centers in American industrial companies, focusing on the assessment of allocated resources, pricing behavior, cost behavior, and accounting practices of such centers. (FM)

  8. POTENTIALLY TOXIC AND HAZARDOUS SUBSTANCES IN THE INDUSTRIAL ORGANIC CHEMICALS AND ORGANIC DYES AND PIGMENTS INDUSTRIES

    EPA Science Inventory

    The objective of this program were identification of the potential hazards associated with the production and use of industrial organic chemicals (IOC) and organic dyes and pigments (ODP) and determination of the state of the art of the control and treatment of potentially hazard...

  9. Modeling financial markets by self-organized criticality

    NASA Astrophysics Data System (ADS)

    Biondo, Alessio Emanuele; Pluchino, Alessandro; Rapisarda, Andrea

    2015-10-01

    We present a financial market model, characterized by self-organized criticality, that is able to generate endogenously a realistic price dynamics and to reproduce well-known stylized facts. We consider a community of heterogeneous traders, composed by chartists and fundamentalists, and focus on the role of informative pressure on market participants, showing how the spreading of information, based on a realistic imitative behavior, drives contagion and causes market fragility. In this model imitation is not intended as a change in the agent's group of origin, but is referred only to the price formation process. We introduce in the community also a variable number of random traders in order to study their possible beneficial role in stabilizing the market, as found in other studies. Finally, we also suggest some counterintuitive policy strategies able to dampen fluctuations by means of a partial reduction of information.

  10. 17 CFR 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.

    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...

  11. US energy industry financial developments, 1993 first quarter

    SciTech Connect

    Not Available

    1993-06-25

    Net income for 259 energy companies-- including, 20 major US petroleum companies-- rose 38 percent between the first quarter of 1992 and the first quarter of 1993. An increased level of economic activity, along with colder weather, helped lift the demand for natural gas. crude oil, coal, and electricity. The sharp rise in the domestic price of natural gas at the wellhead relative to the year-ago quarter was the most significant development in US energy during the first quarter. As a consequence of higher natural gas prices, the upstream segment of the petroleum industry reported large gains in income, while downstream income rose due to higher refined product demand. Increased economic activity and higher weather-related natural gas demand also led to improvements in income for the rate-regulated energy segment. However, declining domestic oil production continued to restrain upstream petroleum industry earnings growth, despite a moderate rise in crude oil prices.

  12. Qualitative Phenomenological Study of Data Management Information System Deployments: Financial Services Industry

    ERIC Educational Resources Information Center

    Kerns, Dannie J.

    2014-01-01

    The qualitative phenomenological study explored the lived experiences of financial services industry change managers to understand the genesis of low data management information system project adoption rates. The goal of the study was to find methods to improve data management information system adoption rates. The participant pool consisted of 19…

  13. 17 CFR 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.

    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 adoption and surveillance of minimum financial requirements. 1.52 Section 1.52 Commodity and Securities... Miscellaneous § 1.52 Self-regulatory organization adoption and surveillance of minimum financial...

  14. 75 FR 63113 - Financial Resources Requirements for Derivatives Clearing Organizations

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-14

    ... number of small entities. \\17\\ 5 U.S.C. 601 et seq. \\18\\ 47 FR 18618 (Apr. 30, 1982). \\19\\ See 66 FR... COMMISSION 17 CFR Parts 39 and 140 RIN 3038-AC98, 3038-AD02 Financial Resources Requirements for Derivatives... Protection Act (Dodd-Frank Act). The proposed regulations establish financial resources requirements...

  15. Essays on regulation, institutions, and industrial organization

    NASA Astrophysics Data System (ADS)

    Bergara, Mario Esteban

    Essay I develops a comparative institutional analysis of network access price regulation and "light-handed" regulation. While the former is a specific-agency-based arrangement with higher political influence, the latter is a court-based system. Consequently, the main trade-off between both frameworks reflects the merits of having efficient political and judicial institutions. Price regulation is superior when distributional concerns are irrelevant and information asymmetries are lower. Poorly functioning political systems and high welfare costs of raising funds make price regulation less attractive. Light regulation is more attractive when potential rents are smaller, the monopolist is more risk averse, the judicial system is more efficient, and the threat of government intervention is more credible. The possibility of private transfers makes price regulation more advantageous. Higher information asymmetries among firms makes light-handed regulation more attractive. The main results are consistent with a plausible interpretation of the drastic deregulatory process in New Zealand. Essay II studies the preliminary effects of the deregulation of direct access in the New Zealand's electricity market. A slight improvement in quality standards and an overall efficiency increase took place after two years of deregulation. Retailers were able to successfully enter in large demand, dense areas, with a large proportion of industrial and commercial users, where incumbents were not distributing electricity efficiently. Pricing policies appears to be influenced by market forces (associated to economic and demographic characteristics) as expected in a light regulatory framework. Essay III focuses on the possibility of endogenous sunk costs and the introduction of new products. Firms that exert some monopoly power in one market and introduce a new good whose demand is determined by a broader set of consumers might be forced to change their competing strategies. If the new product

  16. Hurdles in tissue engineering/regenerative medicine product commercialization: a pilot survey of governmental funding agencies and the financial industry.

    PubMed

    Bertram, Timothy A; Tentoff, Edward; Johnson, Peter C; Tawil, Bill; Van Dyke, Mark; Hellman, Kiki B

    2012-11-01

    The Tissue Engineering and Regenerative Medicine International Society of the Americas (TERMIS-AM) Industry Committee conducted a semiquantitative opinion survey in 2010 to delineate potential hurdles to commercialization perceived by the TERMIS constituency groups that participate in the stream of technology commercialization (academia, start-up companies, development-stage companies, and established companies). A significant hurdle identified consistently by each group was access to capital for advancing potential technologies into development pathways leading to commercialization. A follow-on survey was developed by the TERMIS-AM Industry Committee to evaluate the financial industry's perspectives on investing in regenerative medical technologies. The survey, composed of 15 questions, was developed and provided to 37 investment organizations in one of three sectors (governmental, private, and public investors). The survey was anonymous and confidential with sector designation the only identifying feature of each respondent's organization. Approximately 80% of the survey was composed of respondents from the public (n=14) and private (n=15) sectors. Each respondent represents one investment organization with the potential of multiple participants participating to form the organization's response. The remaining organizations represented governmental agencies (n=8). Results from this survey indicate that a high percentage (<60%) of respondents (governmental, private, and public) were willing to invest >$2MM into regenerative medical companies at the different stages of a company's life cycle. Investors recognized major hurdles to this emerging industry, including regulatory pathway, clinical translation, and reimbursement of these new products. Investments in regenerative technologies have been cyclical over the past 10-15 years, but investors recognized a 1-5-year investment period before the exit via Merger and Acquisition (M&A). Investors considered

  17. Reforming pharmaceutical industry-physician financial relationships: lessons from the United States, France, and Japan.

    PubMed

    Rodwin, Marc A

    2011-01-01

    This article compares the means that the United States, France, and Japan use to oversee pharmaceutical industry-physician financial relationships. These countries rely on professional and/or industry ethical codes, anti-kickback laws, and fair trade practice laws. They restrict kickbacks the most strictly, allow wide latitude on gifts, and generally permit drug firms to fund professional activities and associations. Consequently, to avoid legal liability, drug firms often replace kickbacks with gifts and grants. The paper concludes by proposing reforms that address problems that persist when firms replace kickbacks with gifts and grants based on the experience of the three countries. PMID:22084852

  18. Recombinant organisms for production of industrial products

    PubMed Central

    Adrio, Jose-Luis

    2010-01-01

    A revolution in industrial microbiology was sparked by the discoveries of ther double-stranded structure of DNA and the development of recombinant DNA technology. Traditional industrial microbiology was merged with molecular biology to yield improved recombinant processes for the industrial production of primary and secondary metabolites, protein biopharmaceuticals and industrial enzymes. Novel genetic techniques such as metabolic engineering, combinatorial biosynthesis and molecular breeding techniques and their modifications are contributing greatly to the development of improved industrial processes. In addition, functional genomics, proteomics and metabolomics are being exploited for the discovery of novel valuable small molecules for medicine as well as enzymes for catalysis. The sequencing of industrial microbal genomes is being carried out which bodes well for future process improvement and discovery of new industrial products. PMID:21326937

  19. Improving Provisions for Organization, Housing, Financial Support and Accountability.

    ERIC Educational Resources Information Center

    Polley, John W.; Lamitie, Robert E.

    This chapter provides insights into the solution of financial and governance problems that face big city education. The report identifies recent developments affecting big city education such as metropolitanism, regionalism, full State financing, revenue sharing, and reform of property taxation. The authors discuss (1) recent court cases affecting…

  20. 19 CFR 351.312 - Industrial users and consumer organizations.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 19 Customs Duties 3 2010-04-01 2010-04-01 false Industrial users and consumer organizations. 351... ANTIDUMPING AND COUNTERVAILING DUTIES Information and Argument § 351.312 Industrial users and consumer... industrial users on matters relevant to a particular determination of dumping, subsidization, or injury....

  1. 19 CFR 351.312 - Industrial users and consumer organizations.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 19 Customs Duties 3 2014-04-01 2014-04-01 false Industrial users and consumer organizations. 351... ANTIDUMPING AND COUNTERVAILING DUTIES Information and Argument § 351.312 Industrial users and consumer... industrial users on matters relevant to a particular determination of dumping, subsidization, or injury....

  2. 19 CFR 351.312 - Industrial users and consumer organizations.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 19 Customs Duties 3 2013-04-01 2013-04-01 false Industrial users and consumer organizations. 351... ANTIDUMPING AND COUNTERVAILING DUTIES Information and Argument § 351.312 Industrial users and consumer... industrial users on matters relevant to a particular determination of dumping, subsidization, or injury....

  3. 19 CFR 351.312 - Industrial users and consumer organizations.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 19 Customs Duties 3 2012-04-01 2012-04-01 false Industrial users and consumer organizations. 351... ANTIDUMPING AND COUNTERVAILING DUTIES Information and Argument § 351.312 Industrial users and consumer... industrial users on matters relevant to a particular determination of dumping, subsidization, or injury....

  4. 19 CFR 351.312 - Industrial users and consumer organizations.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 19 Customs Duties 3 2011-04-01 2011-04-01 false Industrial users and consumer organizations. 351... ANTIDUMPING AND COUNTERVAILING DUTIES Information and Argument § 351.312 Industrial users and consumer... industrial users on matters relevant to a particular determination of dumping, subsidization, or injury....

  5. 25 CFR 900.44 - What minimum general standards apply to all Indian tribe or tribal organization financial...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... or tribal organization financial management systems when carrying out a self-determination contract... Financial Management Systems § 900.44 What minimum general standards apply to all Indian tribe or tribal organization financial management systems when carrying out a self-determination contract? The fiscal...

  6. 25 CFR 900.44 - What minimum general standards apply to all Indian tribe or tribal organization financial...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... or tribal organization financial management systems when carrying out a self-determination contract... Financial Management Systems § 900.44 What minimum general standards apply to all Indian tribe or tribal organization financial management systems when carrying out a self-determination contract? The fiscal...

  7. 25 CFR 900.44 - What minimum general standards apply to all Indian tribe or tribal organization financial...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... or tribal organization financial management systems when carrying out a self-determination contract... Financial Management Systems § 900.44 What minimum general standards apply to all Indian tribe or tribal organization financial management systems when carrying out a self-determination contract? The fiscal...

  8. 25 CFR 900.45 - What specific minimum requirements shall an Indian tribe or tribal organization's financial...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... or tribal organization's financial management system contain to meet these standards? 900.45 Section... ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards for Financial... financial management system contain to meet these standards? An Indian tribe or tribal...

  9. 25 CFR 900.45 - What specific minimum requirements shall an Indian tribe or tribal organization's financial...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... or tribal organization's financial management system contain to meet these standards? 900.45 Section... ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards for Financial... financial management system contain to meet these standards? An Indian tribe or tribal...

  10. 25 CFR 900.44 - What minimum general standards apply to all Indian tribe or tribal organization financial...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... or tribal organization financial management systems when carrying out a self-determination contract... Financial Management Systems § 900.44 What minimum general standards apply to all Indian tribe or tribal organization financial management systems when carrying out a self-determination contract? The fiscal...

  11. 25 CFR 900.45 - What specific minimum requirements shall an Indian tribe or tribal organization's financial...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... or tribal organization's financial management system contain to meet these standards? 900.45 Section... ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards for Financial... financial management system contain to meet these standards? An Indian tribe or tribal...

  12. 25 CFR 900.45 - What specific minimum requirements shall an Indian tribe or tribal organization's financial...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... or tribal organization's financial management system contain to meet these standards? 900.45 Section... ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards for Financial... financial management system contain to meet these standards? An Indian tribe or tribal...

  13. 25 CFR 900.45 - What specific minimum requirements shall an Indian tribe or tribal organization's financial...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... or tribal organization's financial management system contain to meet these standards? 900.45 Section... ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards for Financial... financial management system contain to meet these standards? An Indian tribe or tribal...

  14. 25 CFR 900.44 - What minimum general standards apply to all Indian tribe or tribal organization financial...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... or tribal organization financial management systems when carrying out a self-determination contract... Financial Management Systems § 900.44 What minimum general standards apply to all Indian tribe or tribal organization financial management systems when carrying out a self-determination contract? The fiscal...

  15. Authors’ Financial Relationships With the Food and Beverage Industry and Their Published Positions on the Fat Substitute Olestra

    PubMed Central

    Levine, Jane; Gussow, Joan Dye; Hastings, Diane; Eccher, Amy

    2003-01-01

    Objectives. This study examined the association between authors’ published positions on the safety and efficacy in assisting with weight loss of the Procter & Gamble (P&G) fat substitute olestra and their financial relationships with the food and beverage industry. Methods. Journal articles about olestra, and their authors, were classified as supportive, critical, or neutral with respect to its use. Authors not known to have industry affiliations were surveyed about their financial relationships. Results. Supportive authors were significantly more likely than critical or neutral authors to have financial relationships with P&G (80% vs 11% and 21%, respectively; P < .0001). All authors disclosing an affiliation with P&G were supportive. Conclusions. Because authors’ published opinions were associated with their financial relationships, obtaining noncommercial funding may be more essential to maintaining objectivity than disclosing personal financial interests. PMID:12660215

  16. INDUSTRIAL PROCESS PROFILES FOR ENVIRONMENTAL USE: CHAPTER 7. ORGANIC DYES AND PIGMENTS INDUSTRY

    EPA Science Inventory

    The catalog of Industrial Process Profiles for Environmental Use was developed as an aid in defining the environmental impacts of industrial activity in the United States. Entries for each industry are in consistent format and form separate chapters of the study. The organic dyes...

  17. Economic and financial restructuring of the petroleum industry: strategies for the future

    SciTech Connect

    Malik, K.A.

    1987-01-01

    The relationship between economics, finance, and geopolitics in the oil market is examined. Furthermore, the structural changes that have occurred in the petroleum industry are analyzed. Recent developments have greatly influenced oil prices, and the supply of and demand for oil. The research clearly points to an increasing U.S. reliance on the Middle East oil in the future. Large U.S. oil companies are emphasizing overseas oil exploration and development. The volatility and competitiveness in the market have led to a new oil-pricing mechanisms in international oil trade. Netback pricing, the growth of the crude-oil futures market, and an increase in barter agreements are important developments. Several factors, including the decline in oil prices, and the lack of investor interest in oil investments have reduced the capital available to the industry. This has created the need for new financing techniques. Companies are devising strategies to protect their financial strength. A survey of the restructuring of the petroleum industry was conducted. The survey examined the problems of the petroleum industry, strategies of the oil companies, and the future role of OPEC. The consensus amongst the respondents was that misjudgment regarding future oil prices was the leading cause of the industry's problems, and that the U.S. will be more vulnerable to oil-supply disruptions in the future.

  18. Functional organic materials for electronics industries

    NASA Technical Reports Server (NTRS)

    Shibayama, K.; Ono, H.

    1982-01-01

    Topics closely related with organic, high molecular weight material synthesis are discussed. These are related to applications such as display, recording, sensors, semiconductors, and I.C. correlation. New materials are also discussed. General principles of individual application are not included. Materials discussed include color, electrochromic, thermal recording, organic photoconductors for electrophotography, and photochromic materials.

  19. Industrial age to information age organizations: Changing business ethic

    SciTech Connect

    Stinson, J.E.

    1994-12-31

    In this paper, we argue that Informatoin age organizations both allow and require a higher level of moral development on the part of the members of the organizations. We describe industrial age and information age organization structure charactreistics and identify moral values consistent with each structure.

  20. The Zodiak workshop: an innovative model for teaching financial management through partnership with industry.

    PubMed

    Lloyd, James W; Frawley, Suzanne L; Neer, Charles A; Merle, Christine; Goebel, Richard

    2004-01-01

    The National Commission on Veterinary Economic Issues (NCVEI) is working to enhance the non-technical skills, knowledge, aptitudes, and attitudes (SKAs) of veterinarians. This report describes the development of an innovative model for teaching the principles of financial management as they apply to the veterinary practice. Zodiak: The Game of Business Finance and Strategy is a "business literacy" game in which players work together in small teams (generally four people) to run a fictional multi-million-dollar company called Zodiak Industries for three "years" in order to learn principles of business finance and strategy. After finishing the 4.5-hour game, participants spend the rest of the workshop making the right "Connections"-exercises designed to connect what they have learned to business strategies, financial statements, and operational tactics drawn from veterinary practice. Issues addressed for the veterinary practice, with parallels drawn to Zodiak, included return on owner investment in a veterinary practice (vs. salary drawn by owner veterinarians); pricing (setting prices, price elasticity of demand, and relationships between volume, quality, and price); human resources and operations management as they relate to profitability and efficiency; cash flow and management of accounts receivable; and commonly used financial benchmarks. Workshop venues have included Michigan State University, The Ohio State University, the University of Illinois, and Purdue University. Financial and in-kind support were provided through partnership with Pharmacia Animal Health (now Pfizer Animal Health) and Hill's Pet Nutrition, Inc. Through course evaluations, participants generally rated the workshop high as an educational experience and indicated that the most important things learned were related to financial management (principles, terminology, and methods). The most enjoyable aspects of the workshop tended to be group discussions, teamwork, the dynamic

  1. Financial incentives: alternatives to the altruistic model of organ donation.

    PubMed

    Siminoff, L A; Leonard, M D

    1999-12-01

    Improvements in transplantation techniques have resulted in a demand for transplantable organs that far outpaces supply. Present efforts to secure organs use an altruistic system designed to appeal to a public that will donate organs because they are needed. Efforts to secure organs under this system have not been as successful as hoped. Many refinements to the altruistic model have been or are currently being proposed, such as "required request," "mandated choice," "routine notification," and "presumed consent." Recent calls for market approaches to organ procurement reflect growing doubts about the efficacy of these refinements. Market approaches generally use a "futures market," with benefits payable either periodically or when or if organs are procured. Lump-sum arrangements could include donations to surviving family or contributions to charities or to funeral costs. Possibilities for a periodic system of payments include reduced premiums for health or life insurance, or a reciprocity system whereby individuals who periodically reaffirm their willingness to donate are given preference if they require a transplant. Market approaches do raise serious ethical issues, including potential exploitation of the poor. Such approaches may also be effectively proscribed by the 1984 National Organ Transplant Act. PMID:10889698

  2. 25 CFR 900.43 - What are the general financial management system standards that apply to a tribal organization...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 25 Indians 2 2010-04-01 2010-04-01 false What are the general financial management system... ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards for Financial Management Systems § 900.43 What are the general financial management system standards that apply to a...

  3. 25 CFR 900.43 - What are the general financial management system standards that apply to a tribal organization...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 25 Indians 2 2013-04-01 2013-04-01 false What are the general financial management system... ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards for Financial Management Systems § 900.43 What are the general financial management system standards that apply to a...

  4. 25 CFR 900.43 - What are the general financial management system standards that apply to a tribal organization...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 25 Indians 2 2012-04-01 2012-04-01 false What are the general financial management system... ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards for Financial Management Systems § 900.43 What are the general financial management system standards that apply to a...

  5. 25 CFR 900.43 - What are the general financial management system standards that apply to a tribal organization...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 25 Indians 2 2011-04-01 2011-04-01 false What are the general financial management system... ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards for Financial Management Systems § 900.43 What are the general financial management system standards that apply to a...

  6. 25 CFR 900.43 - What are the general financial management system standards that apply to a tribal organization...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 25 Indians 2 2014-04-01 2014-04-01 false What are the general financial management system... ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards for Financial Management Systems § 900.43 What are the general financial management system standards that apply to a...

  7. Health Advocacy Organizations and the Pharmaceutical Industry: An Analysis of Disclosure Practices

    PubMed Central

    Raveis, Victoria H.; Friedman, Anne; Rothman, David J.

