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Sample records for organizations financial industry

  1. 75 FR 54210 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-03

    ...-2010-032] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of... Transactions August 30, 2010. On June 17, 2010, the Financial Industry Regulatory Authority, Inc....

  2. 77 FR 55517 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-10

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a.... Introduction On May 24, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the... General Counsel, Securities Industry and Financial Markets Association, dated June 26, 2012...

  3. 75 FR 40000 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-13

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc. July 2, 2010. On May 21, 2010, Financial Industry Regulatory Authority, Inc....

  4. 75 FR 30453 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-01

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving..., Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of Securities Dealers... National Association of Securities Dealers, Inc., the Financial Industry Regulatory Authority, Inc., or...

  5. 76 FR 72736 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-25

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting... September 22, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities... Killian, Vice President, Securities Industry and Financial Markets Association (``SIFMA''), to Elizabeth...

  6. 78 FR 17969 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-25

    ... Associate General Counsel, Securities Industry and Financial Markets Association to Elizabeth M. Murphy... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of..., 2013. On February 1, 2013, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with...

  7. 75 FR 62439 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-08

    ...-2010-043] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving..., 2010. I. Introduction On August 6, 2010, the Financial Industry Regulatory Authority, Inc. (``FINRA..., 2010 (``Wiesenberg Letter''); Letter from Manisha Kimmel, Executive Director, Financial...

  8. 78 FR 72951 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-04

    ... disclosure requirement believing it will help customers ``assess the risks and financial impact associated... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving... Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and ]...

  9. 76 FR 20757 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting... February 4, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the...

  10. 75 FR 17456 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-06

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving... January 21, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities...

  11. 77 FR 47470 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-08

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal... FINRA Rulebook August 2, 2012. On April 22, 2009, the Financial Industry Regulatory Authority,...

  12. 75 FR 74766 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-01

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and..., Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission... class of its securities, another waiver will not be granted. Notwithstanding the significant...

  13. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... hereby given that Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association... National Association of Securities Dealers, Inc., the Financial Industry Regulatory Authority, Inc., or...

  14. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... is hereby given that on September 7, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA... Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., The New York Stock Exchange,...

  15. 75 FR 39610 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-09

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Financial Industry Regulatory Authority, Inc...'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on June 24, 2010, Financial...

  16. 75 FR 7532 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-19

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and...,\\2\\ notice is hereby given that on February 4, 2010, Financial Industry Regulatory Authority, Inc... in Regulatory Notice 09-71 that the new financial responsibility rules will be implemented...

  17. 76 FR 11542 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-02

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving... 24, 2011. I. Introduction On November 10, 2010, the Financial Industry Regulatory Authority, Inc... fidelity bond will be a great financial burden for small firms.\\16\\ The third commenter agrees with...

  18. 75 FR 8771 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-25

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook February 18, 2010. On November 18, 2009, the Financial Industry Regulatory Authority,...

  19. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of..., Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of Securities Dealers... (June 30, 2009), 74 FR 32668 (July 8, 2009). \\2\\ See letter from Dale E. Brown, CAE, Financial...

  20. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... hereby given that on November 21, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA...\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the...

  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... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on June 30, 2010, Financial Industry Regulatory.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  2. 75 FR 2899 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-19

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving... January 12, 2010. On November 24, 2009, the Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k...- regulatory organizations.\\6\\ \\6\\ See, e.g., Nasdaq Rule 4761 and NYSE-Arca Rule 7.39. It is therefore...

  3. 77 FR 58880 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-24

    ... 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, Inc...\\ 15 U.S.C. 78s(b)(3)(A). \\4\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement...

  4. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... thereunder,\\2\\ notice is hereby given that on November 25, 2013, Financial Industry Regulatory Authority, Inc.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  5. 78 FR 24261 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-24

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on April 15, 2013, Financial Industry Regulatory...\\ 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement of the Terms of Substance of...

  6. 77 FR 74249 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-13

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...,\\2\\ notice is hereby given that on November 30, 2012, Financial Industry Regulatory Authority, Inc.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  7. 75 FR 69503 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-12

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...\\ notice is hereby given that on October 29, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of...

  8. 76 FR 50515 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-15

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on August 5, 2011, Financial Industry Regulatory...-4(f)(6). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed...

  9. 76 FR 2739 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-14

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... is hereby given that on January 5, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is...