    2011-01-01

    Health advocacy organizations (HAOs) are influential stakeholders in health policy. Although their advocacy tends to closely correspond with the pharmaceutical industry's marketing aims, the financial relationships between HAOs and the pharmaceutical industry have rarely been analyzed. We used Eli Lilly and Company's grant registry to examine its grant-giving policies. We also examined HAO Web sites to determine their grant-disclosure patterns. Only 25% of HAOs that received Lilly grants acknowledged Lilly's contributions on their Web sites, and only 10% acknowledged Lilly as a grant event sponsor. No HAO disclosed the exact amount of a Lilly grant. As highly trusted organizations, HAOs should disclose all corporate grants, including the purpose and the amount. Absent this disclosure, legislators, regulators, and the public cannot evaluate possible conflicts of interest or biases in HAO advocacy. PMID:21233424

  8. Real World of Industrial Chemistry: Ethylene: The Organic Chemical Industry's Most Important Building Block.

    ERIC Educational Resources Information Center

    Fernelius, W. Conrad, Ed.; And Others

    1979-01-01

    The value of ethylene, as the organic chemical industry's most important building block, is discussed. The discussion focuses on the source of ethylene, its various forms and functions, and the ways in which the forms are made. (SA)

  9. Engineering organisms for industrial fuel production.

    PubMed

    Berry, David A

    2010-01-01

    Volatile fuel costs, the need to reduce greenhouse gas emissions and fuel security concerns are driving efforts to produce sustainable renewable fuels and chemicals. Petroleum comes from sunlight, CO(2) and water converted via a biological intermediate into fuel over a several million year timescale. It stands to reason that using biology to short-circuit this time cycle offers an attractive alternative--but only with relevant products at or below market prices. The state of the art of biological engineering over the past five years has progressed to allow for market needs to drive innovation rather than trying to adapt existing approaches to the market. This report describes two innovations using synthetic biology to dis-intermediate fuel production. LS9 is developing a means to convert biological intermediates such as cellulosic hydrolysates into drop-in hydrocarbon product replacements such as diesel. Joule Unlimited is pioneering approaches to eliminate feedstock dependency by efficiently capturing sunlight, CO(2) and water to produce fuels and chemicals. The innovations behind these companies are built with the market in mind, focused on low cost biosynthesis of existing products of the petroleum industry. Through successful deployment of technologies such as those behind LS9 and Joule Unlimited, alternative sources of petroleum products will mitigate many of the issues faced with our petroleum-based economy. PMID:21326829

  10. Evaluation of Service Level Agreement Approaches for Portfolio Management in the Financial Industry

    NASA Astrophysics Data System (ADS)

    Pontz, Tobias; Grauer, Manfred; Kuebert, Roland; Tenschert, Axel; Koller, Bastian

    The idea of service-oriented Grid computing seems to have the potential for fundamental paradigm change and a new architectural alignment concerning the design of IT infrastructures. There is a wide range of technical approaches from scientific communities which describe basic infrastructures and middlewares for integrating Grid resources in order that by now Grid applications are technically realizable. Hence, Grid computing needs viable business models and enhanced infrastructures to move from academic application right up to commercial application. For a commercial usage of these evolutions service level agreements are needed. The developed approaches are primary of academic interest and mostly have not been put into practice. Based on a business use case of the financial industry, five service level agreement approaches have been evaluated in this paper. Based on the evaluation, a management architecture has been designed and implemented as a prototype.

  11. 17 CFR 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.

    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 adoption and surveillance of minimum financial requirements. 1.52 Section 1.52 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Miscellaneous § 1.52...

  12. Financial Comparisons across Different Business Models in the Canadian Airline Industry

    NASA Technical Reports Server (NTRS)

    Flouris, Triant; Walker, Thomas

    2007-01-01

    This paper examines the accounting and stock price performance of two Canadian airlines, WestJet and Air Canada, over a five year period, taking into account the aftermath of the systemic shock to the airline industry produced by the September 11, 2001 (9-11), terrorist attacks and subsequent events such as the 2002 SARS outbreak, the wars in Afghanistan and Iraq, and the accompanying rise in jet fuel prices. Our study focuses on the viability of low-cost versus conventional-cost business models in Canada under the current business environment and the ability of airlines to withstand and effectively respond to catastrophic industry events. Furthermore, we link the effectiveness of the airlines responses to these events to specific elements of their respective business models. We test our hypothesis through a case study. We focus on WestJet as a typical low-cost airline and compare its accounting and stock performance to Air Canada, a legacy carrier and rival in several business sectors. We find WestJet to be much less affected by catastrophic industry events. By decomposing each airline s return volatility, we observe that WestJet s systematic and unsystematic risk increased only slightly during the industry's post-9-11 turmoil when compared to Air Canada. In addition, we find that both WestJet s accounting and stock performance have been highly superior to those of Air Canada. We argue that WestJet s business model provides the firm with significantly more financial and operational flexibility than its legacy rival, Air Canada. WestJet's lower operating costs, high consumer trust, product offering, corporate structure, workforce and work practices, as well as operational procedures are all factors that appear to contribute to its relative success.

  13. Reclaiming metals and organics from industrial wastewaters

    SciTech Connect

    Kilambi, S.

    1996-08-01

    The liquid membrane transport process is an emerging new technology where specific material species are transported selectively and rapidly across a liquid membrane. Supported liquid membranes (SLMs) can be used in metal ion separations, gas transfer, volatile organic compounds (VOCs) removal, solvent extraction, biotechnology and reverse osmosis (RO)/ultrafiltration (UF). Although SLMs were invented in the early 1970s, the bulk of experimental studies involving SLMs for metal removal have been carried out in the last 10 years. Some of these experimental studies included work that surveyed the liquid membrane applications in general, including those for metal ion removal; discussed the theoretical and experimental aspects of general, facilitated transport systems; reviewed the work being carried out at Argonne National Laboratory on separation of metal species by SLMs and also the development of /simple equations to describe the metal ions transport by SLMs; and presented the basic principles involved in applying SLM transport processes for recovery and separation of metals from aqueous solutions that include passive and active transport, aqueous and membrane diffusion and chemical reactions. This article will describe the economic feasibility for using an SLM for recovery of nickel and chromium from plating rise waters and compare the economics with alternate technologies.

  14. Preparing technicians for photonics industries and organizations

    NASA Astrophysics Data System (ADS)

    Souders, John; Hull, Dan

    2012-10-01

    U.S. photonics organizations need about 800 new photonics technicians each year. Thirty-one community and technical colleges have approximately 700 students enrolled in photonics related programs; about 275 of them complete their coursework and enter the workforce each year. A disparity exists between the demand and supply of qualified photonics technicians in the U.S. OP-TEC, the National Center for Optics and Photonics Education is a consortium of seven colleges, under the leadership of the University of Central Florida, and sponsored by NSF. OP-TEC's mission is to increase the quantity and quality of photonics technicians prepared at two-year colleges. OP-TEC maintains the National Photonics Skill Standards for Technicians, provides curriculum models, teaching materials, faculty training/professional development and planning services to strengthen existing college photonics programs and to attract and support new ones. OP-TEC is converting its text materials to E-Books to support students in technical programs. Through OP-TEC's recruitment efforts 84 additional colleges are interested in initiating new photonics programs. The OP-TEC Photonics College Network (OPCN) consists of 28 colleges that are currently providing photonics education. This fall OPCN will lead an additional national effort to further educate employed photonics technicians through on-line courses, complemented by lab experiences at nearby colleges. OP-TEC is expanding its outreach to photonics employers and colleges by regionalizing its approach to offering its services. OP-TEC is also planning to develop new curricula and instructional materials for AAS programs to prepare Precision Optics Technicians. This paper will detail OP-TEC's work with particular emphases on its materials and services.

  15. Effects of financial crisis on the industry sector of Chinese stock market — from a perspective of complex network

    NASA Astrophysics Data System (ADS)

    Yang, Chunxia; Chen, Yanhua; Hao, Weiwei; Shen, Ying; Tang, Minxuan; Niu, Lei

    2014-05-01

    In this paper, we use mutual information to measure the statistical interdependence between 23 industry sectors of Shanghai stock market and construct corresponding correlation network to analyze the shock of 2008 financial crisis on industry sectors. The obtained meaningful facts are as follows. First, such crisis has only a limited impact on leading industries such as Manufacturing, Commercial trade and Machinery & Equipment, which still play an important role in Chinese economy. Second, the crisis badly attacks China's export industries like Electronics, Wood & Furniture and Textile & Clothing. The damage further hurts other industries, and then export industries' influence becomes larger. Third, the crisis adversely impacts the import industries like Petrochemical, Metal & Nonmetal and Pharmaceutical Biotechnology. While due to the stimulation of macroeconomic policies, the influence of crisis on import industries is limited. Similarly, due to relatively strict capital control and the macroeconomic policies stimulating the domestic demand, those industries like Construction, Real Estate and Financial Services are slightly wounded. All these findings suggest that Chinese government should transform from the external demand to the domestic consumption to sustain economic growth.

  16. Self-organizing Ising model of artificial financial markets with small-world network topology

    NASA Astrophysics Data System (ADS)

    Zhao, Haijie; Zhou, Jie; Zhang, Anghui; Su, Guifeng; Zhang, Yi

    2013-01-01

    We study a self-organizing Ising-like model of artificial financial markets with underlying small-world (SW) network topology. The asset price dynamics results from the collective decisions of interacting agents which are located on a small-world complex network (the nodes symbolize the agents of a financial market). The model incorporates the effects of imitation, the impact of external news and private information. We also investigate the influence of different network topologies, from regular lattice to random graph, on the asset price dynamics by adjusting the probability of the rewiring procedure. We find that a specific combination of model parameters reproduce main stylized facts of real-world financial markets.

  17. Financial management of hospitals.

    PubMed

    Speranzo, A J

    1984-05-01

    The effect of hospital reimbursement systems on the financial management of hospitals is briefly discussed, and the organization of hospital financial operations is reviewed. The implementation of Medicare prospective pricing will change the way in which hospital finances are managed. Health-care managers will be concerned with the profitability of product lines, or diagnosis-related groups, in future strategic planning efforts. The hospital's finance department consists of several traditional areas that exist in almost all financial organizations. The functions and interactions of these various areas are discussed in light of previous and current hospital reimbursement strategies. Staffing of the finance department and the duties of the hospital's chief financial officer are also described. The prospective pricing system of hospital reimbursement and increasing pressure from the business community to stem the rising costs of health care will produce changes in the medical and financial operations of the hospital industry over the next decade. PMID:6375357

  18. Using a social entrepreneurial approach to enhance the financial and social value of health care organizations.

    PubMed

    Liu, Sandra S; Lu, Jui-Fen Rachel; Guo, Kristina L

    2014-01-01

    In this study, a conceptual framework was developed to show that social entrepreneurial practices can be effectively translated to meet the social needs in health care. We used a theory-in-use case study approach that encompasses postulation of a working taxonomy from literature scanning and a deliberation of the taxonomy through triangulation of multilevel data of a case study conducted in a Taiwan-based hospital system. Specifically, we demonstrated that a nonprofit organization can adopt business principles that emphasize both financial and social value. We tested our model and found comprehensive accountability across departments throughout the case hospital system, and this led to sustainable and continual growth of the organization. Through social entrepreneurial practices, we established that both financial value creation and fulfilling the social mission for the case hospital system can be achieved. PMID:25223158

  19. Financial and Tax Management in Small and Medium Sized Industrial Enterprises

    NASA Astrophysics Data System (ADS)

    Bestvinová, Viera; Homokyová, Mária; Horváthová, Martina

    2012-12-01

    Target of this paper was to evaluate the importance of small and medium sized enterprises (SMEs) in Slovakia and to determine the application of financial and tax management in this type of enterprises. The results of our findings confirm that SMEs have an important role in Slovakia, and also that especially small businesses have little or no experience with the application of financial and tax management. Therefore the paper contains recommendations for financial and tax management of SMEs.

  20. 76 FR 19101 - Request for Notification From Industry Organizations Interested in Participating in the Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-06

    ... self- nominated or nominated by an organization to serve as a nonvoting industry representative... organization interested in participating in the selection of an appropriate nonvoting member to represent... labeling of allergenic biological products. II. Selection Procedure Any industry organization interested...

  1. HRM and its effect on employee, organizational and financial outcomes in health care organizations

    PubMed Central

    2014-01-01

    Background One of the main goals of Human Resource Management (HRM) is to increase the performance of organizations. However, few studies have explicitly addressed the multidimensional character of performance and linked HR practices to various outcome dimensions. This study therefore adds to the literature by relating HR practices to three outcome dimensions: financial, organizational and employee (HR) outcomes. Furthermore, we will analyze how HR practices influence these outcome dimensions, focusing on the mediating role of job satisfaction. Methods This study uses a unique dataset, based on the ‘ActiZ Benchmark in Healthcare’, a benchmark study conducted in Dutch home care, nursing care and care homes. Data from autumn 2010 to autumn 2011 were analyzed. In total, 162 organizations participated during this period (approximately 35% of all Dutch care organizations). Employee data were collected using a questionnaire (61,061 individuals, response rate 42%). Clients were surveyed using the Client Quality Index for long-term care, via stratified sampling. Financial outcomes were collected using annual reports. SEM analyses were conducted to test the hypotheses. Results It was found that HR practices are - directly or indirectly - linked to all three outcomes. The use of HR practices is related to improved financial outcomes (measure: net margin), organizational outcomes (measure: client satisfaction) and HR outcomes (measure: sickness absence). The impact of HR practices on HR outcomes and organizational outcomes proved substantially larger than their impact on financial outcomes. Furthermore, with respect to HR and organizational outcomes, the hypotheses concerning the full mediating effect of job satisfaction are confirmed. This is in line with the view that employee attitudes are an important element in the ‘black box’ between HRM and performance. Conclusion The results underscore the importance of HRM in the health care sector, especially for HR and

  2. Organizing the Industrial Arts Student Association. American Industrial Arts Student Association Guide: I. Revised.

    ERIC Educational Resources Information Center

    Willcox, George R., Comp.

    This guide provides information to aid chapter advisors and officers in planning, organizing, and providing American Industrial Arts Student Association (AIASA) activities to students. The main body of the guide contains eleven sections. In the first section AIASA's mission, goals, creed, motto, emblem, colors, and official dress are outlined.…

  3. Financial incentives to increase Canadian organ donation: quick fix or fallacy?

    PubMed

    Gill, John S; Klarenbach, Scott; Barnieh, Lianne; Caulfield, Timothy; Knoll, Greg; Levin, Adeera; Cole, Edward H

    2014-01-01

    Unlike the United States, the potential to increase organ donation in Canada may be sufficient to meet the need for transplantation. However, there has been no national coordinated effort to increase organ donation. Strategies that do not involve payment for organs, such as investment in health care resources to support deceased donor organ donation and introduction of a remuneration framework for the work of deceased organ donation, should be prioritized for implementation. Financial incentives that may be permitted under existing legislation and that pose little risk to existing donation sources should be advanced, including the following: payment of funeral expenses for potential donors who register their decision on organ donation during life (irrespective of the decision to donate or actual organ donation) and removal of disincentives for directed and paired exchange living donation, such as payment of wages, payment for pain and suffering related to the donor surgery, and payment of directed living kidney donors for participation in Canada's paired exchange program. In contrast, it would be premature to contemplate a regulated system of organ sales that would require a paradigm shift in the current approach to organ donation and legislative change to implement. PMID:24200461

  4. Perceptions of the Software Skills of Graduates by Employers in the Financial Services Industry

    ERIC Educational Resources Information Center

    Kyng, Tim; Tickle, Leonie; Wood, Leigh N.

    2013-01-01

    Software, particularly spreadsheet software, is ubiquitous in the financial services workplace. Yet little is known about the extent to which universities should, and do, prepare graduates for this aspect of the modern workplace. We have investigated this issue through a survey of financial services employers of graduates, the results of which are…

  5. The Relationship between the Learning Organization Concept and Firms' Financial Performance: An Empirical Assessment. [and] Invited Reaction: Linking Learning with Financial Performance.

    ERIC Educational Resources Information Center

    Ellinger, Andrea D.; Ellinger, Alexander E.; Yang, Baiyin; Howton, Shelly W.

    2002-01-01

    Reports on a study of 208 manufacturing managers that found a positive correlation between the seven dimensions of learning organizations and four measures of business financial performance. "Invited Reaction" by Timothy T. Baldwin and Camden C. Danielson critiques the use of key respondent perceptions and bottom-line performance. (Contains 61…

  6. Analysis of linkage effects among industry sectors in China's stock market before and after the financial crisis

    NASA Astrophysics Data System (ADS)

    Yang, Rui; Li, Xiangyang; Zhang, Tong

    2014-10-01

    This paper uses two physics-derived techniques, the minimum spanning tree and the hierarchical tree, to investigate the networks formed by CITIC (China International Trust and Investment Corporation) industry indices in three periods from 2006 to 2013. The study demonstrates that obvious industry clustering effects exist in the networks, and Durable Consumer Goods, Industrial Products, Information Technology, Frequently Consumption and Financial Industry are the core nodes in the networks. We also use the rolling window technique to investigate the dynamic evolution of the networks' stability, by calculating the mean correlations and mean distances, as well as the variance of correlations and the distances of these indices. China's stock market is still immature and subject to administrative interventions. Therefore, through this analysis, regulators can focus on monitoring the core nodes to ensure the overall stability of the entire market, while investors can enhance their portfolio allocations or investment decision-making.

  7. 17 CFR 240.17g-3 - Annual financial reports to be furnished by nationally recognized statistical rating organizations.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... furnished by nationally recognized statistical rating organizations. 240.17g-3 Section 240.17g-3 Commodity... Recognized Statistical Rating Organizations § 240.17g-3 Annual financial reports to be furnished by nationally recognized statistical rating organizations. (a) A nationally recognized statistical...

  8. 17 CFR 240.17g-3 - Annual financial reports to be furnished by nationally recognized statistical rating organizations.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... furnished by nationally recognized statistical rating organizations. 240.17g-3 Section 240.17g-3 Commodity... Recognized Statistical Rating Organizations § 240.17g-3 Annual financial reports to be furnished by nationally recognized statistical rating organizations. (a) A nationally recognized statistical...

  9. 17 CFR 240.17g-3 - Annual financial reports to be furnished by nationally recognized statistical rating organizations.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... furnished by nationally recognized statistical rating organizations. 240.17g-3 Section 240.17g-3 Commodity... Recognized Statistical Rating Organizations § 240.17g-3 Annual financial reports to be furnished by nationally recognized statistical rating organizations. (a) A nationally recognized statistical...

  10. 17 CFR 240.17g-3 - Annual financial reports to be furnished by nationally recognized statistical rating organizations.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... furnished by nationally recognized statistical rating organizations. 240.17g-3 Section 240.17g-3 Commodity... Recognized Statistical Rating Organizations § 240.17g-3 Annual financial reports to be furnished by nationally recognized statistical rating organizations. (a) A nationally recognized statistical...

  11. 17 CFR 240.17g-3 - Annual financial reports to be furnished by nationally recognized statistical rating organizations.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... furnished by nationally recognized statistical rating organizations. 240.17g-3 Section 240.17g-3 Commodity... Recognized Statistical Rating Organizations § 240.17g-3 Annual financial reports to be furnished by nationally recognized statistical rating organizations. (a) A nationally recognized statistical...

  12. 17 CFR 31.28 - Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Self-regulatory organization... TRANSACTIONS § 31.28 Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation and sales practice requirements. (a) Each self-regulatory organization must adopt, and submit...

  13. 17 CFR 31.28 - Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation...

    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... TRANSACTIONS § 31.28 Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation and sales practice requirements. (a) Each self-regulatory organization must adopt, and submit...

  14. 17 CFR 31.28 - Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation...

    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... TRANSACTIONS § 31.28 Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation and sales practice requirements. (a) Each self-regulatory organization must adopt, and submit...

  15. 17 CFR 31.28 - Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation...

    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... TRANSACTIONS § 31.28 Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation and sales practice requirements. (a) Each self-regulatory organization must adopt, and submit...

  16. Financial Aspects and the Future of the Pharmaceutical Industry in the United States of America

    PubMed Central

    Karamehic, Jasenko; Ridic, Ognjen; Ridic, Goran; Jukic, Tomislav; Coric, Jozo; Subasic, Djemo; Panjeta, Mirsad; Saban, Aida; Zunic, Lejla; Masic, Izet

    2013-01-01

    Introduction: The U.S. pharmaceutical industry is defined by the U.S. Census Bureau as “companies engaged in researching, developing, manufacturing and marketing of medicines and biological for human or veterinary use”. Besides its main role in improving human health, the US pharmaceutical industry represents one of the most critical, key decision makers’ lobbying prone and competitive sectors in the economy. The cost in the environment of very limited government price regulation remains one of the major problems fuelling aggregate health care cost inflation. Pharmaceuticals have created huge benefits for public health and economic productivity by the means of saving lives, increasing life expectancy, reducing illness related suffering, preventing surgeries and decreasing hospital stays. Purpose: The goal of this review paper is to show the present conditions and future trends of the pharmaceutical industry in the U.S. Methodology: This paper represents a thorough literature review of the multifaceted sources including: studies, books, peer reviewed journals, U.S. government sources (i.e. U.S. Census Bureau, U.S. Bureau of Economic Analysis, etc.). Discussion: In the thirty years pharmaceutical companies have consistently developed and launched new medicines, bringing hope to sick or – at risk patients. They also usually provide above the average financial returns for its shareholders. U.S. pharmaceutical companies had as their goal to discover blockbuster drugs. Blockbuster drugs are generally defined as drugs that solve medical problems common to hundreds of millions of people and, at the same time generate large sales increases and profits for the pharmaceutical companies. The main approach of these companies includes huge investments in research and development (R&D), innovation, marketing and sales. The trend analysis shows that for the most part the era of blockbuster drugs is nearing an end. Conclusion: Numerous blockbuster drugs will be coming off

  17. Financial Impact of Liver Sharing and Organ Procurement Organizations' Experience With Share 35: Implications for National Broader Sharing.

    PubMed

    Fernandez, H; Weber, J; Barnes, K; Wright, L; Levy, M

    2016-01-01

    The Share 35 policy for organ allocation, which was adopted in June 2013, allocates livers regionally for candidates with Model for End-Stage Liver Disease scores of 35 or greater. The authors analyzed the costs resulting from the increased movement of allografts related to this new policy. Using a sample of nine organ procurement organizations, representing 17% of the US population and 19% of the deceased donors in 2013, data were obtained on import and export costs before Share 35 implementation (June 15, 2012, to June 14, 2013) and after Share 35 implementation (June 15, 2013, to June 14, 2014). Results showed that liver import rates increased 42%, with an increased cost of 51%, while export rates increased 112%, with an increased cost of 127%. When the costs of importing and exporting allografts were combined, the total change in costs for all nine organ procurement organizations was $11 011 321 after Share 35 implementation. Extrapolating these costs nationally resulted in an increased yearly cost of $68 820 756 by population or $55 056 605 by number of organ donors. Any alternative allocation proposal needs to account for the financial implications to the transplant infrastructure. PMID:26372681

  18. Upstream Financial Review of the Global Oil and Natural Gas Industry

    EIA Publications

    2016-01-01

    This analysis focuses on financial and operating trends of the oil and natural gas production business segment, often referred to as upstream operations, of 42 global oil and natural gas producing companies

  19. Perceptions of the software skills of graduates by employers in the financial services industry

    NASA Astrophysics Data System (ADS)

    Kyng, Tim; Tickle, Leonie; Wood, Leigh N.

    2013-12-01

    Software, particularly spreadsheet software, is ubiquitous in the financial services workplace. Yet little is known about the extent to which universities should, and do, prepare graduates for this aspect of the modern workplace. We have investigated this issue through a survey of financial services employers of graduates, the results of which are reported in this paper, as well as surveys of university graduates and academics, reported previously. Financial services employers rate software skills as important, would like their employees to be more highly skilled in the use of such software, and tend to prefer 'on-the-job' training rather than university training for statistical, database and specialized actuarial/financial software. There is a perception among graduates that employers do not provide adequate formal workplace training in the use of technical software.

  20. 17 CFR 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... prescribing minimum financial and related reporting requirements for all its members who are registered... minimum financial and related reporting requirements for all its members who are registered introducing... adopt, and submit for Commission approval, rules prescribing minimum financial and related...

  1. 77 FR 61006 - Request for Notification From Industry Organizations Interested in Participating in the Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-05

    ... HUMAN SERVICES Food and Drug Administration Request for Notification From Industry Organizations Interested in Participating in the Selection Process for Nonvoting Industry Representatives and Request for Nominations for Nonvoting Industry Representatives on the Tobacco Products Scientific Advisory...

  2. 76 FR 56205 - Request for Notification From Industry Organizations Interested in Participating in the Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-12

    ... HUMAN SERVICES Food and Drug Administration Request for Notification From Industry Organizations Interested in Participating in the Selection Process for Nonvoting Industry Representatives and Request for Nominations for Nonvoting Industry Representatives on the Tobacco Products Scientific Advisory...

  3. 77 FR 58194 - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-19

    ... Change Relating to Financial Reporting by Canadian Clearing Members September 13, 2012. Pursuant to... Rules relating to financial reporting by Canadian clearing members to reflect the Investment Industry Regulatory Organization of Canada's (``IIROC'') adoption of the International Financial Reporting...

  4. Financial Neutrality for Living Organ Donors: Reasoning, Rationale, Definitions, and Implementation Strategies.

    PubMed

    Hays, R; Rodrigue, J R; Cohen, D; Danovitch, G; Matas, A; Schold, J; LaPointe Rudow, D

    2016-07-01

    In the United States, live organ donation can be a costly and burdensome undertaking for donors. While most donation-related medical expenses are covered, many donors still face lost wages, travel expenses, incidentals, and potential for future insurability problems. Despite widespread consensus that live donors (LD) should not be responsible for the costs associated with donation, little has changed to alleviate financial burdens for LDs in the last decade. To achieve this goal, the transplant community must actively pursue strategies and policies to eliminate unreimbursed out-of-pocket costs to LDs. Costs should be more appropriately distributed across all stakeholders; this will also make live donation possible for people who, in the current system, cannot afford to proceed. We propose the goal of LD "financial neutrality," offer an operational definition to include the coverage/reimbursement of all medical, travel, and lodging costs, along with lost wages, related to the act of donating an organ, and guidance for consideration of medical care coverage, and wage and other expense reimbursement. The intent of this report is to provide a foundation to inform discussion within the transplant community and to advance initiatives for policy and resource allocation. PMID:27037542

  5. [Purification of complicated industrial organic waste gas by complex absorption].

    PubMed

    Chen, Ding-Sheng; Cen, Chao-Ping; Tang, Zhi-Xiong; Fang, Ping; Chen, Zhi-Hang

    2011-12-01

    Complicated industrial organic waste gas with the characteristics of low concentration,high wind volume containing inorganic dust and oil was employed the research object by complex absorption. Complex absorption mechanism, process flow, purification equipment and engineering application were studied. Three different surfactants were prepared for the composite absorbent to purify exhaust gas loaded with toluene and butyl acetate, respectively. Results show that the low surface tension of the composite absorbent can improve the removal efficiency of toluene and butyl acetate. With the advantages of the water film, swirl plate and fill absorption device, efficient absorption equipment was developed for the treatment of complicated industrial organic waste gas. It is with superiorities of simple structure, small size, anti-jam and high mass transfer. Based on absorption technology, waste gas treatment process integrated with heating stripping, burning and anaerobic and other processes, so that emissions of waste gas and absorption solution could meet the discharge standards. The technology has been put into practice, such as manufacturing and spraying enterprises. PMID:22468539

  6. Source assessment of hexachlorobenzene from the organic chemical manufacturing industry.

    PubMed

    Jacoff, F S; Scarberry, R; Rosa, D

    1986-01-01

    The Office of Solid Waste of the US Environmental Protection Agency determines the hazards of wastes produced by the organic chemical manufacturing industry. Based on these determinations, regulations have been laid down for many wastes under the Resource Conservation and Recovery Act. Additional wastes from this industry will be considered for regulation following further study and evaluation. Among the wastes under study are hexachlorobenzene (HCB)-containing wastes. Although HCB is no longer manufactured in the USA, the US Environmental Protection Agency has estimated that approximately 4130 t are generated annually as a by-product in the production of chlorinated organics and pesticides. Of this total, about 77% (3178 t) is generated from the production of three chlorinated solvents: tetrachloroethylene, carbon tetrachloride and trichloroethylene. All wastewater containing HCB is treated biologically in surface impoundments, resulting in HCB accumulation in the biological sludge. Disposal methods for HCB-containing sludges and distillation bottoms are incineration and landfilling, with 81% (3345 t) being incinerated and 19% (785 t) going to landfills. PMID:3596719

  7. The Determinants of Research and Development Investment in the Pharmaceutical Industry: Focus on Financial Structures

    PubMed Central

    Lee, Munjae; Choi, Mankyu

    2015-01-01

    Objectives This study analyzes the influence of the financial structure of pharmaceutical companies on R&D investment to create a next-generation profit source or develop relatively cost-effective drugs to maximize enterprise value. Methods The period of the empirical analysis is from 2000 to 2012. Financial statements and comments in general and internal transactions were extracted from TS-2000 of the Korea Listed Company Association (KLCA), and data related to stock price is extracted from KISVALUE-Ⅲ of NICE Information Service Co., Ltd. Stata 12.0 was used as the statistical package for panel analysis. Results The current ratio had a positive influence on R&D investment, the debt ratio had a negative influence on R&D investment, and return on investment and net sales growth rate did not have a significant influence on R&D investment. Conclusion It was found in this study that the higher liquidity ratio, the greater the R&D investment. The stability of pharmaceutical companies has a negative influence on R&D investment. This finding is consistent with the prediction that if a company faces a financial risk, it will be passive in R&D investment due to its financial difficulties. PMID:26730355

  8. FCS Academic Programs and Financial Planning Industry: Partnering to Meet Growing Demand

    ERIC Educational Resources Information Center

    Lytton, Ruth H.; Grable, John E.

    2004-01-01

    Since the turn of the 20th century and the coalescence of home economics, the use of money within the household has been an issue of study. Now known as family and consumer sciences (FCS), the profession can boast of a century of financial education of youth and adults in a variety of formal and informal settings. In recent decades, financial…

  9. Mergers and acquisitions in Western European health care: exploring the role of financial services organizations.

    PubMed

    Angeli, Federica; Maarse, Hans

    2012-05-01

    Recent policy developments in Western European health care - for example in the Netherlands - aim to enhance efficiency and curb public expenditures by strengthening the role of private sector. Mergers and acquisitions (M&As) play an important role in this respect. This article presents an analysis of 1606 acquisition deals targeting health care provider organizations in Western Europe between 1990 and 2009. We particularly investigate the role of financial services organisations as acquirers. Our analysis highlights (a) a rise of M&As in Western Europe since 2000, (b) an increase of M&As with financial service organisations acting as acquirer in absolute terms, and (c) a dominant role of the latter type of M&As in cross-border deals. To explain these developments, we make a distinction between an integration and a diversification rationale for M&As and we argue that the deals with financial services organisations in the role of acquirer are driven by a diversification rationale. We then provide arguments why health care, from the acquirer's perspective, can be considered as an interesting target in a diversification strategy and we advance reasons why health care providers may welcome this development. Although caution in drawing conclusions is needed, our findings suggest a penetration of private capital into health care provision that may be interpreted as a specific form of privatisation. Furthermore, they point to a rising internationalisation of health care. Both findings may entail far-reaching implications for health care, as they may induce both cultural privatisation and cultural internationalisation. PMID:22440195

  10. Development of the National Living Donor Assistance Center: reducing financial disincentives to living organ donation.

    PubMed

    Warren, Patricia H; Gifford, Kimberly A; Hong, Barry A; Merion, Robert M; Ojo, Akinlolu O

    2014-03-01

    Over the years, the transplant community has worked to advance the care of living organ donors; however, barriers remain, including the nonmedical expenses incurred by living donors. A new center, funded by a grant from the Health Resources and Services Administration (HRSA), was established to operate a nationwide system to remove these financial disincentives. The HRSA grant was awarded to an academic institution and the daily operations are managed by a transplant professional society. Expenses are reimbursed prospectively for financially needy living donors. Combining the legislative authority and economic resources of the federal government, the research experience of an academic institution, and the management know-how of a professional society has proven to be successful. To date, the center has received 3918 applications submitted by 199 different transplant centers and receives about 80 applications per month. On average, a donor spends $2767 for their travel expenses to the transplant center. Of the 3918 applications that have been submitted, 1941 of those applicants (50%) have completed their donor surgery. PMID:24598569

  11. Development of the National Living Donor Assistance Center: reducing financial disincentives to living organ donation

    PubMed Central

    Warren, Patricia H.; Gifford, Kimberly A.; Hong, Barry A.; Merion, Robert M.; Ojo, Akinlolu O.

    2015-01-01

    Over the years, the transplant community has worked to advance the care of living organ donors; however, barriers remain, including the nonmedical expenses incurred by living donors. A new center, funded by a grant from the Health Resources and Services Administration (HRSA), was established to operate a nationwide system to remove these financial disincentives. The HRSA grant was awarded to an academic institution and the daily operations are managed by a transplant professional society. Expenses are reimbursed prospectively for financially needy living donors. Combining the legislative authority and economic resources of the federal government, the research experience of an academic institution, and the management know-how of a professional society has proven to be successful. To date, the center has received 3918 applications submitted by 199 different transplant centers and receives about 80 applications per month. On average, a donor spends $2767 for their travel expenses to the transplant center. Of the 3918 applications that have been submitted, 1941 of those applicants (50%) have completed their donor surgery. PMID:24598569

  12. [Assessment of financial performance improves the quality of healthcare provided by medical organizations].

    PubMed

    Afek, Arnon; Meilik, Ahuva; Rotstein, Zeev

    2009-01-01

    Today, medical organizations have to contend with a highly competitive environment, an atmosphere saturated with a multitude of innovative new technologies and ever-increasing costs. The ability of these organizations to survive and to develop and expand their services mandates adoption of management guidelines based on the world of finance/commerce, adapted to make them relevant to the world of medical service. In this article the authors chose to present a management administration assessment which is a process that ensures that the management will effectively administer the organization's resources, and meet the goals set by the organization. The system demands that hospital "centers of responsibility" be defined, a management information system be set up, activities be priced, budget be defined and the expenses assessed. These processes make it possible to formulate a budget and assess any possible deviation between the budget and the actual running costs. An assessment of deviations will reveal any possible deviation of the most significant factor--efficiency. Medical organization managers, with the cooperation of the directors of the "centers of responsibility", can assess subunit activities and gain an understanding of the significance of management decisions and thus improve the quality of management, and the medical organization. The goal of this management system is not only to Lower costs and to meet the financial goals that were set; it is a tool that ensures quality. Decreasing expenditure is important in this case, but is only secondary in importance and will be a result of reducing the costs incurred by services lacking in quality. PMID:19320392

  13. 17 CFR 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... obligation to segregate customer funds, risk management requirements, financial reporting requirements... compliance with the minimum financial and related reporting requirements and risk management requirements... management requirements for futures commission merchant member registrants that shall be the same as, or...

  14. 78 FR 52197 - Office of the Assistant Secretary for Financial Resources, Statement of Organization, Functions...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-22

    ...(ASFR), as last amended at 76 FR19774-19776 dated April 8, 2011; 75 FR 369-370, dated January 5, 2010... Statements and Audit (AMS12) Division of Financial Reporting and Analysis (AMS13) Division of Accounting... standards of financial management activities; (4) Provides financial statement review and analyses for...

  15. Attitudes toward Financial Incentives, Donor Authorization, and Presumed Consent among Next-of-Kin Who Consented vs. Refused Organ Donation

    PubMed Central

    Rodrigue, James R.; Cornell, Danielle L.; Howard, Richard J.

    2008-01-01

    Background Financial incentives, donor authorization, and presumed consent are strategies designed to increase organ donation rates. Surveys designed to assess attitudes toward these initiatives have been conducted with the general public, transplant patients, and transplant professionals. Methods To assess attitudes toward financial incentives, donor authorization, and presumed consent and to identify multivariate predictors of such attitudes, we conducted telephone interviews with 561 family members who had recently been asked for consent to donate the organs of a deceased family member (348 donors, 213 nondonors). Results Financial incentives would have made a difference in the donation decision for 54% of nondonors (vs. 46% of donors, P = 0.02), and a higher percentage of nondonors would themselves become donors if financial incentives were available (P = 0.03). Donors had significantly more favorable attitudes toward donor authorization (P < 0.0001) and presumed consent (P < 0.0001) policies. Overall, 54% of participants thought that family permission for donation was unnecessary when the deceased documented their donation intention, and 24% favored a presumed consent law with an opting out provision. Conclusions Of the three initiatives, donor authorization is likely supported by more donor and nondonor families than either financial incentives or presumed consent. Public education efforts should aim to better inform the public regarding existing and proposed donor authorization legislation and its benefits for registered organ donors and their families. PMID:16699449

  16. 9 CFR 11.41 - Reporting required of horse industry organizations or associations.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 9 Animals and Animal Products 1 2013-01-01 2013-01-01 false Reporting required of horse industry... INSPECTION SERVICE, DEPARTMENT OF AGRICULTURE ANIMAL WELFARE HORSE PROTECTION REGULATIONS § 11.41 Reporting required of horse industry organizations or associations. Each horse industry organization or...

  17. 9 CFR 11.41 - Reporting required of horse industry organizations or associations.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 9 Animals and Animal Products 1 2011-01-01 2011-01-01 false Reporting required of horse industry... INSPECTION SERVICE, DEPARTMENT OF AGRICULTURE ANIMAL WELFARE HORSE PROTECTION REGULATIONS § 11.41 Reporting required of horse industry organizations or associations. Each horse industry organization or...

  18. 9 CFR 11.41 - Reporting required of horse industry organizations or associations.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 9 Animals and Animal Products 1 2014-01-01 2014-01-01 false Reporting required of horse industry... INSPECTION SERVICE, DEPARTMENT OF AGRICULTURE ANIMAL WELFARE HORSE PROTECTION REGULATIONS § 11.41 Reporting required of horse industry organizations or associations. Each horse industry organization or...

  19. 9 CFR 11.41 - Reporting required of horse industry organizations or associations.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 9 Animals and Animal Products 1 2012-01-01 2012-01-01 false Reporting required of horse industry... INSPECTION SERVICE, DEPARTMENT OF AGRICULTURE ANIMAL WELFARE HORSE PROTECTION REGULATIONS § 11.41 Reporting required of horse industry organizations or associations. Each horse industry organization or...

  20. 9 CFR 11.41 - Reporting required of horse industry organizations or associations.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 9 Animals and Animal Products 1 2010-01-01 2010-01-01 false Reporting required of horse industry... INSPECTION SERVICE, DEPARTMENT OF AGRICULTURE ANIMAL WELFARE HORSE PROTECTION REGULATIONS § 11.41 Reporting required of horse industry organizations or associations. Each horse industry organization or...

  1. Financial reporting system outline of key issues in the energy industries

    SciTech Connect

    1981-01-01

    An outline is provided of key energy policy issues and topics that may be pertinent to potential uses of data collected by the Energy Information Administration's Financial Reporting System (FRS). The outline is submitted in fulfillment of Task I of contract no. DE-AC01-81EI-10752. The outline will be followed in Task II by bibliographic search of the current literature on these key issues and in subsequent Tasks by an analysis of the applicability of FRS data to the relevant issues.

  2. 7 CFR 1260.113 - Established national nonprofit industry-governed organizations.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 7 Agriculture 10 2010-01-01 2010-01-01 false Established national nonprofit industry-governed... national nonprofit industry-governed organizations. Established national nonprofit industry-governed... directors representing the cattle or beef industry on a national basis; and (c) Were active and...

  3. 75 FR 66382 - Request for Notification From Industry Organizations Interested in Participating in the Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-28

    ... HUMAN SERVICES Food and Drug Administration Request for Notification From Industry Organizations Interested in Participating in the Selection Process for Nonvoting Industry Representatives on Public... Committees and Panels AGENCY: Food and Drug Administration, HHS. ACTION: Notice. SUMMARY: The Food and...

  4. 76 FR 60506 - Request for Notification From Industry Organizations Interested in Participating in the Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-29

    ... may either be self-nominated or nominated by an organization to serve as a nonvoting industry... organization interested in participating in the selection of an appropriate nonvoting member to represent... biological products. II. Selection Procedure Any industry organization interested in participating in...

  5. A Survey of Industrial Organic Chemists: Understanding the Chemical Industry's Needs of Current Bachelor-Level Graduates

    ERIC Educational Resources Information Center

    Fair, Justin D.; Kleist, Elyse M.; Stoy, Dylan M.

    2014-01-01

    A survey was conducted of companies from the chemical industry with an emphasis on the organic division. The data include results from 377 respondents from more than 100 different companies. More than half of all undergraduates gain fulltime work in the chemical industry or government after graduating with a bachelor's degree in chemistry.…

  6. Academic-Industry Collaboration under Federal Grants and Cooperative Agreements: Financial, Administrative, and Regulatory Compliance

    ERIC Educational Resources Information Center

    Ferreira, William F.