  10. 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... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on March 12, 2010, Financial Industry Regulatory...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is...

  11. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... that on February 4, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of...

  12. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... thereunder,\\2\\ notice is hereby given that on May 18, 2010, Financial Industry Regulatory Authority, Inc.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  13. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...,\\2\\ notice is hereby given that on October 28, 2011, Financial Industry Regulatory Authority, Inc.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  14. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... is hereby given that on September 22, 2011, the Financial Industry Regulatory Authority, Inc.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  15. 75 FR 53998 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-02

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on August 16, 2010, Financial Industry Regulatory.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... given that on February 4, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  17. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... is hereby given that on May 24, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of...

  18. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... February 9, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and...). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of...

  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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... thereunder,\\2\\ notice is hereby given that, on March 9, 2010, Financial Industry Regulatory Authority, Inc...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is...

  20. 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

    ...-FINRA-2011-044] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of... is hereby given that on November 8, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA...\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the...

  1. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...,\\2\\ notice is hereby given that on January 21, 2010, Financial Industry Regulatory Authority, Inc.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  2. 76 FR 55443 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-07

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... hereby given that on August 22, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is...

  3. 76 FR 55441 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-07

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on August 22, 2011, Financial Industry Regulatory... Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is proposing to...

  4. 76 FR 56848 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-14

    ... COMMISSION [Release No. 34-65281; File No. SR-FINRA-2011-031 Self-Regulatory Organizations; Financial... Disclosing September 7, 2011. I. Introduction On July 8, 2011, the Financial Industry Regulatory Authority... Compliance Officer, NPB Financial Group, LLC, dated July 27, 2011 (``NPB Letter''); letter from Joyce...

  5. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...\\ notice is hereby given that February 9, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...

  6. 75 FR 68654 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-08

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on October 27, 2010, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  7. 75 FR 59300 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-27

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on September 17, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``Commission'')...

  8. 76 FR 78706 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-19

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a... On October 20, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the... advised that it would announce the implementation date of the proposed rule change in a Regulatory...

  9. 75 FR 27606 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-17

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on April 27, 2010, the Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of Securities Dealers,...

  10. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on January 10, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  11. 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 Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  12. 77 FR 7218 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-10

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on January 30, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  13. 76 FR 11830 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-03

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on February ] 22, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  14. 76 FR 77034 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-09

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and...''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 2, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange...

  15. 75 FR 17460 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-06

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and...'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on March 26, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  16. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... 19b-4 thereunder,\\2\\ notice is hereby given that on July 27, 2010, Financial Industry Regulatory... from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...

  17. 78 FR 10655 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-14

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...) February 8, 2013. I. Introduction On December 20, 2012, Financial Industry Regulatory Authority, Inc... Equity Securities.\\5\\ FINRA may impose a ``Foreign Regulatory Halt'' when a foreign securities...

  18. 76 FR 68240 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-03

    ...-2011-062] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on October 20, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  19. 76 FR 20741 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting... On February 4, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the... implementation of New Rule 13806 (Promissory Note Proceedings) in Regulatory Notice 09-48 (August 2009)....

  20. 77 FR 1524 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-10

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving..., 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and... effective date of the proposed rule change in a Regulatory Notice to be published no later than 60...

  1. 76 FR 20065 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-11

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on March 30, 2011, Financial Industry Regulatory... interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory...

  2. 77 FR 5610 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-03

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and...\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on January 24, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``Commission'')...

  3. 76 FR 29808 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-23

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting... Distributions) May 18, 2011. I. Introduction On April 26, 2011, the Financial Industry Regulatory Authority, Inc... 29, 2011. II. Description of the Proposed Rule Change On November 29, 2010, FINRA issued...

  4. 78 FR 54359 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-03

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on August 20, 2103, Financial Industry Regulatory.... \\3\\ 15 U.S.C. 78s(b)(3)(A)(i). \\4\\ 17 CFR 240.19b-4(f)(1). ] I. Self-Regulatory...

  5. 76 FR 66344 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-26

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving.... Introduction On August 31, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National... Regulatory Notice to be published no later than 90 days following this Commission approval. The...

  6. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... thereunder,\\3\\ notice is hereby given that, on July 18, 2013, Financial Industry Regulatory Authority, Inc... as described in Items I, II and III below, which Items have been prepared by the...

  7. 77 FR 68181 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-15

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 2, 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC''...

  8. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and... hereby given that on May 4, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed...