    2011-01-01

    Federal sponsorship of collaboration between academic institutions and industry is on the rise. Many government programs emphasize cooperation between universities and the commercial sector as a means to merge basic and applied research, promote economic development, and enhance knowledge dissemination. The intersection between academia and…

  7. 76 FR 32367 - Draft Guidance for Clinical Investigators, Industry, and FDA Staff: Financial Disclosure by...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-06

    ... notice that appeared in the Federal Register of May 24, 2011 (76 FR 30175). The document announced the...-0002, 301-796-9148. SUPPLEMENTARY INFORMATION: In FR Doc. 2011-12623, appearing on page 30175, in the... HUMAN SERVICES Food and Drug Administration Draft Guidance for Clinical Investigators, Industry, and...

  8. The Personnel, Material and Financial Resources of the Library Systems of 311 Industrial Corporations.

    ERIC Educational Resources Information Center

    Jackson, Eugene B.; Jackson, Ruth L.

    An indepth study of the FORTUNE 500 Corporations' libraries has revealed consistent characteristics across 27 industrial classifications, some of which parallel the divisions of professional associations, such as the Special Libraries Association. Partial profiles of Pharmaceutical, Aircraft, and Food Libraries are given as examples, with the…

  9. 77 FR 19666 - Office of Financial Resources; Statement of Organization, Functions, and Delegations of Authority

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-02

    ... amended as Chapter AM, Office of Financial Resources, as last amended at 76 FR 69741-42, dated November 9, 2011, 74 FR 57679-82, dated November 9, 2009, and 74 FR 18238-39, dated April 21, 2009. This... HUMAN SERVICES Office of the Secretary Office of Financial Resources; Statement of...

  10. A comparative financial analysis of multi-institutional organizations by ownership type.

    PubMed

    Coyne, J S

    1985-01-01

    Concern about future directions in healthcare exists, with corporate consolidation seen as likely and necessary. To understand this transformation, the author examines the financial growth trends among the nation's leading corporate providers. Investor-owned (IO) and not-for-profit (NFP) firms are compared using audited data on four financial accounts (assets, debt, equity and income) and three financial ratios (liquidity, leverage, and profitability). The author analyzes financial trends from 1978 to 1982 and looks beyond the significant differences in the balance sheet and income statement accounts to a significant similarity in ratio trends between the NFP and the IO firms' financial conditions. The implications of these findings are discussed in terms of future forms of corporate providers. PMID:10274570

  11. 78 FR 63989 - Request for Notification From Industry Organizations Interested in Participating in the Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-25

    ...The Food and Drug Administration (FDA) is requesting that industry organizations interested in participating in the selection of a nonvoting industry representative to represent the interests of the tobacco manufacturing industry on the Tobacco Products Scientific Advisory Committee for the Center for Tobacco Products, notify FDA in writing. A nominee may either be self-nominated or nominated......

  12. 78 FR 79700 - Request for Notification From Industry Organizations Interested in Participating in Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-31

    ...The Food and Drug Administration (FDA) is requesting that any industry organizations interested in participating in the selection of a nonvoting industry representative to serve on the Food Advisory Committee for the Center for Food Safety and Applied Nutrition (CFSAN) notify FDA in writing. FDA is also requesting nominations for nonvoting industry representatives to serve on the Food Advisory......

  13. 76 FR 45582 - Request for Notification From Industry Organizations Interested in Participating in the Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-29

    ...The Food and Drug Administration (FDA) is requesting that any industry organizations interested in participating in the selection of nonvoting industry representatives to serve on its public advisory committees for the Center for Drug Evaluation and Research (CDER) notify FDA in writing. FDA is also requesting nominations for nonvoting industry representatives to serve on CDER's public......

  14. 29 CFR 401.10 - Labor organization engaged in an industry affecting commerce.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... commerce. 401.10 Section 401.10 Labor Regulations Relating to Labor OFFICE OF LABOR-MANAGEMENT STANDARDS... organization engaged in an industry affecting commerce. A labor organization shall be deemed to be engaged in an industry affecting commerce if it: (a) Is the certified representative of employees under...

  15. 29 CFR 401.10 - Labor organization engaged in an industry affecting commerce.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... commerce. 401.10 Section 401.10 Labor Regulations Relating to Labor OFFICE OF LABOR-MANAGEMENT STANDARDS... organization engaged in an industry affecting commerce. A labor organization shall be deemed to be engaged in an industry affecting commerce if it: (a) Is the certified representative of employees under...

  16. 29 CFR 401.10 - Labor organization engaged in an industry affecting commerce.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... commerce. 401.10 Section 401.10 Labor Regulations Relating to Labor OFFICE OF LABOR-MANAGEMENT STANDARDS... organization engaged in an industry affecting commerce. A labor organization shall be deemed to be engaged in an industry affecting commerce if it: (a) Is the certified representative of employees under...

  17. 76 FR 67466 - Request for Notification From Industry Organizations Interested in Participating in the Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-01

    ...The Food and Drug Administration (FDA) is requesting that any industry organization interested in participating in the selection of nonvoting industry representatives to serve on the National Mammography Quality Assurance Advisory Committee (NMQAAC) in the Center for Devices and Radiological Health notify FDA in writing. A nominee may either be self-nominated or nominated by an organization to......

  18. Findings of the rechargeable battery study sponsored by NATIBO (North American technology and industrial base organization)

    NASA Astrophysics Data System (ADS)

    Gucinski, James A.; Slack, Michael

    This paper summarizes and updates the findings of the North American technology and industrial base organization (NATIBO) study entitled "Rechargeable Battery/Systems for Communication/Electronic Application". The mission of the NATIBO organization is to promote a cost effective and healthy technology and industrial base that is responsive to the national and economical security needs of the United States and Canada.

  19. 29 CFR 401.10 - Labor organization engaged in an industry affecting commerce.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... commerce. 401.10 Section 401.10 Labor Regulations Relating to Labor OFFICE OF LABOR-MANAGEMENT STANDARDS... organization engaged in an industry affecting commerce. A labor organization shall be deemed to be engaged in an industry affecting commerce if it: (a) Is the certified representative of employees under...

  20. 78 FR 65151 - Modification of Financial Reporting Requirements for Non-Profit Organizations

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-31

    ... revised interim rule (70 FR 73887) implementing the CDFI Program (the current rule). Current Financial... FURTHER INFORMATION CONTACT: Adam Martinez, Program Manager, CDFI Program, by mail to the CDFI...

  1. Financial barriers to the use of solar-industrial-process heat

    SciTech Connect

    Not Available

    1981-03-01

    Industry concerns about solar process heat, attitudes toward investment in solar process heat, and decision processes and factors are reported. Four cases were selected from among 30 potential solar process heat installations that had been carried through the design stage, and case was analyzed using discounted cash flow to determine what internal rate of return would be earned under current tax laws over 10 years. No case showed any significant rate of return from capital invested in the solar installation. Several possible changes in the cost of solar equipment, its tax treatment or methods of financing were tested through computer simulation. A heavy load of extra tax incentives can improve the return on an investment, but such action is not recommended because they are not found to induce adoption of solar process heat, and if they were effective, capital may be drawn away from applications such as conservation were the potential to improve the nation's energy dilemma is greater. Tax shelter financing through limited partnership may be available. (LEW)

  2. IDENTIFICATION OF ORGANIC COMPOUNDS IN INDUSTRIAL EFFLUENT DISCHARGES

    EPA Science Inventory

    Samples of 63 effluent and 22 intake waters were collected from a wide range of chemical manufacturers in areas across the United States. The samples were analyzed for organic compounds in an effort to identify previously unknown and potentially hazardous organic pollutants. Each...

  3. 77 FR 57570 - Request for Notification From Industry Organizations Interested in Participating in the Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-18

    ... Committee. A nominee may either be self-nominated or nominated by an organization to serve as a nonvoting.... DATES: Any industry organization interested in participating in the selection of an appropriate... organization interested in participating in the selection of an appropriate nonvoting member to...

  4. Safety and reliability in industrial organizations - The key factors

    SciTech Connect

    Cooke, R.A. ); Sarkis, H.D. )

    1992-01-01

    A survey-based technique has been developed that measures and generates comparative data on important organizational, work group, and job-level variables that are directly related to on-the-job accidents. This paper describes the results of an analysis of data from more than 2,700 employees in the chemical, oil, construction, and wood products industries. These analyses indicate that several key variables are significantly related to accidents in the workplace.

  5. 76 FR 81551 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-28

    ... Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules December 21, 2011. I... its Order Audit Trail System (``OATS'') rules to require certain information be reported to OATS and...\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 65692 (Nov. 4, 2011), 76 FR 70195....

  6. 76 FR 71404 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-17

    ... Immediate Effectiveness of Proposed Rule Change Relating to the Order Audit Trail System Definitions of...\\ \\5\\ See Securities Exchange Act Release No. 65523 (October 7, 2011); 76 FR 64154 (October 17, 2011... trading'' in NYSE Rule 132B. In connection with the extension of FINRA's Order Audit Trail System...

  7. 75 FR 70757 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-18

    ... Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks November... Order Audit Trail System rules to extend the recording and reporting requirements to all NMS stocks and... Securities Exchange Act Release No. 62739 (August 18, 2010), 75 FR 52380. \\3\\ See letter from Steve...

  8. 76 FR 37384 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-27

    ... Immediate Effectiveness of Proposed Rule Change Relating to Exemptions from the Order Audit Trail System... (September 28, 2005), 70 FR 57909 (October 4, 2005). \\5\\ See Securities Exchange Act Release No. 53580 (March 30, 2006), 71 FR 17529 (April 6, 2006). In 2006, the exemptive provision was also relocated from...

  9. 76 FR 15352 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-21

    ... amendments. \\3\\ See Securities Exchange Act Release No. 61566 (February 22, 2010), 75 FR 9262 (March 1, 2010... 2010). \\4\\ See Securities Exchange Act Release No. 63223 (November 1, 2010), 75 FR 68654 (November 8... transactions.'' See Securities Act Release No. 9150 (October 13, 2010), 75 FR 64182, 64183 (October 19,...

  10. 77 FR 63908 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-17

    ... connection with an initial public offering (``IPO'') of an EGC that: Restricts, based on functional role... from participating in any communication with the management of an EGC that is also attended by any... respect to the securities of an EGC either: within any prescribed period of time following the IPO date...

  11. 78 FR 20708 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-05

    ... Securities Exchange Act Release No. 64795 (July 1, 2011), 76 FR 39927 (July 7, 2011) (Order Granting... also Securities Exchange Act Release No. 67453 (July 18, 2012), 77 FR 48208 (August 13, 2012) (Further...), 76 FR 42755 (July 19, 2011) (Notice of Filing and Immediate Effectiveness of Proposed Rule...

  12. 76 FR 72736 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-25

    .... \\3\\ See Securities Exchange Act Release No. 65459 (September 30, 2011), 76 FR 62128 (``Notice''). \\4... Release No. 61566 (February 22, 2010), 75 FR 9262 (March 1, 2010) (order approving File No. SR-FINRA-2009.... 61566 (February 22, 2010), 75 FR 9262 (March 1, 2010) (order approving File No. SR-FINRA-2009-065)....

  13. 78 FR 12405 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-22

    ... application. \\4\\ See Securities Exchange Act Release No. 67240 (June 22, 2012), 77 FR 38694 (June 28, 2012..., 2012), 77 FR 44298 (July 27, 2012) (Notice of Filing and Immediate Effectiveness of...

  14. 76 FR 27707 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-12

    ... Release No. 62251 (June 10, 2010), 75 FR 34183 (June 16, 2010) (Order Approving File No. SR- FINRA-2010-025). \\4\\ See Securities Exchange Act Release No. 62883 (September 10, 2010), 75 FR 56608 (September... exchanges.\\8\\ \\7\\ See Securities Exchange Act Release No. 63255 (November 5, 2010), 75 FR 69484 (November...

  15. 75 FR 28841 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-24

    ... Act Release No. 58753 (October 8, 2008), 73 FR 61177 (October 15, 2008) (Notice of Filing and... Proposed Rule Change To Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) May 19... Halts Due to Extraordinary Market Volatility) to permit FINRA to halt trading by FINRA members...

  16. 78 FR 70602 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-26

    ... Asset- Backed Securities November 20, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act... Engine (``TRACE'') dissemination protocols to disseminate additional Asset-Backed Securities transactions...-name as ``Securitized Products'' the broad group of securities currently defined as ``Asset-...

  17. 76 FR 55443 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-07

    ... operations of a broker-dealer. \\6\\ See Securities Exchange Act Release No. 64687 (June 16, 2011), 76 FR 36586...)(6), the rule change adopted NASD Rule 1120 (Continuing Education Requirements) as new FINRA Rule 1250 (Continuing Education Requirements) with certain changes, including expanding the scope...

  18. 77 FR 38866 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-29

    ... (July 26, 1995), 60 FR 39200 (August 1, 1995) (Notice of Filing and Immediate Effectiveness of File No...\\ See Securities Exchange Act Release No. 59916 (May 13, 2009), 74 FR 23750 (May 20, 2009) (Order...), 72 FR 42169 (August 1, 2007) (Order Approving File No. SR- NASD-2007-023). \\10\\ See supra note...

  19. 75 FR 30457 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-01

    ... Law, attendance in person or by proxy of one-third of FINRA members currently constitutes a quorum at... quorum necessary to take action where a separate vote by a class or group of members is required and the... by a class or group or classes or groups is required, a majority of the members of such class...

  20. 76 FR 40412 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-08

    ... No. 58643 (September 25, 2008), 73 FR 57174 (October 1, 2008) (Order Approving File No. SR- FINRA-2008-029); and Securities Exchange Act Release No. 63999 (March 1, 2011), 76 FR 12380 (March 7, 2011... for website viewing and printing in the Commission's Public Reference Room, 100 F Street,...

  1. 75 FR 39610 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-09

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE.... Online Form NMA July 1, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act... of Substance of the Proposed Rule Change FINRA is proposing to amend online Form NMA,...

  2. 76 FR 65546 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-21

    ... areas.\\5\\ \\4\\ See Securities Exchange Act Release No. 64687 (June 16, 2011), 76 FR 36586 (June 22, 2011... Exchange Act Release No. 65222 (August 30, 2011), 76 FR 55443 (September 7, 2011) (Notice of Filing and... Release No. 65221 (August 30, 2011), 76 FR 55441 (September 7, 2011) (Notice of Filing and...

  3. 78 FR 62784 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ....19b-4. \\3\\ See Securities Exchange Act Release No. 70276 (August 28, 2013), 78 FR 54502 (``Notice... Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Wash...

  4. 75 FR 36461 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-25

    ... card, credit card, checking account, or savings account). If such personal information were to be....215 (Security Measures for Data Collector that Accepts Payment Card; Use of Encryption; Liability...

  5. 76 FR 5850 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-02

    ... CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 63181 (October 26, 2010), 75 FR 67155... No. 61473 (February 2, 2010), 75 FR 6422 (February 9, 2010) (Order Approving File No. SR-FINRA-2009.... 62739 (August 18, 2010), 75 FR 52380 (August 25, 2010) (Notice of Filing of SR-FINRA-2010-044)....

  6. 76 FR 12380 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-07

    .... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ See Exchange Act Release No. 63375 (November 24, 2010), 75 FR... Release No. 60933 (November 4, 2009), 74 FR 58334 (November 12, 2009) (Order Granting Accelerated Approval... funds in a bank account established thereunder. For further discussion, see 74 FR 58334. See...

  7. 77 FR 55519 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-10

    ... Release No. 67079 (May 30, 2012), 77 FR 33522 (``Notice''). \\4\\ See Letters to Elizabeth M. Murphy... Securities Exchange Act Release No. 63895 (February 11, 2011), 76 FR 9386 (February 17, 2011). If the ``not... 5270 (Front Running of Block Transactions) With Changes in the Consolidated FINRA Rulebook September...

  8. 78 FR 28687 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-15

    ..., 2012), 77 FR 55519 (September 10, 2012) (Order Approving SR-FINRA- 2012-025) (``Approval Order''). The... FINRA Rule 5270 (Front Running of Block Transactions) May 9, 2013. Pursuant to Section 19(b)(1) of the..., 2013, as the implementation date of FINRA Rule 5270 (Front Running of Block Transactions) that...

  9. 77 FR 33522 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-06

    ... Release No. 25233 (December 30, 1987), 53 FR 296 (January 6, 1988). See also NASD Notice to Members 87-69... Release No. 46663 (October 15, 2002), 67 FR 64944 (October 22, 2002); see also NASD Notice to Members 02....'' See Securities Exchange Act Release No. 25233 (December 30, 1987), 53 FR 296 (January 6,...

  10. 76 FR 19155 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-06

    ....19b-4. \\3\\ See Exchange Act Release No. 62584 (July 28, 2010), 75 FR 45685 (August 3, 2010). \\4\\ See... Discovery Guide current as products change and new discovery issues arise.\\11\\ FINRA stated that it would... to allow practitioners time to gauge the efficacy of the new Discovery Guide.\\12\\ \\11\\ Id. \\12\\...

  11. 78 FR 4186 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-18

    ... Release No. 9354 (August 29, 2012), 77 FR 54464 (September 5, 2012) (Proposed Rule: Eliminating the... provisions relating to securities offered or sold pursuant to crowdfunding.\\5\\ Intermediaries in transactions involving the offer or sale of securities for the account of others pursuant to the crowdfunding...

  12. 77 FR 4599 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-30

    ... Proposed Rule Change and Partial Amendment No. 1 To Amend FINRA Rule 4560 (Short-Interest Reporting) January 24, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and... substantially prepared by FINRA. On January 20, 2012, FINRA filed Partial Amendment No. 1.\\3\\ The Commission...

  13. 75 FR 51147 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-18

    ... Proposed Rule Change To Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest... proposal to adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) (``Rule'') in...). \\2\\ 17 CFR 240.19b-4. \\3\\ Exchange Act Release No. 62199 (June 1, 2010), 75 FR 31825 (June 4,...

  14. 75 FR 40000 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-13

    ... Act Release No. 62160 (May 24, 2010), 75 FR 30457. The proposed rule change would amend FINRA's... such members.\\6\\ \\5\\ Del. Code Ann. tit. 8 Sec. 215(c) and (c)(1) (2010). \\6\\ See id. On August 1,...

  15. 75 FR 36756 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-28

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... Proposed Rule Change To Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) June 21, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')...

  16. 77 FR 70515 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-26

    ... Rule 7730(c)(1)(A), FINRA charges a Professional $60 per month, per display application per Data Set \\5... the applicable TRACE fee, which the vendor remits to FINRA. \\5\\ A Data Set is each of the FINRA... add the Data Set for Asset-Backed Securities, when dissemination of Agency-Pass Through...

  17. 78 FR 60003 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-30

    ... a Professional $60 per month, per display application per Data Set \\5\\ of Real-Time \\6\\ TRACE...-Time TRACE transaction data available in three Data Sets--the Corporate Bond Data Set, the Agency Data Set and the ABS Data Set. A fourth Data Set, the Rule 144A Data Set, will become available in...

  18. 75 FR 37488 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-29

    ... aspect of the proposal.\\25\\ One commenter stated that the proposal would lead to a more fair and orderly... also reiterated its position that the proposed cap on access fees is the fairest and most appropriate... that a flat access fee was the ``fairest and most appropriate solution to what has been a...

  19. 78 FR 56967 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-16

    ... Securities Exchange Act Release No. 70048 (July 26, 2013), 78 FR 46652. \\4\\ See Letter to Elizabeth M. Murphy, Secretary, Commission, from David Harris, Chairman and CEO, National Stock Exchange, Inc., dated September...

  20. 77 FR 33539 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-06

    ...\\ See Securities Exchange Act Release No. 66508 (March 2, 2012), 77 FR 14052. \\4\\ See March 14, 2012... public comment. \\6\\ See May 8, 2012, letter from Patricia Albrecht, Associate General Counsel, FINRA,...

  1. 77 FR 12635 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-01

    ... (June 16, 2011), 76 FR 36586 (June 22, 2011) (Order Approving Proposed Rule Change; File No. SR-FINRA-2011-013); Securities Exchange Act Release No. 65221 (August 30, 2011), 76 FR 55441 (September 7, 2011... No. 63310 (November 12, 2010), 75 FR 70760 (November 18, 2010) (Notice of Filing and...

  2. 75 FR 56608 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-16

    ... Release No. 62416 (June 30, 2010), 75 FR 39069 (July 7, 2010) (SR-FINRA-2010-033). Also on June 30, 2010... to expand the pilot program. See Securities Exchange Act Release Nos. 62407 (June 30, 2010), 75 FR 39060 (July 7, 2010); 62415 (June 30, 2010), 75 FR 39086 (July 7, 2010); 62409 (June 30, 2010), 75...

  3. 75 FR 74766 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-01

    ... other things, notice of dividends or other distributions of cash or securities, stock splits or reverse...\\ See Exchange Act Release No. 62434 (July 1, 2010; 75 FR 39603 (July 9, 2010); SR-FINRA-2009-089...

  4. 76 FR 9386 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-17

    .... 61168 (December 15, 2009); 74 FR 68084 (``Notice''). \\4\\ See Letter to Elizabeth Murphy, Secretary... definitional change, see Securities Exchange Act Release No. 61979 (April 23, 2010), 75 FR 23316 (May 3, 2010...), 72 FR 32926 (June 14, 2007) (Order Exempting Certain Error Correction Transactions from Rule 611...

  5. 76 FR 11829 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-03

    ... exceed or accumulate to more than: \\3\\ See Securities Exchange Act Release No. 62359, 75 FR 37488 (June..., Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. All...

  6. 78 FR 64566 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-29

    ... setting procedure and that the scores are an absolute standard independent of the performance of... the candidate's performance on each major content area covered on the examination.\\21\\ \\16\\ See..., Prospecting and Sales Presentation, 18 questions; 4. Evaluation of Customers, 13 questions; 5....

  7. 76 FR 38245 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-29

    ... Requirements). See Exchange Act Release No. 63260 (November 5, 2010), 75 FR 69508 (November 12, 2010) (Order... deletion of Incorporated NYSE Rule 410. See Exchange Act Release No. 63784 (January 27, 2011), 76 FR 5850... ultimately responsible for the performance of all necessary supervisory reviews. Proposed...

  8. 77 FR 35457 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-13

    ... Amendments No. 2 and No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3 to Adopt FINRA Rule 5123 (Private Placements of Securities) in the... From the Federal Register Online via the Government Publishing Office SECURITIES AND...

  9. 75 FR 5834 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-04

    ... Securities Exchange Act Release No. 61071 (November 30, 2009), 74 FR 64109 (December 7, 2009) (Order...), 74 FR 58334 (November 12, 2009) (Order Approving File No. SR- FINRA-2008-067). \\7\\ See Securities Exchange Act Release No. 60835 (October 16, 2009), 74 FR 54616 (October 22, 2009) (Order Approving File...

  10. 78 FR 4917 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-23

    ... service).\\4\\ The subscriber would be able to download the requested report(s) on demand.\\5\\ \\4\\ As with the free FINRA ADDS service, firms interested in TRACE Data Delivery Plus must subscribe per MPID. To... service is free, and there are no limits on the number of reports that a firm may request or the number...

  11. 76 FR 57784 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-16

    ... (September 25, 2008), 73 FR 57174 (October 1, 2008) (Order Approving File No. SR-FINRA-2008-021), discussing... (February 2, 2010), 75 FR 6422 (February 9, 2010) (Order Approving File No. SR-FINRA-2009-087). FINRA will... . Please include File Number SR-FINRA-2011-043 on the subject line. Paper Comments Send paper comments...

  12. 75 FR 51124 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-18

    ... Release Nos. 53519 (March 20, 2006), 71 FR 15229 (March 27, 2006) (SR-AMEX-2006-26); 53249 (February 7, 2006), 71 FR 8035 (February 15, 2006) (SR-PCX-2005- 138); 53407 (March 3, 2006), 71 FR 12764 (March 13, 2006) (SR-PHLX- 2006-12); 53439 (March 7, 2006), 71 FR 13643 (March 16, 2006) (SR- ISE-2006-11);...

  13. 77 FR 55517 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-10

    .... \\3\\ See Securities Exchange Act Release No. 67085 (May 31, 2012), 77 FR 33537 (``Notice''). \\4\\ See.../finra2012026.shtml . \\5\\ Securities Exchange Act Release No. 67471, 77 FR 43620 (July 25, 2012). \\6\\ See Letter... Exchange Act Release No. 63256 (November 5, 2010), 75 FR 69503 (November 12, 2010) (SR-FINRA-2010-055)....

  14. 75 FR 61541 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-05

    .... \\3\\ See Securities Exchange Act Release No. 50896 (Dec. 20, 2004), 69 FR 77804 (Dec. 28, 2004). \\4\\ See Securities Exchange Act Release No. 61690 (March 11, 2010), 75 FR 13176 (March 18, 2010... provision. See Securities Exchange Act Release No. 48701 (October 24, 2003), 68 FR 62126 (October 31,...

  15. 75 FR 56641 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-16

    ..., 2010), 75 FR 36725; 62331 (June 21, 2010), 75 FR 36746; 62332 (June 21, 2010), 75 FR 36749; 62333 (June 21, 2010), 75 FR 36759; 62334 (June 21, 2010), 75 FR 36732; 62335 (June 21, 2010), 75 FR 37494; 62336 (June 21, 2010), 75 FR 36743; 62337 (June 21, 2010), 75 FR 36739; 62338 (June 21, 2010), 75 FR...

  16. 75 FR 3768 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-22

    ... 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... is available on FINRA's Web site at http://www.finra.org , at the principal office of FINRA and...

  17. 75 FR 11972 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-12

    ... Act Release No. 61361 (January 14, 2010), 75 FR 3768. \\5\\ See letter from Tom Jordan, Advisory... executed within participating ATS dark pools on their respective Web sites. The New York Stock Exchange LLC... Business Member's Web site may not reflect 100 percent of that member's volume for that ATS dark...

  18. 78 FR 62862 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... No. 60997 (November 13, 2009), 74 FR 61208 (November 23, 2009). \\5\\ See 17 CFR 242.301(b)(5). The...\\ See Securities Exchange Act Release No. 40760 (December 8, 1998), 63 FR 70844, 70866, 70873 (December... Exchange Act Release No. 60997 (November 13, 2009), 74 FR 61208 (November 23, 2009). This lack...

  19. 75 FR 58004 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-23

    .... 50485 (October 1, 2004), 69 FR 60445 (October 8, 2004). \\6\\ See FINRA By-Laws, Schedule A, Sec. 1(b)(1...\\ See Securities Exchange Act Release No. 46416 (August 23, 2002), 67 FR 55901 (August 30, 2002) (Notice... permanent basis in 2003. See Securities Exchange Act Release No. 47946 (May 30, 2003), 68 FR 34021 (June...

  20. 76 FR 24942 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-03

    ... Securities Exchange Act Release No. 50485 (October 1, 2004), 69 FR 60445 (October 8, 2004); NASD Notice to... Exchange Act Release No. 46416 (August 23, 2002), 67 FR 55901 (August 30, 2002). \\6\\ See FINRA By-Laws... FR 62616 (November 30, 2009); see also Regulatory Notice 09-68 (November 2009). As FINRA noted...

  1. 75 FR 67421 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-02

    ... Exchange Act Release No. 50485 (October 1, 2004), 69 FR 60445 (October 8, 2004) (SR-NASD-2003-201). \\6\\ See...\\ See Securities Exchange Act Release No. 62927 (September 17, 2010), 75 FR 58004. II. Description of...), 68 FR 34021 (June 6, 2003) (SR-NASD-2002-148). \\9\\ 17 CFR 240.17d-2. \\10\\ See Securities Exchange...

  2. 75 FR 25020 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-06

    ... submitted to the FINRA/ Nasdaq TRF. \\7\\ See Securities Exchange Act Release No. 56007 (July 3, 2007), 72 FR... 25, 2008), 73 FR 57174 (October 1, 2008) (Order Approving File No. SR-FINRA- 2008-021). \\8\\ Trading... Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an e-mail to...

  3. 76 FR 82022 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-29

    ... (November 6, 2006), 71 FR 66354 (November 14, 2006); see also Securities Exchange Act Release No. 54715A (November 14, 2006), 71 FR 67183 (November 20, 2006). \\5\\ See Securities Exchange Act Release No. 63729 (January 18, 2011), 76 FR 4403 (January 25, 2011); Securities Exchange Act Release No. 61297 (January...

  4. 75 FR 8770 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-25

    ...), 74 FR 23912 (May 21, 2009) (Notice of Filing; File No. SR-FINRA-2009-028). FINRA will announce the... by any of the following methods: Electronic Comments Use the Commission's Internet comment form... Internet Web site ( http://www.sec.gov/rules/sro.shtml ). Copies of the submission, all...

  5. 77 FR 27527 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-10

    ....\\6\\ \\5\\ See Securities Exchange Act Release No. 46416 (August 23, 2002), 67 FR 55901 (August 30, 2002... also Securities Exchange Act Release No. 66287 (February 1, 2012), 77 FR 6161 (February 7, 2012); Securities Exchange Act Release No. 66276 (January 30, 2012), 77 FR 5613 (February 3, 2012). Because the...

  6. 75 FR 49542 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-13

    ... following methods: Electronic Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules... only one method. The Commission will post all comments on the Commission's Internet Web site ( http... From the Federal Register Online via the Government Publishing Office SECURITIES AND...

  7. 76 FR 51097 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-17

    ... occurred on May 6, 2010. See Securities Exchange Act Release No. 62252 (June 10, 2010), 75 FR 34186 (June..., 2011), 76 FR 38243 (June 29, 2011) (Order Approving File No. SR- FINRA-2011-023) (``Phase III''). \\6... Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an e-mail to...

  8. 78 FR 24261 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-24

    ...), 62 FR 37105 (July 10, 1997) (``Order Approving File No. SR-NASD-97-29''). \\5\\ ``If payments... fees by the issuer.\\7\\ \\6\\ See Securities Exchange Act Release No. 69195 (March 20, 2013), 78 FR 18393... Order''). \\7\\ See Securities Exchange Act Release No. 69335 (April 5, 2013), 78 FR 21681 (April 11,...

  9. 76 FR 36586 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-22

    ...\\ See Securities Exchange Act Release No. 64080 (March 14, 2011), 76 FR 15012 (March 18, 2011) (``Notice.... See Exchange Act Release No. 63999 (Mar. 1, 2011), 76 FR 12380 (Mar. 7, 2011). The rule becomes... models used for valuations'') and believes that the entire management chain of command at the...

  10. 76 FR 65307 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-20

    ...\\ \\5\\ See Securities Exchange Act Release No. 62359 (June 22, 2010), 75 FR 37488 (June 29, 2010) (File... (August 17, 2009), 74 FR 43207 (August 26, 2009) (Notice of Filing File No. SR-FINRA-2009-054). \\11\\ See..., whether submitted by an OTC Market Maker or an ATS.\\12\\ In addition, FINRA believes that expanding...

  11. 76 FR 60567 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-29

    ... report the trade. \\5\\ See Securities Exchange Act Release No. 58903 (November 5, 2008), 73 FR 67905... authority to exempt a member alternative trading system (``ATS'') that meets the specified criteria from the... not subsequently re-route the order, and executes the transaction. An ATS, which term...

  12. 77 FR 14454 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-09

    ... Release No. 65695 (November 4, 2011), 76 FR 70190 (November 10, 2011) (approving FINRA-2011-051). \\14\\ For... (``ATS'') that meets the specified criteria from the trade reporting obligation under the Rule 6700... broker- dealer, or a customer.'' \\5\\ An ATS, which term includes electronic communications networks, is...

  13. 76 FR 2739 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-14

    ... 16, 2006), 71 FR 67673 (November 22, 2006) (Order Approving Proposed Rule Change; File No. SR-NASD.... 59216 (January 8, 2009), 74 FR 2147 (January 14, 2009) (Notice of Filing and Immediate Effectiveness of... require reporting to Trade Reporting and Compliance Engine (``TRACE'') transactions in...

  14. 78 FR 54694 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-05

    .... 54768 (November 16, 2006), 71 FR 67673 (November 22, 2006) (Order Approving Proposed Rule Change; File... Exchange Act Release No. 59216 (January 8, 2009), 74 FR 2147 (January 14, 2009) (Notice of Filing and... January 7, 2011); Securities Exchange Act Release No. 63673 (January 7, 2011), 76 FR 2739 (January...

  15. 75 FR 39603 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-09

    ... Exchange Act Release No. 61189 (December 17, 2009), 74 FR 68648 (``Notice''). \\4\\ See Letter to Elizabeth M... investors; and/or (5) there is significant uncertainty in the settlement and clearance process for the... a threat to public investors; and/or (5) there is significant uncertainty in the settlement...

  16. 76 FR 25399 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-04

    ..., 2010.\\4\\ \\4\\ See Securities Exchange Act Rel. No. 63311 (November 12, 2010), 75 FR 70757 (November 18... FR 70757 (November 18, 2010) (SR-FINRA-2010-044). Since the publication of the Notice and the OATS.... \\6\\ 17 CFR 240.15c3-5. \\7\\ See Securities Exchange Act Release No. 63241 (November 3, 2010), 75...

  17. 76 FR 59759 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-27

    ... associated with FINRA members have attained specified levels of competence and knowledge, consistent with... Kingdom Securities Representative. The revised content outline also includes a knowledge section describing the underlying knowledge required to perform the major job functions and associated tasks and...

  18. 76 FR 59761 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-27

    ... associated with FINRA members have attained specified levels of competence and knowledge, consistent with... questions that assess knowledge of options since individuals wishing to sit for the Series 37 examination... performed by a Canada Securities Representative. The revised content outline also includes a...

  19. 76 FR 59757 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-27

    ... associated with FINRA members have attained specified levels of competence and knowledge, consistent with... Series 37 examination, the Series 38 examination does not include test questions that assess knowledge of... Securities Representative. The revised content outline also includes a knowledge section describing...

  20. 77 FR 74253 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-13

    .... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ See Exchange Act Release No. 60836 (Oct. 16, 2009), 74 FR 54614... of this proposal. See Exchange Act Release No. 63016 (Sep. 29, 2010), 75 FR 61793 (Oct. 6, 2010... Amendment Nos. 1 and 2, Relating to FINRA Rule 8210 (Provision of Information and Testimony and...

  1. 76 FR 11542 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-02

    ..., 2010), 75 FR 72850 (Nov. 26, 2010) (``Notice''). \\4\\ See Letters from Richard M. Garone, Travelers... Exchange Act Release No. 58845 (Oct. 24, 2008), 73 FR 64379 (Oct. 29, 2008) (Order Approving File No. SR... detailed below, the proposed rule change would eliminate the exemption in NASD Rule 3020 for...

  2. 77 FR 39313 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-02

    ... Securities Exchange Act Release No. 66364 (February 9, 2012), 77 FR 8938 (February 15, 2012) (Order Granting... Supplemental Statement of Income Required To Be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS... FOCUS Information). The text of the proposed rule change is available on FINRA's Web site at...

  3. 76 FR 70523 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-14

    ... Proposed Rule Change to Adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports November 7, 2011. Pursuant to Section 19(b... of the Proposed Rule Change FINRA is proposing to adopt FINRA Rule 4524 (Supplemental...

  4. 75 FR 62901 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-13

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... Immediate Effectiveness of Proposed Rule Change Relating to Online Filing of Arbitration Claims October 5... Arbitration Procedure, respectively (``Codes'') to update the rules relating to online filing of...

  5. 78 FR 72946 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-04

    ....19b-4. \\3\\ See Securities Exchange Act Release No. 70312 (Sept. 4, 2013), 78 FR 55322 (Sept. 10, 2013... beneficial interest will be eligible to purchase shares of a new issue will depend upon whether the...

  6. 78 FR 25331 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-30

    ... link to FINRA BrokerCheck, as prescribed by FINRA, on their Web sites, social media pages, and any comparable Internet presence, and on Web sites, social media pages, and any comparable Internet presence.... 68700 (Jan. 18, 2013), 78 FR 5542. \\4\\ See Letter from Charles Barker, dated Jan. 29, 2013; Letter...

  7. 75 FR 17806 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-07

    ... Exchange Act Release No. 60960 (November 6, 2009), 74 FR 59272 (``Notice''). \\4\\ See Letters from James R... Release No. 61359 (January 14, 2010), 75 FR 3772 (January 22, 2010) (approving SR-FINRA-2009-082... changes.\\32\\ \\29\\ See Securities Exchange Act Release No. 54389 (August 31, 2006), 71 FR 52829...

  8. 78 FR 76341 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-17

    ... Securities Exchange Act Release No. 46249 (July 24, 2002), 67 FR 49822 (July 31, 2002) (Order Approving File....611. \\8\\ See Securities Exchange Act Release No. 51808 (June 9, 2005), 70 FR 37496, 37501 (June 29, 2005) (``NMS Adopting Release''). \\9\\ NMS Adopting Release, 70 FR at 37541. \\10\\ NMS Adopting...

  9. 75 FR 41562 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-16

    ..., 2010), 75 FR 32519 (June 8, 2010). II. Description of the Proposal As part of the process of developing a new consolidated rulebook (``Consolidated FINRA Rulebook''),\\4\\ FINRA proposes to adopt (1) NASD... accounts, including strategy-based margin accounts and portfolio margin accounts. Maintenance...

  10. 76 FR 44645 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-26

    ... Proposed Rule Change To Amend FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That... proposing 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...

  11. 75 FR 2897 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-19

    ... 2830-2 (``IM-2830-2'') (Maintaining the Public Offering Price) and Incorporated NYSE Rule 413 (Uniform... Material 2830-2 (``IM-2830-2'') (Maintaining the Public Offering Price), and Incorporated NYSE Rule 413... NASD Rule 2450 (Installment or Partial Sales), NASD IM-2830-2 (Maintaining the Public Offering...

  12. 75 FR 8768 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-25

    ...), 75 FR 2897 (``Notice''). The Commission finds that the proposed rule change is consistent with the... 2830-2 (``IM-2830-2'') (Maintaining the Public Offering Price) and Incorporated NYSE Rule 413 (Uniform...), NASD Interpretive Material 2830-2 (``IM-2830-2'') (Maintaining the Public Offering Price),...

  13. 75 FR 72850 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-26

    ... the respective exchange. \\14\\ See Securities Exchange Act Release No. 58845 (October 24, 2008), 73 FR... achieving their intended purposes. \\33\\ Travelers. \\34\\ IBI. III. Date of Effectiveness of the Proposed...

  14. 77 FR 65434 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-26

    ... Immediate Effectiveness of Proposed Rule Change To Amend the Definition of ``Money Market Instrument'' in... the definition of TRACE-Eligible Security in FINRA Rule 6710(a) by amending the definition of ``Money... amend the definition of ``Money Market Instrument'' in FINRA Rule 6710(o) for purposes of the...

  15. 76 FR 9062 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Disapproving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-16

    ...), 75 FR 81704 (December 28, 2010). \\6\\ See Letter to Elizabeth M. Murphy, Secretary, Commission, from Stephanie M. Dumont, Senior Vice President and Director of Capital Markets Policy, FINRA, dated January 24...\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 63256 (November 5, 2010), 75 FR...

  16. 78 FR 29190 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-17

    ... President and Director of Capital Markets Policy, FINRA to the Commission dated May 7, 2013 (``FINRA... FINRA Rule 6420 (i.e., non-NMS stocks such as OTC Bulletin Board and OTC Market securities), are...), 78 FR 9963 (``Notice''). \\5\\ See Letter from Christopher Nagy, President, KOR Trading LLC...

  17. 75 FR 58007 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-23

    ... new rule language, arbitrators would be authorized to make mid-case referrals based on what they learn... Regulatory Activities; Arbitrator Referral During or at Conclusion of Case.'' Second, the current rule would...''), would be amended and moved to new subparagraph (e). In its place, FINRA would insert new rule...

  18. 76 FR 45631 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-29

    ... case if, after the initial panel's withdrawal, the second panel learned the same information and made....'' Second, the current rule would be rearranged to reflect the order in which an arbitrator may make a referral in an arbitration case. Subparagraph (a) would remain unchanged. The rule language in...

  19. 75 FR 9262 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-01

    ...\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 60860 (October 21, 2009), 74 FR 55600...), 74 FR 50991 (October 2, 2009) (approving SR-FINRA-2009-010). (1) In Rule 6710, amend the defined... FR 50991 (October 2, 2009) (approving SR-FINRA-2009- 010); FINRA Regulatory Notice 09-57...

  20. 75 FR 21063 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-22

    ... examinations. See Securities Exchange Act Release No. 61023 (Nov. 18, 2009), 74 FR 61402 (Nov. 24, 2009... Add a Reference to the Fees Assessed for the Series 51, 52 and 53 Examinations April 14, 2010... Schedule A to the FINRA By-Laws to add a reference to the fees assessed for the Series 51, Series 52...

  1. 75 FR 7532 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-19

    ... February 8, 2010. See also Securities Exchange Act Release No. 60933 (November 4, 2009), 74 FR 58334...); Securities Exchange Act Release No. 61408 (January 22, 2010), 75 FR 4596 (January 28, 2010) (Notice of Filing... Immediate Effectiveness of Proposed Rule Change To Amend Incorporated NYSE Rule 312(g)(1) February 12,...

  2. 78 FR 38771 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-27

    ... Securities Exchange Act Release No. 69178 (March 25, 2013), 78 FR 17975 (``Notice''). \\5\\ See Letters from... contains copies of FINRA's disciplinary actions (dating back to early 2005) that are eligible for... have to file a notice of its approval of an application for relief (referred to as a 19h-1 notice...