  9. 76 FR 50796 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-16

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and..., 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and... limit increase will remedy this situation to the benefit of large as well as retail traders,...

  10. 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

    ... material amendments to such document, or any amendments to any disclosures mandated by the proposed rule... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of..., 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities...

  11. 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

    ... Proposal would have required any material amendments to such disclosure document, or any amendments to any... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... Consolidated FINRA Rulebook June 7, 2012. I. Introduction On October 5, 2011, the Financial Industry...

  12. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Reinstitute Short Exempt Marking for Trade Reporting and OATS August 20, 2010...,\\2\\ notice is hereby given that on August 6, 2010, Financial Industry Regulatory Authority,...

  13. 75 FR 11605 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-11

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and.../Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees March 4, 2010. Pursuant to Section 19(b... hereby given that on March 1, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed...

  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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... OTC Equity Securities) April 17, 2012. I. Introduction On October 6, 2011, Financial Industry...-4 thereunder,\\2\\ a proposed rule change to amend FINRA Rule 6433 (Minimum Quotation...

  15. 77 FR 76112 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-26

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 12, 2012, Financial...

  16. 77 FR 38866 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-29

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

  17. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck November 14, 2013. Pursuant...

  18. 76 FR 64419 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-18

    ... 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 Revise the Series 7 Examination Program September...

  19. 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

    ... 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... (Customer Account Statements) in the Consolidated FINRA Rulebook (``Notice''). The Notice...

  20. 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....

  1. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control... (Application for Approval of Change in Ownership, Control, or Business Operations) and to adopt Form...

  2. 78 FR 79716 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc; Order Instituting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-31

    ...-71180; File No. SR-FINRA-2013-039] Self-Regulatory Organizations; Financial Industry Regulatory...'' (or ``trust preferred'') securities--under these rules. Both classes are ``hybrid'' securities, in that each has debt- and equity- like features. According to FINRA, such hybrid securities...

  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

    ... requests under Regulation T and SEC Rule 15c3-3. \\18\\ 15 U.S.C. 78o-3(b)(6). B. Self-Regulatory... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... Regulation T and SEC Rule 15c3-3) in the Consolidated FINRA Rulebook June 2, 2010. Pursuant to Section...

  4. 76 FR 25397 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-04

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the By- Laws of FINRA Regulation, Inc. With Regard to District Committees... change to amend the By-Laws of FINRA's regulatory subsidiary (``FINRA Regulation'') with regard...

  5. 77 FR 70515 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-26

    ... 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 Establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a...

  6. 78 FR 60003 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    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 and Immediate Effectiveness of a Proposed Rule Change to Extend the Limited Waiver of the TRACE Professional Real-Time Data Display Fee...

  7. 75 FR 41562 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-16

    ... 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 Adopt FINRA Rule 4210 (Margin Requirements), FINRA Rule 4220 (Daily Record of Required Margin) and FINRA Rule 4230...

  8. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Create an Exemption From Certain Reporting Obligations Under the Equity Trade Reporting Rules for Certain Alternative Trading Systems September 23, 2011. Pursuant to Section 19(b)(1)...

  9. Financial Services Industry

    DTIC Science & Technology

    2007-01-01

    4. TITLE AND SUBTITLE 2007 Financial Services Industry 5a. CONTRACT NUMBER 5b. GRANT NUMBER 5c. PROGRAM ELEMENT NUMBER 6. AUTHOR(S) 5d...Sarbox was imposed to mandate: Public companies must evaluate and disclose the effectiveness of internal controls as they relate to financial...Qualified Domestic Institutional Investor (QDII) program would improve the offering of investment products to Chinese investors and allow them to

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-25

    ... 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, Inc... change to amend FINRA's rules relating to the handling of stop and stop limit orders. The proposed...

  11. 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

    ... and Copying of Books) December 7, 2012. I. Introduction On September 10, 2009, the Financial Industry... Testimony and Inspection and Copying of Books). The proposed rule change was published for comment in the... under the rule to inspect and copy the books, records, and accounts of such member or person,...

  12. 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

    ... No. 1, To Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions... (Networking Arrangements Between Members and Financial Institutions). The details of the proposed rule change... the terms of compensation (networking agreement); (2) segregate the securities activities conducted...

  13. 75 FR 475 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-05

    ... Proposed Rule Change To Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA... Financial Condition to Customers) and NASD Rule 2910 (Disclosure of Financial Condition to Other Members) as... 2270 and NASD Rule 2910, subject to certain amendments, into FINRA Rule 2261 (Disclosure of...

  14. 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

    ... running prohibitions to cover trading in an option, derivative, or other financial instrument overlying a... to all related financial instruments (e.g., stock options and futures, options futures, other... types of securities other than options and security futures, FINRA intends to make clear that...

  15. 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

    ... Form BD) or otherwise available to FINRA from CRD records (e.g. continuing education status), thereby... relating to the applicant's use of social media sites). Standard 7 (Maintaining Adequate Net Capital): This... financial and operations principal (``FINOP''), impact of proposed business change on financial...

  16. 77 FR 14848 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-13

    ..., including, among other things, risks to the financial system arising from credit risk resulting from... Exemptions in Connection with Request of Chicago Mercantile Exchange Inc. and Citadel Investment Group,...

  17. 77 FR 14850 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-13

    ... counterparty credit risk posed by CDS, including, among other things, risks to the financial system arising... Exemptions in Connection with Request of Chicago Mercantile Exchange Inc. and Citadel Investment Group,...

  18. 77 FR 12635 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-01

    ... Order Processing Assistant Representatives, Research Analysts and Operations Professionals, respectively... to $95. Variable Contracts Representative. Series 7 General Securities From $265 to $290... Investment Company Products/ From $85 to $95. Variable Contracts Principal. Series 27 Financial...

  19. 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

    .... FINRA has been advised by insurance industry representatives that the proposed rule change does not...-4(b)(4). FINRA has been advised by insurance industry representatives that the proposed alternative... changes required by the insurance industry. FINRA will consider such factors in establishing...

  20. 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

    ... information, such as any written customer complaints and exception reports, to each other and/or to FINRA and..., proprietary and customer positions, FOCUS and similar reports, audited financial statements and complaint and.... (4) Furnishing of Customer Complaints and Reports As proposed in the Notice, proposed FINRA Rule...

  1. 78 FR 58580 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-24

    ... (``Bakhtiari Letter''); David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial.... Ilgenfritz, President, Public Investors Arbitration Bar Association, dated July 11, 2013 (``PIABA Letter...-arbitrator case raised a perception that FINRA Dispute Resolution's forum was not fair to customers. In...

  2. 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

    ... 3310, which requires a firm to have procedures reasonably designed to achieve compliance with the Bank... objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other... financial and investment information, including (i) basic investment concepts, such as risk and...

  3. 78 FR 43945 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-22

    ... SEC approved amendments to FINRA Rule 4240 that, among other things, limit at this time the rule's... by CDS, including, among other things, risks to the financial system arising from the lack of a...,\\9\\ including certain CDS. The new legislation was intended, among other things, to enhance...

  4. Financial Services Industry

    DTIC Science & Technology

    2006-01-01

    continue using the markets to raise new capital ( Mishkin & Eakins, 2003). In the U.S., prior to the Great Depression most regulation surrounding the...the regulatory activities that in the U.S. are housed in eight different agencies ( Mishkin & Eakins, 2003). Japanese regulation is structured similar...www.investopedia.com/features/industryhandbook/banking.asp Mishkin , F. & Eakins, S. (2003). Financial Markets + Institutions (4th ed.). Boston

  5. 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

    ... cannot because of the definitions of Industry Member \\3\\ and Public Member \\4\\ in the FINRA Dispute Resolution By-Laws (By-Laws). \\3\\ See Dispute Resolution By-Laws, Article I(s) (Definitions-- Industry Member). \\4\\ See Dispute Resolution By-Laws, Article I(x) (Definitions-- Public Member). In a FINRA...

  6. 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 industry includes anyone who spent a substantial part of his or her career in the industry... roster attorneys, accountants, or other professionals whose firms have derived ten percent or more of...-percent rule. This precluded an attorney, accountant, or other professional from serving as a...

  7. 77 FR 67038 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-08

    .... Specifically, the proposed rule change would amend the definitions of Industry ] Members \\3\\ and Public Members... professional services provided to brokers or dealers. The amended definitions would allow mediators who are... Dispute Resolution By-Laws, Article I(s) (Definitions-- Industry Member). \\4\\ See Dispute Resolution...