  3. 77 FR 20452 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-04

    ... Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications With the... ratings (proposed FINRA Rule 2213); the use of investment analysis tools (proposed FINRA Rule 2214...\\ 17 CFR 240.19b-4. \\3\\ See Exchange Act Release No. 64984 (July 28, 2011), 76 FR 46870 (August 3,...

  4. 75 FR 61793 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-06

    ..., 2010), 75 FR 36461 (``Notice''). The Commission received eleven comment letters on the proposal.\\4...-ROM, DVD, portable hard drive, laptop computer, disc, diskette, or any other portable device...

  5. 77 FR 31677 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-29

    ... (Feb. 22, 2012), 77 FR 12098 (Feb. 28, 2012) (``Notice''). The comment period closed on March 20, 2012... No. 63799 (Jan. 31, 2011), 76 FR 6500 (Feb. 4, 2011). In the Notice, FINRA represented that giving... of Mediation With Discretion to Determine Whether Parties to a FINRA Mediation May Select a...

  6. 77 FR 14850 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-13

    ....01 as to CDS contracts where the underlying obligation is a debt index rather than a single name bond...\\ \\3\\ See Securities Exchange Act Release No. 59955 (May 22, 2009), 74 FR 25586 (May 28, 2009) (Notice... respect to such products. \\5\\ See 74 FR 25588 through 25589. \\6\\ In early 2009, the Commission...

  7. 78 FR 78451 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-26

    ... Exchange Act Release No. 70924 (November 15, 2013) (sic), 78 FR 71695 (November 29, 2013). FINRA will amend... Release No. 67091 (May 31, 2012), 77 FR 33498 (June 6, 2012) (SEC File No. 4-631). \\8\\ For example, the..., but all bids and offers may be displayed.'' Id. at 77 FR 33514. In Rule 6272(b), FINRA proposes...

  8. 78 FR 15994 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-13

    ... sites, social media pages, and any comparable Internet presence, and on Web sites, social media pages... prescribed by FINRA, on their Web sites, social media pages, and any comparable Internet presence, and on Web sites, social media pages, and any comparable Internet presence relating to a member's...

  9. 78 FR 5542 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-25

    ... BrokerCheck, as prescribed by FINRA, on their Web sites, social media pages and any comparable Internet presence and on Web sites, social media pages and any comparable Internet presence relating to a member's... link to BrokerCheck, as prescribed by FINRA, on their Web sites, social media pages and any...

  10. 78 FR 13922 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-01

    ... Release No. 67091 (May 31, 2012), 77 FR 33498 (June 6, 2012) (Approval Order). A copy of the Plan is... Immediate Effectiveness of Proposed Rule Change To Amend FINRA Rules in Accordance With the Regulation NMS... accordance with the provisions of the Regulation NMS Plan to Address Extraordinary Market Volatility....

  11. 78 FR 8668 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-06

    ... Release No. 67090 (May 31, 2012), 77 FR 33531 (June 6, 2012) (Order Approving File No. SR-FINRA-2011-054). \\4\\ See Securities Exchange Act Release No. 67091 (May 31, 2012), 77 FR 33498 (June 6, 2012) (Order.... \\5\\ See Securities Exchange Act Release No. 26198 (October 19, 1988), 53 FR 41637 (October 24,...

  12. 78 FR 54350 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-03

    ... FR 51824, 51846 (August 21, 2013). Specifically, proposed new FINRA Rule 4314(a) would require a... 2330(b)-(d) (Customers' Securities or Funds) and NASD IM-2330 (Segregation of Customers' Securities... of the requirements in SEA Rule 15c3-3 or the outdated provisions regarding the physical...

  13. 77 FR 54636 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-05

    ... Release No. 67088 (May 31, 2012), 77 FR 33527 (``Notice''). \\4\\ Letter to Elizabeth M. Murphy, Secretary... Release No. 48407 (August 25, 2003), 68 FR 52259 (September 2, 2003) (Order Approving File No. SR- NASD-00-08) (``NASD Order''); Securities Exchange Act Release No. 48365 (August 19, 2003), 68 FR...

  14. 75 FR 74759 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-01

    ... Exchange Act Release No. 60933 (November 4, 2009), 74 FR 58334 (November 12, 2009) (Order Granting... customer funds in a bank account established thereunder. For further discussion, see 74 FR 58334. See also... Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook November 24, 2010. Pursuant...

  15. 76 FR 50796 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-16

    ... increase to 900,000 contracts. \\5\\ See Securities Exchange Act Release No. 64695 (June 17, 2011) 76 FR... No. 64760 (June 28, 2011) 76 FR 39143 (July 5, 2011) (Notice of Filing and Immediate Effectiveness of... Securities Exchange Act Release No. 39489 (December 24, 1997), 63 FR 276, 278 (January 5, 1998) (File No....

  16. 77 FR 32703 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-01

    ... Act Release No. 66804 (April 13, 2012), 77 FR 23524 (April 19, 2012). \\4\\ See letter from Chris... was published for comment in the Federal Register on April 19, 2012.\\3\\ The Commission received two... should be disapproved. The 45th day for this filing is June 3, 2012. The Commission is extending this...

  17. 78 FR 9754 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-11

    ...-4. \\3\\ Exchange Act Release No. 68270 (Nov. 20, 2012), 77 FR 70860 (Nov. 27, 2012). \\4\\ See Email... No. 1, to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant... supplementary schedule for derivatives and other off-balance sheet items pursuant to FINRA Rule...

  18. 77 FR 70860 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-27

    ... Proposed Rule Change To Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items... other off-balance sheet items pursuant to FINRA Rule 4524 (Supplemental FOCUS Information). The text of... otherwise reported on certain firms' balance sheets. To that end, the proposal would require all carrying...

  19. 78 FR 39367 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-01

    ... FR 35457 (June 13, 2012) (Notice of Filing of Amendments No. 2 and No. 3 and Order Granting... 5123 (Private Placements of Securities) June 25, 2013. Pursuant to Section 19(b)(1) of the Securities... Rule 5123 (Private Placements of Securities). The text of the proposed rule change is available...

  20. 75 FR 47661 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-06

    ... Immediate Effectiveness of Proposed Rule Change Relating to a Stated Interpretation of the Meaning... meaning, administration, or enforcement of an existing rule'' under Section 19(b)(3)(A)(i) of the Act \\3... Substance of the Proposed Rule Change FINRA is proposing a stated interpretation of the...

  1. 77 FR 4065 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-26

    .... 18, 2011), 76 FR 65758 (Oct. 24, 2011) (Notice of Filing of Proposed Rule Change to Adopt New FINRA..., dated November 9, 2011 (``NYC Bar''); Richard B. Chess, President, Real Estate Investment...

  2. 78 FR 9083 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-07

    ... (May 31, 2012), 77 FR 33498 (June 6, 2012) (the ``Limit Up-Limit Down Release''). The text of the... of the member's bona fide technological or systems issue.\\8\\ \\7\\ See Limit Up-Limit Down Release... 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....

  3. 77 FR 56686 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-13

    ..., 2010. See Securities Exchange Act Release No. 66829 (April 18, 2012), 77 FR 24748 (April 25, 2012.... \\16\\ See Securities Exchange Act Release No. 61566 (February 22, 2010), 75 FR 9262, 9265 (March 1... 13, 2012), 77 FR 23524 (April 19, 2012) (Notice of Filing of File No. SR-FINRA-2012-021). \\31\\...

  4. 75 FR 22670 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-29

    ... Exchange Act Release No. 61566 (February 22, 2010), 75 FR 9262 (March 1, 2010) (Order Approving File No. SR... (October 21, 2009), 74 FR 55600 (October 28, 2009) (Notice of Filing of File No. SR-FINRA-2009-065). \\7...-2009-065 and Amendment No. 1 thereto are, collectively, the ``TRACE ABS filing'').\\8\\ The...

  5. 77 FR 74896 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-18

    .... 68084 (October 23, 2012), 77 FR 65436 (October 26, 2012) (SEC Order Approving File No. SR-FINRA-2012-042... Statutory Basis for, the Proposed Rule Change 1. Purpose In general, Asset-Backed Securities (``ABS'') \\3\\ are traded on a principal basis and only a small number of ABS transactions are traded on an...

  6. 77 FR 65436 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-26

    ...), respectively. \\4\\ See Securities Exchange Act Release No. 67798 (September 7, 2012), 77 FR 56686 (``Notice... Securities Exchange Act Release No. 61566 (February 22, 2010), 75 FR 9262 (March 1, 2010) (approving SR-FINRA-2009-065). \\6\\ See Securities Exchange Act Release No. 66829 (April 18, 2012), 77 FR 24748 (April...

  7. 78 FR 15790 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-12

    ... Rule 6730(d)(2)(B)(iv); see also Notice, 77 FR at 74896. FINRA stated that only a small number of ABS.... 68414 (December 12, 2012), 77 FR 74896 (``Notice''). \\5\\ See comment from Mark Sokolow, dated December...''). \\6\\ See Securities Exchange Act Release No. 68768 (January 30, 2013), 78 FR 8216 (February 5,...

  8. 77 FR 23524 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-19

    ... Release No. 66577 (March 12, 2012), 77 FR 15827 (March 16, 2012) (Notice of Filing of File No. SR-FINRA... the TRACE system is not open. In connection with proposing that MBS Specified Pool and SBA-Backed ABS... Securities Exchange Act Release No. 61566 (February 22, 2010), 75 FR 9262, 9265 (March 1, 2010)...

  9. 76 FR 65313 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-20

    ... FR 9262 (March 1, 2010) (order approving File No. SR- FINRA-2009-065) (``TRACE ABS filing''); Securities Exchange Act Release No. 64364 (April 28, 2011), 76 FR 25385 (May 4, 2011) (order approving File...\\ The amendments defined Asset-Backed Securities (``ABS'') as TRACE-Eligible Securities and...

  10. 78 FR 35078 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-11

    ... FR 65436 (October 26, 2012) (SEC Order Approving File No. SR-FINRA-2012-042 to provide for, among... MBS or SBA-Backed ABS Specified Pool will be identified by and mapped by the TRACE system to only one... Mortgage Backed-Securities (``MBS'') and Asset-Backed Securities (``ABS'') backed by loans guaranteed as...

  11. 76 FR 4966 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-27

    ... amendments is May 16, 2011.\\7\\ \\6\\ See Securities Exchange Act Release No. 61566 (February 22, 2010), 75 FR... (October 2010). See also Securities Exchange Act Release No. 63223 (November 1, 2010), 75 FR 68654... (November 1, 2010), 75 FR 68654 (November 8, 2010); Securities Exchange Act Release No. 61566 (February...

  12. 76 FR 26779 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-09

    ... paid to finance sales or sales promotion expenses, including front- end, deferred and asset-based sales.... 8358 (January 29, 2004), 69 FR 6438 (February 10, 2004) (Confirmation Requirements and Point of Sale... Release No. 7233 (October 6, 1995), 60 FR 53458 (October 13, 1995); Securities Act Release No. 7288 (May...

  13. 77 FR 15445 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-15

    ...\\ See Securities Exchange Act Release No. 53564 (March 29, 2006), 71 FR 16847 (April 4, 2006) (SR-NASD-2006-038) (Order Approving File No. SR-NASD-2006-038); NASD Notice to Members 06-16 (April 2006) (NASD... Applicants); see also Securities Exchange Act Release No. 55412 (March 7, 2007), 72 FR 11414 (March 13,...

  14. 76 FR 4403 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-25

    ... (November 6, 2006), 71 FR 66354 (November 14, 2006); see also Securities Exchange Act Release No. 54715A (November 14, 2006), 71 FR 67183 (November 20, 2006). \\5\\ See Securities Exchange Act Release No. 61297... January 28, 2011.\\7\\ \\6\\ See Securities Exchange Act Release No. 54307 (August 11, 2006), 71 FR...

  15. 78 FR 69728 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-20

    ... on April 27, 2012. FINRA received 71 comment letters in response to the Regulatory Notice. A list of... listed in Exhibit 2b. Ten of the 71 comment letters received addressed the general expansion of the time.../sro.shtml ); or Send an email to rule-comments@sec.gov . Please include File Number...

  16. 77 FR 38694 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-28

    ... Securities Exchange Act Release No. 53955 (June 7, 2006), 71 FR 34658 (June 15, 2006) (Notice of Filing and... member. \\6\\ See Securities Exchange Act Release No. 35074 (December 9, 1994), 59 FR 64827 (December 15... and reviewing applicants. \\7\\ See Securities Exchange Act Release No. 33533 (January 27, 1994), 59...

  17. 78 FR 17969 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-25

    ...\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 68842 (February 6, 2013), 78 FR 9963... whether to disapprove, the proposed rule change (File No. SR- FINRA-2013-013). \\6\\ 15 U.S.C....

  18. 76 FR 35933 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-20

    ..., 2006), 71 FR 67673 (November 22, 2006) (Order Approving Proposed Rule Change; File No. SR-NASD-2006-110... (January 8, 2009), 74 FR 2147 (January 14, 2009) (Notice of Filing and Immediate Effectiveness of Proposed... Exchange Act Release No. 63673 (January 7, 2011), 76 FR 2739 (January 14, 2011) (Notice of Filing...

  19. 75 FR 52380 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-25

    ... February 4, 2008. See Securities Exchange Act Release No. 54585 (October 10, 2006), 71 FR 61112 (October 17... Securities Exchange Act Release No. 61979 (April 23, 2010), 75 FR 23316 (May 3, 2010) (Order Approving File... effective and efficient manner. \\9\\ See Securities Exchange Act Release No. 62174 (May 26, 2010), 75...

  20. 76 FR 81549 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-28

    ... Release No. 54768 (November 16, 2006), 71 FR 67673 (November 22, 2006) (Order Approving Proposed Rule...); Securities Exchange Act Release No. 59216 (January 8, 2009), 74 FR 2147 (January 14, 2009) (Notice of Filing... extended to January 7, 2011); Securities Exchange Act Release No. 63673 (January 7, 2011), 76 FR...

  1. 76 FR 20759 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ... 17, 2010), 75 FR 71479 (November 23, 2010) (Order Approving File No. SR- FINRA-2010-039). \\5\\ The... Your Customer) and FINRA Rule 2111 (Suitability) April 8, 2011. Pursuant to Section 19(b)(1) of the... to delay the implementation date for FINRA Rule 2090 (Know Your Customer) and FINRA Rule...

  2. 76 FR 77042 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-09

    ...\\ Securities Exchange Act Release No. 65579 (October 17, 2011), 76 FR 65549 (``Notice''). \\4\\ See Letter to...-listed security are displayed in an inter-dealer quotation system that permits quotation updates on a...\\ See Securities Exchange Act Release No. 54339 (August 21, 2006), 71 FR 50959 (August 28,...

  3. 76 FR 65549 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-21

    ... are fewer than two quotations displayed on an inter-dealer quotation system that permits quotation... under NASD Rule 2320.\\7\\ \\5\\ See Securities Exchange Act Release No. 25637 (May 2, 1988), 53 FR 16488... (July 2, 2007), 72 FR 37285 (July 9, 2007); Securities Exchange Act Release No. 43319 (September...

  4. 77 FR 5611 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-03

    ... computer advertisements.\\11\\ \\10\\ See Exchange Act Release No. 49055 (January 12, 2004), 69 FR 2801 (January 20, 2004). \\11\\ See Exchange Act Release No. 52579 (October 7, 2005), 70 FR 60119 (October 14... Exchange Act Release No. 65645 (November 2, 2011), 76 FR 67787 (November 4, 2011) (``Notice''). \\4\\...

  5. 78 FR 4182 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-18

    ...). \\6\\ See Securities Exchange Act Release No. 66681 (March 29, 2012), 77 FR 20452 (April 4, 2012..., 2010), 75 FR 71479 (November 23, 2010) (Order Approving File No. SR- FINRA-2010-039); and Securities Exchange Act Release No. 67157 (June 7, 2012), 77 FR 35457 (June 13, 2012) (Order Approving File No....

  6. 75 FR 60843 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-01

    ... Validation and Price-Override Protocol September 27, 2010. Pursuant to Section 19(b)(1) of the Securities... FINRA Trade Reporting Notice (``Notice'') that explains the price validation protocol of the FINRA trade... price validation parameters established by FINRA, generally based on a price deviation against...

  7. 78 FR 42581 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-16

    ... to pass the revised examination. \\10\\ Consistent with FINRA's practice of including ``pre-test... additional, unidentified pre-test questions that do not contribute towards the candidate's score. Therefore, the examination actually consists of 110 questions, 100 of which are scored. The 10 pre-test...

  8. 76 FR 55441 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-07

    ... without change; the Commission does not edit personal identifying information from submissions. You should..., 2011), 76 FR 36586 (June 22, 2011) (Order Approving File No. SR-FINRA-2011-013). I. Self-Regulatory... Securities Exchange Act Release No. 64687 (June 16, 2011), 76 FR 36586 (June 22, 2011) (Order Approving...

  9. 78 FR 54359 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-03

    ... applicable NYSE Rules, the Series 16 examination program tests knowledge of applicable FINRA Rules and NASD... score report at the end of the test session, which will indicate a pass or fail status and include a... associated tasks currently performed by Supervisory Analysts and tests knowledge of the most current...

  10. 78 FR 41149 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-09

    ..., 2012), 77 FR 75243 (December 19, 2012) (Order Approving Proposed Rule Change, as Modified by Amendment... illiquid options classes.\\9\\ \\8\\ See Securities Exchange Act Release No. 40087 (June 12, 1998), 63 FR 33746... CBOE Rule 24.4. See also Securities Exchange Act Release No. 40969 (January 22, 1999), 64 FR...

  11. 75 FR 29793 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-27

    .... 61540 (February 18, 2010), 75 FR 8771 (February 25, 2010) (Order Approving File No. SR- FINRA-2009-081). \\6\\ See Securities Exchange Act Release No. 61542 (February 18, 2010), 75 FR 8768 (February 25, 2010... (February 2, 2010), 75 FR 6422 (February 9, 2010) (Order Approving File No. SR- FINRA-2009-087). \\8\\...

  12. 77 FR 38692 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-28

    .... 66681 (March 29, 2012), 77 FR 20452 (April 4, 2012) (Order Approving File No. SR-FINRA-2011-035). FINRA... from including false, exaggerated, unwarranted, or misleading statements or claims. \\5\\ We note...

  13. 78 FR 9963 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-12

    .... Although the proposed rule change, if approved, will not be in place at the commencement of Phase I, FINRA... Proposed Rule Change To Require Members To Report OTC Equity Transactions as Soon As Practicable, But No... Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items I, II,...

  14. 78 FR 79716 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc; Order Instituting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-31

    ... Release No. 70482 (September 23, 2013), 78 FR 59995 (September 30, 2013) (``Notice''). \\4\\ See Letters to... to ORF, or debt securities, and thus reported to TRACE. \\9\\ See Notice, 78 FR at 59996. FINRA has... supra note 7. \\12\\ See Notice, 78 FR at 59996. Under the proposal, FINRA members would be required...

  15. 75 FR 21064 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-22

    ... information on the professional background, business practices, and conduct of FINRA members and their... Securities Exchange Act Release No. 60462 (August 7, 2009), 74 FR 41470 (August 17, 2009) (Notice of Filing.... 61002 (November 13, 2009), 74 FR 61193 (November 23, 2009) (Order Approving File No....

  16. 78 FR 75954 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-13

    ... (July 1, 2013), 78 FR 40792 (July 8, 2013) (Notice of Filing File No. SR-FINRA-2013-025). In concert... other technical amendments. See Securities Exchange Act Release No. 57033 (December 21, 2007), 72 FR..., 2007), 72 FR 42453 (August 2, 2007) (Notice of Filing and Immediate Effectiveness of File No....

  17. 76 FR 65758 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-24

    ... (January 27, 2011), 76 FR 5850 (February 2, 2011) (Approving SR- FINRA-2010-052); Regulatory Notice 11-19....g., Security Ratings, Securities Act Release No. 9245 (July 27, 2011), 76 FR 46603 (August 3, 2011... (November 17, 2010), 75 FR 71479 (November 23, 2010) (File No. SR- FINRA-2010-039; Order...

  18. 78 FR 66405 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-05

    .... \\3\\ See Securities Exchange Act Release No. 70048 (July 26, 2013), 78 FR 46652 (``Notice''). \\4\\ See..., 78 FR 56967 (September 16, 2013) (SR-FINRA-2013-031). \\6\\ See Letter from Stephanie M. Dumont, Senior..., including enforcement of requirements imposed by Regulation NMS.\\8\\ \\7\\ See Notice, 78 FR at 46652. The...

  19. 78 FR 60982 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-02

    ... Exchange Act Release No. 70131 (Aug. 7, 2013), 78 FR 49313 (``Notice''). \\4\\ See Letter to the Commission... case- by-case basis whether disposition pursuant to the MRVP is appropriate.\\6\\ \\6\\ See Notice, 78 FR...)(2). \\16\\ See Securities Exchange Act Release No. 32076 (March 3, 1993), 58 FR 18291 (April 3,...

  20. 78 FR 46652 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-01

    ... Alternative Display Facility (``ADF'') Market Participants. The text of the proposed rule change is available... collection and trade reporting facility. It provides ADF Market Participants (i.e., ADF-registered market... consolidation and dissemination of data to vendors and ADF Market Participants. In addition, the ADF...

  1. 78 FR 58580 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-24

    ...''); Christine Lazaro, Esq., Acting Director, and Pamela M. Albanese, Legal Intern, St. John's University School... Public Reference Room. \\3\\ See Exchange Act Release No. 69762 (June 13, 2013), 78 FR 37267 (June 20, 2013... Rights Clinic, Pace University School of Law, dated July 11, 2013 (``Pace Law Letter''); Scott...

  2. 78 FR 79542 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-30

    ... (May 2008). See Exchange Act Release No. 64736 (June 23, 2011), 76 FR 38245 (June 29, 2011) (Notice of... Release No. 65477 (October 4, 2011), 76 FR 62890 (October 11, 2011) (Notice of Withdrawal of File No. SR-FINRA-2011-028). \\4\\ See Exchange Act Release No. 69902 (July 1, 2013), 78 FR 40792 (July 8,...

  3. 75 FR 69481 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-12

    ... Proposed Rule Change Relating to Amendments to the Panel Composition Rule, and Related Rules, of the Code... Proposed Rule Change FINRA is proposing to amend the panel composition rule, and related rules, of the Code... selection methods--the current panel selection method, which would be labeled ``Composition Rules...

  4. 76 FR 6500 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-04

    ... No. 63250 (Nov. 5, 2010), 75 FR 69481 (Nov. 12, 2010) (``Notice''). \\5\\ The comment period ended on... the Panel Composition Rule, and Related Rules, of the Code of Arbitration Procedure for Customer... proposal to amend the panel composition rule, and related rules, of the Code of Arbitration Procedure...

  5. 78 FR 37267 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-20

    ... Concerning Panel Composition June 13, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of... Customer Code contained one panel composition method for cases with three arbitrators (generally cases with..., FINRA sought and received SEC approval to implement a new panel composition rule for customer cases...

  6. 75 FR 69725 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-15

    ... Release No. 63032 (October 4, 2010), 75 FR 62439 (October 8, 2010) (Order Approving File No. SR- FINRA...), 75 FR 11232 (March 10, 2010). \\7\\ See Securities Exchange Act Release No. 63247 (November 4, 2010... Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-043 November 8,...

  7. 76 FR 62128 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-06

    ... No. 64364 (April 28, 2011), 76 FR 25385 (May 4, 2011) (order approving File No. SR-FINRA-2011-012... Securities that do not amortize. (See Securities Exchange Act Release No. 61566 (February 22, 2010), 75 FR... Securities Exchange Act Release No. 61566 (February 22, 2010), 75 FR 9262 (March 1, 2010) (order...

  8. 76 FR 76777 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-08

    ..., 2010), 75 FR 9262, 9265 (March 1, 2010) (Order Approving File No. SR-FINRA-2009-065). Since reporting... Transaction Reporting Period Currently, Asset-Backed Securities transactions (except certain pre-issuance... are Asset-Backed Securities, for certain pre-issuance transactions in CMOs and REMICs, the...

  9. 75 FR 34183 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-16

    ... Exchange Act Release Nos. 62121 (May 19, 2010), 75 FR 28834 (May 24, 2010); 62123 (May 19, 2010), 75 FR 28844 (May 24, 2010); 62124 (May 19, 2010), 75 FR 28828 (May 24, 2010); 62125 (May 19, 2010), 75 FR 28836 (May 24, 2010); 62126 (May 19, 2010), 75 FR 28831 (May 24, 2010); 62127 (May 19, 2010), 75...

  10. 76 FR 61124 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-03

    ... Immediate Effectiveness of Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members... Rule Change FINRA is proposing to amend Rule 7630A (Aggregation of Activity of Affiliated Members... aggregation of affiliate activity under Rule 7630A is required to certify the affiliate status of...

  11. 78 FR 37261 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-20

    ... Proposed Rule Change Relating to Amendments to the Discovery Guide Used in Customer Arbitration Proceedings... Discovery Guide (``Guide'') used in customer arbitration proceedings to provide general guidance on electronic discovery (``e-discovery'') issues and product cases and to clarify the existing...

  12. 75 FR 45685 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-03

    ... Proposed Rule Change Amendments to the Discovery Guide and Rules 12506 and 12508 of the Code of Arbitration... to amend the Discovery Guide, which includes Document Production Lists, and to make conforming... proposes to revise the Discovery Guide (``Guide'') to expand the guidance FINRA gives to parties...

  13. 75 FR 67155 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-01

    ... approximate age of the customer. FINRA ] proposes to simplify and clarify NASD Rule 3110(c)(3) in the... discretion was granted \\15\\ and the requirement to record the age or approximate age of the customer in.... The proposed rule change would delete NASD IM-3110 (Customer Account Information) and...

  14. 77 FR 23770 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-20

    ... (October 14, 2011), 76 FR 65307 (October 20, 2011) (Notice of Filing of File No. SR-FINRA-2011-058... Act Release No. 66168 (January 17, 2012), 77 FR 3515 (January 24, 2012) (Order Instituting Proceedings... rule'').\\10\\ \\9\\ See Securities Exchange Act Release No. 62359 (June 22, 2010), 75 FR 37488 (June...

  15. 77 FR 24748 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-25

    ...\\ See Securities Exchange Act Release No. 66577 (March 12, 2012), 77 FR 15827 (March 16, 2012) (``Notice... 28, 2009), 74 FR 50991 (October 2, 2009) (approving SR-FINRA-2009-010). \\5\\ See Securities Exchange Act Release No. 61566 (February 22, 2010), 75 FR 9262 (March 1, 2010) (approving...

  16. 76 FR 9838 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-22

    ... Exchange Act Rel. No. 60132 (June 17, 2009), 74 FR 30191 (June 24, 2009) (File No. SR-FINRA-2009-015... Proposed Rule Change Relating to Promissory Note Proceedings February 15, 2011. Pursuant to Section 19(b)(1...-qualified public arbitrator to a panel resolving a promissory note dispute instead of appointing a...

  17. 76 FR 67787 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-02

    ..., telephone facsimiles, and computer advertisements.\\9\\ \\7\\ See 68 FR 4580 (January 29, 2003); 68 FR 44144...\\ See Securities Exchange Act Release No. 49055 (January 12, 2004), 69 FR 2801 (January 20, 2004) (approval order). \\9\\ See Securities Exchange Act Release No. 52579 (October 7, 2005), 70 FR 60119...

  18. 75 FR 3270 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-20

    ...). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 61116 (December 4, 2009), 74 FR... Form BDW. \\6\\ See Securities Exchange Act Release No. 43102 (August 1, 2000), 65 FR 48266 (August 7... Proposed Rule Change To Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated...

  19. 75 FR 12584 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-16

    ... appropriate. \\3\\ See Securities Exchange Act Release No. 60515 (August 17, 2009), 74 FR 43207 (August 26, 2009... Act Release No. 51808 (June 9, 2005), 70 FR 37496 (June 29, 2005) (order adopting rules under... Act Release No. 60999 (November 13, 2009), 74 FR 61183 (November 23, 2009). (Notice of Filing File...

  20. 77 FR 14848 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-13

    ... Securities Exchange Act Release No. 59955 (May 22, 2009), 74 FR 25586 (May 28, 2009) (Notice of Filing and... ) (``Approval Order''). \\4\\ See Securities Exchange Act Release No. 64892 (July 14, 2011), 76 FR 43360 (July 20... (January 14, 2009), 74 FR 3967 (January 22, 2009) (Temporary Exemptions for Eligible Credit Default...

  1. 76 FR 52042 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-19

    ... Order Granting Accelerated Approval of Proposed Rule Change To Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps); Correction August 15, 2011. FR Doc. No. 2011-18221, beginning on...

  2. 78 FR 16341 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-14

    ..., respectively. See also Exchange Act Release No. 67453 (July 18, 2012), 77 FR 48207 (August 13, 2012) (Joint... in Connection With Portfolio Margining of Swaps and Security-Based Swaps) (December 14, 2012), 77 FR...), 77 FR 43128 (July 23, 2012) (Notice of Filing and Immediate Effectiveness of Proposed Rule...

  3. 75 FR 32519 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-08

    ... Release No. 59077 (December 10, 2008), 73 FR 76691 (December 17, 2008) (Notice of Filing and Immediate... No. SR-NYSE-2008-127). \\12\\ See Securities Exchange Act Release No. 58845 (October 24, 2008), 73 FR..., 2009), 74 FR 51628 (October 7, 2009) (SR-NYSE- 2009-100); Securities Exchange Act Release No....

  4. 76 FR 43360 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-20

    ... Release No. 59955 (May 22, 2009), 74 FR 25586 (May 28, 2009) (Notice of Approval of Proposed Rule Change... (November 30, 2010), 75 FR 75718 (December 6, 2010) (Notice of Filing and Immediate Effectiveness of... integrity with respect to such products. \\5\\ See 74 FR 25588 through 25589. \\6\\ In early 2009 the...

  5. 78 FR 43945 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-22

    ... No. 59955 (May 22, 2009), 74 FR 25586 (May 28, 2009) (Notice of Filing and Order Granting Accelerated.... 66527 (March 7, 2012), 77 FR 14850 (March 13, 2012) (Notice of Filing and Order Granting Accelerated.... 67449 (July 17, 2012), 77 FR 43128 (July 23, 2012) (Notice of Filing and Immediate Effectiveness...

  6. 77 FR 33527 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-06

    ... Release No. 48407 (August 25, 2003), 68 FR 52259 (September 2, 2003) (Order Approving File No. SR- NASD-2000-08) (``NASD Order''); Securities Exchange Act Release No. 48365 (August 19, 2003), 68 FR 51314... (July 7, 2003), 68 FR 41672 (July 14, 2003) (Notice of Filing of File No. SR-NYSE-98-14) (``NYSE...

  7. 75 FR 75718 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-06

    ..., 2009), 74 FR 25586 (May 28, 2009) (Notice of Approval of Proposed Rule Change; File No. SR-FINRA-2009... FR 50856 (October 1, 2010) (Notice of Filing and Immediate Effectiveness of Proposed Rule Change... the implementation of the Interim Pilot Program accordingly, to July 16, 2011.\\8\\ \\6\\ See 74 FR...

  8. 77 FR 43128 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-23

    ... 17, 2012.\\6\\ \\4\\ See Exchange Act Release No. 59955 (May 22, 2009), 74 FR 25586 (May 28, 2009...-based swaps. See Exchange Act Release No. 66527 (March 7, 2012), 77 FR 14850 (March 13, 2012) (Notice of...\\ See Exchange Act Release No. 66528 (March 7, 2012), 77 FR 14848 (March 13, 2012) (Notice of Filing...

  9. 77 FR 15827 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-16

    ... before making any decision regarding the utility of such information for transparency purposes or the..., 2010), 75 FR 9262, 9265 (March 1, 2010) (Order Approving File No. SR-FINRA-2009-065). Since reporting... FINRA Rule 6700 Series and Trade Reporting and Compliance Engine (``TRACE'') dissemination...

  10. 78 FR 62722 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ...). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 69913 (July 2, 2013), 78 FR 41149... (December 14, 2012), 77 FR 75243 (December 19, 2012) (Order Approving Proposed Rule Change, as Modified by...(g) set forth the strategy-based margin and portfolio margin requirements for transactions in...

  11. 76 FR 56848 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-14

    ... 240.19b-4. \\3\\ See Securities Exchange Act Release No. 64934 (July 20, 2011), 76 FR 44645 (July 26... also explicitly shields certain types of documents from production. For example, the rule provides that..., explicitly shield from discovery documents that federal law prohibits FINRA from disclosing. \\5\\ FINRA...

  12. 75 FR 1672 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-12

    ... (September 21, 2009), 74 FR 49425 (September 28, 2009) (Order Approving File No. SR-FINRA-2009-014... of the broker-customer relationship; or (5) the lending arrangement is based on a business relationship outside of the broker-customer relationship. In addition, with the exception of...

  13. 75 FR 8772 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-25

    .... 61302 (January 6, 2010), 75 FR 1672 (January 12, 2010). II. Description of the Proposed Rule Change... 21, 2009), 74 FR 49425 (September 28, 2009) (Order Approving File No. SR-FINRA-2009-014). A... broker-customer relationship; or (5) the lending arrangement is based on a business relationship...

  14. 78 FR 72951 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-04

    ...(b)(1). \\2\\ Exchange Act Release No. 70272 (Aug. 27, 2013); 78 FR 54350 (Sep. 3, 2013). \\3\\ Letter... the introducing member that has a customer relationship with the lender in making the determination... Proposed Rule Change To Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer...

  15. 76 FR 20741 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ... 15, 2011), 76 FR 9838 (February 22, 2011) (``Notice''). II. Description of the Proposal In 2009.... 60132 (June 17, 2009), 74 FR 30191 (June 24, 2009) (File No. SR-FINRA-2009-015). FINRA announced... Approval of a Proposed Rule Change Relating to Promissory Note Proceedings April 7, 2011. I....

  16. 76 FR 46870 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-03

    ... proposed rule change. See Securities Exchange Act Release No. 61107 (December 3, 2009), 74 FR 65180... also Securities Exchange Act Release No. 64736 (June 23, 2011), 76 FR 38245 (June 29, 2011) (Notice of... 23, 2011), 76 FR 38245 (June 29, 2011) (Notice of Filing File No. SR-FINRA-2011-028 (Proposed...

  17. 75 FR 62439 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-08

    ... ``short exempt.'' \\8\\ \\6\\ See Securities Exchange Act Release No. 61595 (February 26, 2010), 75 FR 11232.... 20, 2010), 75 FR 52574 (Aug. 26, 2010). \\4\\ See Letter from Mike Wiesenberg, dated September 8, 2010.... 56279 (August 17, 2007), 72 FR 48713 (August 24, 2007) (Notice of Filing and Immediate Effectiveness...

  18. 75 FR 52574 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-26

    ... ``short exempt.'' \\5\\ \\3\\ See Securities Exchange Act Release No. 61595 (February 26, 2010), 75 FR 11232..., 2007), 72 FR 48713 (August 24, 2007) (Notice of Filing and Immediate Effectiveness of File No. SR-NASD... Proposed Rule Change To Reinstitute Short Exempt Marking for Trade Reporting and OATS August 20,...

  19. 77 FR 72899 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-06

    ... Fees Due to Hurricane Sandy November 30, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange... as a result of Hurricane Sandy. The text of the proposed rule change is available on FINRA's Web site... to significant disruptions in normal business operations as a result of Hurricane Sandy or...

  20. 77 FR 76113 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-26

    ... Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180... expiration date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) to July 17, 2013. FINRA... Exchange Act Release No. 67453 (July 18, 2012), 77 FR 48208 (August 13, 2012) (Further Definition of...

  1. 77 FR 1524 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-10

    ... (November 18, 2011), 76 FR 72463 (``Notice''). II. Description of the Proposal FINRA's Code contains... Proposed Rule Change Relating to FINRA's Code of Procedure January 4, 2012. I. Introduction On November 8... (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change relating to FINRA's Code of...

  2. 78 FR 69732 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-20

    ... comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4... IV below. FINRA has prepared summaries, set forth in sections A, B, and C below, of the most....C. 78o-3(i). \\6\\ Public Law 109-290, 120 Stat. 1317 (2006). \\7\\ For purposes of Section 15A(i)...

  3. 77 FR 1119 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-09

    ... Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support... 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 text of...

  4. 75 FR 6769 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-10

    ... approves the proposed rule change. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ 74 FR 69184 (Dec. 30..., 2010; and Jill I. Gross, Director, The Investors Rights Clinic at Pace University Law School, dated... case, the customer may request a hearing location in the customer's state of residence at the time...

  5. 76 FR 20757 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ... Intern, and Stephen Chou, Student Intern, St. John's University School of Law Securities Arbitration...)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ See Exchange Act Release No. 63910 (February 15, 2011), 76 FR 9840... Professor and Director, Cornell Securities Law Clinic, and Negisa Balluku, Cornell Law School, dated...

  6. 77 FR 15824 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-16

    ... whistleblower statute in an effort to improperly remove the entire case (i.e., ``dispute'') from arbitration... asserted under a whistleblower statute to be severed and removed from the arbitration case but would not... provide that: \\6\\ See Dodd-Frank Wall Street Reform and Consumer Protection Act, Public Law 111-203...

  7. 75 FR 32525 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-08

    ... disciplinary cases involving failures to pay arbitration awards and restitution.\\11\\ The legal underpinnings...). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 61938 (Apr. 19, 2010), 75 FR 21686...., Associate Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic,...

  8. 75 FR 41262 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-15

    ...-public, and chair rosters) for each arbitration case. The parties select their panel through a process of... Exchange Act Rel. No. 62134 (May 19, 2010), 75 FR 29594 (May 26, 2010) (File No. SR-FINRA-2010-022). \\4..., Secretary, Commission from Jill I. Gross, Director, Ed Pekarek, Clinical Law Fellow, and Jeffrey...

  9. 75 FR 2179 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-14

    ... approves the proposed rule change. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ 74 FR 63167 (Dec. 2, 2009). \\4\\ See letters from William A. Jacobson, Esq., Associate Clinical Professor of Law, Director, Cornell Securities Law Clinic and Sang Joon Kim, student, dated December 9, 2009, and Scott R....

  10. 77 FR 1773 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-11

    ...) provide that any claim that is based upon the same facts and law, and involves the same defendants as in a... member will not be bound by the case, unless the person affirmatively consents to become a member.\\13... ADEA Class Actions in Employment Law: Class Action Basics, Aug. 10, 1999,...

  11. 77 FR 27262 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-09

    ...'s School of Law Securities Arbitration Clinic, dated March 20, 2012 (``St. John's Letter''); and... represented that the $25,000 threshold captured twenty-one percent of all cases filed with FINRA's arbitration... change would raise the percentage of cases eligible for simplified arbitration, which the...

  12. 75 FR 167 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-04

    ..., Fees and Other Charges), Rule 9554 (Failure to Comply with an Arbitration Award or Related Settlement... investors who have been harmed); --Harmonize the remedy for an individual's failure to pay an arbitration... No. 61026 (November 18, 2009) 74 FR 61727. \\4\\ See December 15, 2009 letter to Elizabeth M....

  13. 78 FR 5522 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-25

    ... stop order. \\4\\ See Securities Exchange Act Release No. 67778 (September 4, 2012), 77 FR 55517... (May 31, 2012), 77 FR 33537 (June 6, 2012) (Notice of Filing File No. SR- FINRA-2012-026). \\6\\ See... Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Date of FINRA Rule 5350...

  14. 76 FR 61429 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-04

    .... 58754 (October 8, 2008); 73 FR 61178 (October 15, 2008) (Notice of Filing and Immediate Effectiveness of... FR 34183 (June 16, 2010) (Order Approving SR-FINRA-2010-025); See Securities Exchange Act Release No. 62883 (September 10, 2010); 75 FR 56608 (September 16, 2010) (Order Approving SR-FINRA-2010-033);...

  15. 75 FR 59771 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-28

    ... Exchange Act Release No. 62664 (Aug. 9, 2010), 75 FR 49542 (Aug. 13, 2010) (SR-FINRA-2010-037). II... Proposed Rule Change To Amend FINRA Rule 5190 (Notification Requirements for Offering Participants... Requirements for Offering Participants) relating to the notice requirements applicable to distributions...

  16. 76 FR 13248 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-10

    ... Act Release No. 63751 (January 21, 2011), 76 FR 4966 (``Notice''). II. Description of the Proposal.... 61566 (February 22, 2010), 75 FR 9262 (March 1, 2010). See also Regulatory Notice 10-23 (April 2010... Exchange Act Release No. 63223 (November 1, 2010), 75 FR 68654 (November 8, 2010) (extending...

  17. 75 FR 7530 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-19

    ... (April 23, 1990), 55 FR 17933 (April 30, 1990). For the purpose of SEC Rule 144A, a QIB is generally...), 55 FR 18781 (May 4, 1990). \\7\\ See Securities Exchange Act Release No. 58638 (September 24, 2008), 73 FR 57188 (October 1, 2008). As part of the separation of NASDAQ from FINRA, certain...

  18. 78 FR 10655 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-14

    ..., 2012), 77 FR 77162 (``Notice''). \\4\\ See web comment from Suzanne H. Shatto, dated January 3, 2013... trading in the security, and would act to protect U.S. investors.\\12\\ \\10\\ See Notice, supra note 3, 77 FR... events can take time to be resolved. See Notice, supra note 3, 77 FR at 77164. III. Discussion...

  19. 75 FR 15470 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-29

    ..., 2010), 75 FR 5157 (February 1, 2010) (Order Approving File No. SR- FINRA-2009-086). FINRA has filed the... Immediate Effectiveness of Proposed Rule Change To Update a Cross-Reference Within FINRA Rule 0150 March 19... update a cross- reference to reflect a change adopted in the consolidated FINRA rulebook. The text of...

  20. 76 FR 60106 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-28

    ....\\6\\ \\5\\ See Securities Exchange Act Release No. 64687 (June 16, 2011), 76 FR 36586 (June 22, 2011..., 2007), 72 FR 29567 (May 29, 2007) (Order Approving File No. SR-NYSE- 2007-34); and Securities Exchange Act Release No. 56726 (October 31, 2007), 72 FR 62719 (November 6, 2007) (Notice of Filing...

  1. 76 FR 32246 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-03

    ... Exchange Act Release No. 63150 (October 21, 2010), 75 FR 66173 (October 27, 2010) (Order Approving File No. SR- FINRA-2009-058); and Securities Exchange Act Release No. 63260 (November 5, 2010), 75 FR 69508.... 58461 (September 4, 2008), 73 FR 52710 (September 10, 2008) (Order Approving File No....

  2. 75 FR 80556 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-22

    .... 63150 (October 21, 2010), 75 FR 66173 (October 27, 2010) (Order Approving Proposed Rule Change; File No...\\ See Securities Exchange Act Release No. 61819 (March 31, 2010), 75 FR 17806 (April 7, 2010) (Order... Immediate Effectiveness of Proposed Rule Change To Update a Cross-Reference in FINRA Rule 2232...

  3. 76 FR 71612 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-18

    ... Securities Exchange Act Release No. 63784 (January 27, 2011), 76 FR 5850 (February 2, 2011) (Order Approving File No. SR- FINRA-2010-052); Securities Exchange Act Release No. 63961 (February 24, 2011), 76 FR... No. 65281 (September 7, 2011), 76 FR 56848 (September 14, 2011) (Order Approving File No....

  4. 75 FR 71164 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-22

    ..., 2010), 75 FR 41562 (July 16, 2010) (Order Approving File No. SR- FINRA-2010-024); Securities Exchange Act Release No. 62539 (July 21, 2010), 75 FR 44033 (July 27, 2010) (Order Approving File No. SR- FINRA-2010-029); Securities Exchange Act Release No. 62702 (August 12, 2010), 75 FR 51147 (August 18,...

  5. 78 FR 60952 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-02

    ... Rule 11892(b)(4). \\5\\ See Securities Exchange Act Release No. 68808 (February 1, 2013), 78 FR 9083... Exchange Act Release No. 62885 (September 10, 2010), 75 FR 56641 (September 16, 2010) (Order Granting... Securities Exchange Act Release No. 65101 (August 11, 2011), 76 FR 51097 (August 17, 2011) (Notice of...

  6. 75 FR 29594 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-26

    ... extended list appointments.\\5\\ \\4\\ Exchange Act Release No. 55158 (January 24, 2007), 72 FR 4574 (January... Proposed Rule Change Relating to Amending the Codes of Arbitration Procedure to Increase the Number of... Code of Arbitration Procedure for Customer Disputes (``Customer Code'') and Rules 13403 and 13404...

  7. 76 FR 12769 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-08

    ...\\ See Securities Exchange Act Release No. 63799 (Jan. 31, 2011), 76 FR 6500 (Feb. 4, 2011) (Order... Proposed Rule Change FINRA is proposing to amend various rules of the Code of Arbitration Procedure for... the Customer Code to provide customers with the option to choose an all public arbitration panel...

  8. 75 FR 21686 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-26

    ... or an inability-to-pay the award. See Securities Exchange Act Release No. 40026 (May 26, 1998), 63 FR... oppressive.'' See Securities Exchange Act Release No. 40026 (May 26, 1998), 63 FR 30789 (June 5, 1998... in the expedited proceedings context when a member or associated person fails to pay an...

  9. 77 FR 76112 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-26

    ... necessary training. \\4\\ See Securities Exchange Act Release No. 46663 (October 15, 2002), 67 FR 64944...), 71 FR 62498 (October 25, 2006) (Notice of Filing and Immediate Effectiveness of File No. SR-NASD-2006... (December 23, 2009), 74 FR 69173 (December 30, 2009) (Notice of Filing and Immediate Effectiveness of...

  10. 76 FR 11830 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-03

    ... Immediate Effectiveness of Proposed Rule Change to Eliminate Duplicative Filings Under FINRA Rule 9610(a.... FINRA has filed the proposed rule change for immediate effectiveness and has requested that the SEC..., Participants, or Others Written comments were neither solicited nor received. III. Date of Effectiveness of...

  11. 76 FR 50515 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-15

    ... Exchange Act Release No. 62251 (June 10, 2010), 75 FR 34183 (June 16, 2010) (Order Approving File No. SR- FINRA-2010-025). \\5\\ See Securities Exchange Act Release No. 62883 (September 10, 2010), 75 FR 56608.... 64735 (June 24, 2011), 76 FR 38243 (June 29, 2011) (Order Approving File No. SR- FINRA-2011-023)....

  12. 76 FR 20065 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-11

    ... Act Release No. 62251 (June 10, 2010), 75 FR 34183 (June 16, 2010) (Order Approving File No. SR- FINRA-2010-025). \\4\\ See Securities Exchange Act Release No. 62883 (September 10, 2010), 75 FR 56608... Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of the Trading Pause...

  13. 75 FR 78316 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-15

    ...\\ \\3\\ See Securities Exchange Act Release No. 62251 (June 10, 2010), 75 FR 34183 (June 16, 2010) (Order..., 2010), 75 FR 56608 (September 16, 2010) (Order Approving File No. SR-FINRA-2010-033). The extension... Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of the Trading Pause...

  14. 76 FR 12390 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-07

    ... Act Release No. 56145 (July 26, 2007), 72 FR 42169 (August 1, 2007), as amended by Securities Exchange Act Release No. 56145A (May 30, 2008), 73 FR 32377 (June 6, 2008) (Order Approving File No. SR-NASD... No. 37106 (April 11, 1996), 61 FR 16944 (April 18, 1996) (Order Approving File No. SR-...

  15. 78 FR 56251 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-12

    ... Securities Exchange Act Release No. 70009 (July 19, 2013), 78 FR 44997 (``Notice''). \\7\\ See letters to... Securities Exchange Act Release No. 61566 (February 22, 2010), 75 FR 9262 (March 1, 2010) (approving SR-FINRA-2009-065); see also Securities Exchange Act Release No. 66829 (April 18, 2012), 77 FR 24748 (April...

  16. 78 FR 44997 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-25

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... 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...

  17. 75 FR 52562 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-26

    ... No. 61808 (March 31, 2010), 75 FR 17456 (April 6, 2010) (Order Approving File No. SR- FINRA-2010-005... LEXIS 731, at *28-29 (April 12, 2001), 66 FR 20697, 20702 (April 24, 2001) (Notice of Filing and... From the Federal Register Online via the Government Publishing Office SECURITIES AND...

  18. 75 FR 51310 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-19

    ... No. 61808 (March 31, 2010), 75 FR 17456 (April 6, 2010) (Order Approving File No. SR- FINRA-2010-005... LEXIS 731, at *28-29 (April 12, 2001), 66 FR 20697, 20702 (April 24, 2001) (Notice of Filing and... From the Federal Register Online via the Government Publishing Office ] SECURITIES AND...

  19. 77 FR 37458 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-21

    ... Securities Exchange Act Release No. 62359 (June 22, 2010), 75 FR 37488 (June 29, 2010) (Order Approving NMS... operative on May 9, 2011. \\5\\ See Securities Exchange Act Release No. 65568 (October 14, 2011), 76 FR 65307... Exchange Act Release No. 66819 (April 17, 2012), 77 FR 23770 (April 20, 2012). Amendment No. 1 revised...

  20. 76 FR 42755 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-19

    ... fraudulent devices); FINRA Rule 3310 (anti-money laundering program); and FINRA Rule 4240 (margin.... 29, 2011), 76 FR 29818 (May 23, 2011) (Further Definition of ``Swap,'' ``Security- Based Swap,'' and... Exchange Act Release No. 63452 (Dec. 7, 2010), 75 FR 80174 (Dec. 21, 2010) (Further Definition of...

  1. 78 FR 73900 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-09

    .... 70276 (August 28, 2013), 78 FR 54502 (``Notice''). \\4\\ See letter from Anonymous to Elizabeth M. Murphy... Exchange Act Release No. 70613 (October 4, 2013), 78 FR 62784 (October 22, 2013). \\6\\ See letter to... unrelated algorithms or from separate and distinct trading strategies, provided these transactions are...

  2. 78 FR 54502 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-04

    ... activity for, and prevent, wash sale transactions. Transactions that originate from unrelated algorithms or.... Algorithms or trading strategies within the most discrete unit of an effective system of internal controls at... automated trading activity and the use of algorithms by firms to make trading decisions, FINRA has...

  3. 15 CFR 730.9 - Organization of the Bureau of Industry and Security.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... and Security. 730.9 Section 730.9 Commerce and Foreign Trade Regulations Relating to Commerce and Foreign Trade (Continued) BUREAU OF INDUSTRY AND SECURITY, DEPARTMENT OF COMMERCE EXPORT ADMINISTRATION REGULATIONS GENERAL INFORMATION § 730.9 Organization of the Bureau of Industry and Security. The head of...

  4. 15 CFR 730.9 - Organization of the Bureau of Industry and Security.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... and Security. 730.9 Section 730.9 Commerce and Foreign Trade Regulations Relating to Commerce and Foreign Trade (Continued) BUREAU OF INDUSTRY AND SECURITY, DEPARTMENT OF COMMERCE EXPORT ADMINISTRATION REGULATIONS GENERAL INFORMATION § 730.9 Organization of the Bureau of Industry and Security. The head of...

  5. ORGANIC EMISSIONS FROM FERROUS METALLURGICAL INDUSTRIES: COMPILATION OF EMISSION FACTORS AND CONTROL TECHNOLOGIES

    EPA Science Inventory

    The report gives results of a review and analysis of the information and data available in the public domain on organic emissions from the ferrous metallurgy industry, specifically the iron and steel, iron foundry, and ferroalloy industries. Emission sources and information gaps ...

  6. Real World of Industrial Chemistry: Organic Chemicals from Carbon Monoxide.

    ERIC Educational Resources Information Center

    Kolb, Kenneth E.; Kolb, Doris

    1983-01-01

    Carbon Monoxide obtained from coal may serve as the source for a wide variety of organic compounds. Several of these compounds are discussed, including phosgene, benzaldehyde, methanol, formic acid and its derivatives, oxo aldehydes, acrylic acids, and others. Commercial reactions of carbon monoxide are highlighted in a table. (JN)

  7. Recovery Processes of Organic Acids from Fermentation Broths in the Biomass-Based Industry.

    PubMed

    Li, Qian-Zhu; Jiang, Xing-Lin; Feng, Xin-Jun; Wang, Ji-Ming; Sun, Chao; Zhang, Hai-Bo; Xian, Mo; Liu, Hui-Zhou

    2016-01-01

    The new movement towards green chemistry and renewable feedstocks makes microbial production of chemicals more competitive. Among the numerous chemicals, organic acids are more attractive targets for process development efforts in the renewable-based biorefinery industry. However, most of the production costs in microbial processes are higher than that in chemical processes, among which over 60% are generated by separation processes. Therefore, the research of separation and purification processes is important for a promising biorefinery industry. This review highlights the progress of recovery processes in the separation and purification of organic acids, including their advantages and disadvantages, current situation, and future prospects in terms of recovery yields and industrial application. PMID:26403818

  8. Financial Analysis

    NASA Astrophysics Data System (ADS)

    Haimovitch, Larry

    1988-09-01

    This is my second annual State-Of-The-Industry, if you will, from the financial standpoint. Swergold, Chefitz & Sinsabaugh, so you understand my position a little bit better, is both an investment banking and institutional research firm. We specialize both in healthcare research and in high technology research. I am one of three healthcare analysts. I am one of the fortunate ones who get to be in the San Francisco office. My speciality includes, in the medical device and technology areas, such subsectors as medical lasers, ophthalmology, critical care medicine, orthopedic devices, and cardiovascular devices. I have followed the medical laser industry for the last few years, and what I wanted to do today was give you kind of an update on the financial state of the industry.

  9. Industrial relations and uneven development: wage structure and industrial organization in the British and US iron and steel industries 1870-1970. Doctoral thesis (final)

    SciTech Connect

    Elbaum, B.L.

    1982-06-01

    The study is principally concerned with two interrelated aspects of British and U.S. iron and steel industry development, namely with long persistent disparities in wage structure and in industrial structure and performance. The origins of these disparities are traced to a critical formative period before W.W.I, which is accordingly the main period of enquiry. The argument presented links disparity in wage structure to a distinctive trade union impact which reflected and had a reciprocal influence upon, divergent industrial organization. In either country, exclusive unions of strategic process workers were able to maintain downwardly rigid tonnage wage rates, and thereby capture, plant-by-plant, a portion of the benefits of technical change and increasing productivity. But in the U.S., trade union organization met with defeat, while in Britain, union organization was consolidated under a two-tiered structure of bargaining. Union defeat in the U.S. came at the hands of oligopolistic, multi-plant firms. Union success with two-tiered bargaining in Britain was facilitated by comparative industrial fragmentation.

  10. Application of Factor Analysis on the Financial Ratios of Indian Cement Industry and Validation of the Results by Cluster Analysis

    NASA Astrophysics Data System (ADS)

    De, Anupam; Bandyopadhyay, Gautam; Chakraborty, B. N.

    2010-10-01

    Financial ratio analysis is an important and commonly used tool in analyzing financial health of a firm. Quite a large number of financial ratios, which can be categorized in different groups, are used for this analysis. However, to reduce number of ratios to be used for financial analysis and regrouping them into different groups on basis of empirical evidence, Factor Analysis technique is being used successfully by different researches during the last three decades. In this study Factor Analysis has been applied over audited financial data of Indian cement companies for a period of 10 years. The sample companies are listed on the Stock Exchange India (BSE and NSE). Factor Analysis, conducted over 44 variables (financial ratios) grouped in 7 categories, resulted in 11 underlying categories (factors). Each factor is named in an appropriate manner considering the factor loads and constituent variables (ratios). Representative ratios are identified for each such factor. To validate the results of Factor Analysis and to reach final conclusion regarding the representative ratios, Cluster Analysis had been performed.

  11. Medicare health maintenance organizations. An industry analysis for the elderly in the USA.

    PubMed

    Asubonteng, P; Tucker, J; Munchus, G

    1996-01-01

    Provides a review and analysis of Medicare health maintenance organizations in the USA. The Porter model of industry structure is used. Discusses the issues of suppliers, buyers, market entry and substitutes. Indicates there is currently no intense rivalry among Medicare risk-based HMOs. However, the Porter model reveals crucial information regarding the forces which drive industry competition. Trends in the field of managed care and Medicare financing continue to be a real challenge regarding future research. PMID:10162927

  12. Restoring balance to industry-academia relationships in an era of institutional financial conflicts of interest: promoting research while maintaining trust.

    PubMed

    Johns, Michael M E; Barnes, Mark; Florencio, Patrik S

    2003-02-12

    Economic partnerships between industry and academia accelerate medical innovation and enhance patient access to medical advances, but such partnerships have sometimes eroded public trust in the research enterprise. There is particular risk for conflict of interest when economic partnerships extend beyond a university's corporate interests to involve institutional decision makers. Institutions and institutional decision makers should fully disclose industry-related financial interests and relationships. Without legitimate justification for such interests, individuals should divest themselves from these interests or recuse themselves from responsibility for research oversight. Management of institutional partnerships also might entail the physical separation of certain facilities, the placement of restrictions on information shared between investment and research staffs, and provision of oversight by independent review panels made up of persons who have expertise in intellectual property, finance, and research, but who are not financially or otherwise dependent on the institution. Through these means, it is possible to restore balance to industry-academia relationships, thereby promoting progress while maintaining public trust in research. PMID:12585953

  13. Social or industrial forestry--A non-governmental organization`s view

    SciTech Connect

    Chandra, D.R.; Sachi, D.P.

    1992-12-31

    Social forestry is the only way to bridge the gap between demand for forest products and services, and the availability of natural forest wealth in India. Both social and industrial forestry are vital to all developing countries. Considering the multiple uses of social forestry, it is better to develop a program to meet the needs of both domestic and industrial requirements. As well as overcoming the energy crisis, the country can meet almost all the raw-material requirements for industry through social forestry alone. In the authors view, it should be compulsory for every farmer in the country to set aside at least one third of his land area for some species of trees. This would enable him to become self sufficient in fuelwood, green-manure, small timber requirements, cattle fodder, windbreaks and shelter belts. The attitude of two private farmers to the planting of eucalypts as part of a small-scale intensive and diverse agroforestry system is presented.

  14. After the "Organic Industrial Complex": An Ontological Expedition through Commercial Organic Agriculture in New Zealand

    ERIC Educational Resources Information Center

    Campbell, Hugh; Rosin, Christopher

    2011-01-01

    This article uses the evolving understandings of commercial organic agriculture within two research programmes in New Zealand to address three problematic claims and associated framings that have underpinned analysis of the political economy of commercial organic agriculture. These three framings are: 1) that recent commercial developments in…

  15. 7 CFR 1260.113 - Established national nonprofit industry-governed organizations.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 7 Agriculture 10 2014-01-01 2014-01-01 false Established national nonprofit industry-governed organizations. 1260.113 Section 1260.113 Agriculture Regulations of the Department of Agriculture (Continued... AGRICULTURE BEEF PROMOTION AND RESEARCH Beef Promotion and Research Order Definitions § 1260.113...

  16. 7 CFR 1260.113 - Established national nonprofit industry-governed organizations.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 7 Agriculture 10 2013-01-01 2013-01-01 false Established national nonprofit industry-governed organizations. 1260.113 Section 1260.113 Agriculture Regulations of the Department of Agriculture (Continued... AGRICULTURE BEEF PROMOTION AND RESEARCH Beef Promotion and Research Order Definitions § 1260.113...

  17. 7 CFR 1260.113 - Established national nonprofit industry-governed organizations.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 7 Agriculture 10 2012-01-01 2012-01-01 false Established national nonprofit industry-governed organizations. 1260.113 Section 1260.113 Agriculture Regulations of the Department of Agriculture (Continued... AGRICULTURE BEEF PROMOTION AND RESEARCH Beef Promotion and Research Order Definitions § 1260.113...

  18. Classification of rabbit meat obtained with industrial and organic breeding by means of spectrocolorimetric technique

    NASA Astrophysics Data System (ADS)

    Menesatti, P.; D'Andrea, S.; Negretti, P.

    2007-09-01

    Rabbit meat is for its nutritional characteristics a food corresponding to new models of consumption. Quality improvement is possible integrating an extensive organic breeding with suitable rabbit genetic typologies. Aim of this work (financed by a Project of the Lazio Region, Italy) was the characterization of rabbit meat by a statistic model, able to distinguish rabbit meat obtained by organic breeding from that achieved industrially. This was pursued through the analysis of spectral data and colorimetric values. Two genetic typologies of rabbit, Leprino Viterbese and a commercial hybrid, were studied. The Leprino Viterbese has been breeded with two different systems, organic and industrial. The commercial hybrid has been bred only industrially because of its characteristics of high sensibility to diseases. The device used for opto-electronic analysis is a VIS-NIR image spectrometer (range: 400-970 nm). The instrument has a stabilized light, it works in accordance to standard CIE L*a*b* technique and it measures the spectral reflectance and the colorimetric coordinates values. The statistic data analysis has been performed by Partial Least Square technique (PLS). A part of measured data was used to create the statistic model and the remaining data were utilized in phase of test to verify the correct model classification. The results put in evidence a high percentage of correct classification (90%) of the model for the two rabbit meat classes, deriving from organic and industrial breeding. Moreover, concerning the different genetic typologies, the percentage of correct classification was 90%.

  19. The Large Laboratory Course: Organize It to Parallel Industrial Process Development.

    ERIC Educational Resources Information Center

    Eckert, Roger E.; Ybarra, Robert M.

    1988-01-01

    Describes a senior level chemical engineering course at Purdue University that parallels an industrial process development department. Stresses the course organization, manager-engineer contract, evaluation of students, course evaluation, and gives examples of course improvements made during the course. (CW)

  20. 77 FR 47853 - Request for Notification From Industry Organizations Interested in Participating in Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-10

    ... HUMAN SERVICES Food and Drug Administration Request for Notification From Industry Organizations... Advisory Committee AGENCY: Food and Drug Administration, HHS. ACTION: Notice. SUMMARY: The Food and Drug..., Office of the Commissioner, Food and Drug Administration, 10903 New Hampshire Ave., Bldg. 32, Rm....