  8. Industry Related Financial Incentives.

    DTIC Science & Technology

    1987-09-29

    toxic chemicals. Campbell hazards were more specific to concerns of the food processing industry -- preventing food contamination. Celanese, citing...Maintenance of production Control of Toxic chemicals HCESCHT Hiazarcs -pecific to tre chemical industry. CE LANE SE 3-2 Exhibit 3-2 IDENTIFICATION OF...of the event and that no one was harmed. Additionally, Johnson and Johnson called upon Campbell’s expertise during the more recent Tylenol recall

  9. ICAF Financial Services Industry Study

    DTIC Science & Technology

    2005-06-01

    discussion of the industry would be complete without an understanding of the concept of moral hazard in the financial markets. According to Mishkin and...28 REFERENCES General Baumol, William J. and Alan S. Blinder, Economics, Principles and Policy, 9th ed., Thomson, Mason Ohio, 2003. Mishkin ...34 Wall Street Journal. pg. A1. Mishkin , Frederic S. and Stanley G. Eakins. Financial Markets + Institutions. Boston, MA: Addison Wesley. 2003

  10. 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

    ... Information About Members and Their Associated Persons of Any Registered National Securities Exchange That... information about members and their associated persons of any registered national securities exchange that... CRD system, the securities industry online registration and licensing database. FINRA member...

  11. 77 FR 44298 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-27

    ... rule change from interested persons. I. Self-Regulatory Organization's Statement of the Terms of... Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the... statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for,...

  12. 77 FR 47469 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-08

    .... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is..., set forth in Sections A, B and C below, of the most significant aspects of such statements. A. Self.... Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From...

  13. 77 FR 27262 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-09

    ... letter from Jill I. Gross, Director, Edward Pekarek, Assistant Director, and Genavieve Shingle, Student... forum, and by improving the environment for pro bono legal services organizations to help more...

  14. 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

    .... Specifically, if a firm implements and utilizes an effective system of internal controls, such as appropriate..., because other equally effective ways for firms to establish internal control systems to monitor... particular customer order unless the member organization has implemented a reasonable system of...

  15. 77 FR 61647 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-10

    ... Immediate Effectiveness of Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions... Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is proposing to amend Section 1 of Schedule A to the FINRA By-Laws to adjust the rate of FINRA's Trading Activity Fee...

  16. 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

    ... concerning the adjustment of corporate actions for short interest reporting purposes. The text of the... the ex-date of the corporate action (and if no ex-date is declared by a self-regulatory organization... must reflect corporate actions (e.g., a reverse or forward split) that impact the total number...

  17. 78 FR 11925 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-20

    ... 30 calendar- day period. See FINRA Rule 2210(a)(5). \\12\\ FINRA had originally proposed to make these... these rules. \\14\\ 15 U.S.C. 78o-3(b)(6). \\15\\ 15 U.S.C. 78o-3(g)(3). B. Self-Regulatory Organization's... notice of its intent to file the proposed rule change at least five business days prior to the date...

  18. 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

  19. 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.

  20. 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.

  1. Spring 2008 Industry Study: Financial Services Industry

    DTIC Science & Technology

    2008-01-01

    tagged it a Minsky moment in honor of American economist Hyman Minsky who developed the Financial Instability Hypothesis (FIH) after the financial...crisis of 1966.12 Unlike classical economists, Minsky believed that while booms and busts are inherent to the capitalist system they create a genuine...the Credit Crunch as a Minsky Moment”, Challenge, Jan- Feb 2008: 101. 8. Martin Wolf, “Why the Financial Turmoil is an Elephant in a Dark Room

  2. Financial Services Industry Study Paper Seminar 16

    DTIC Science & Technology

    2002-01-01

    globalization accelerates. While our financial industry can compete globally for capital, the recent Enron scandal and the events of September 11, 2001 cast...clouds over the next five years. First, Enron has shaken investor confidence in our markets and corporate governance. The government and the entire...efficient financial markets in the world 13 is due to its high standards of financial accounting and disclosure, or transparency. However, the Enron debacle

  3. 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.

  4. 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.

  5. 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)

  6. 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)

  7. Measuring Interdependency among Industrial Chains with Financial Data

    NASA Astrophysics Data System (ADS)

    Sun, Jingchun; Fang, Ye; Luo, Jing

    Industrial chains exhibit strong interdependency within a large-scale resource-based enterprise group. When analyzing the independency effect in industrial chains, the interdependency of financial index is often ignored. In this paper, we will mainly focus on measuring the long-term interdependency effect by historical simulation and cointegration tests with financial data. A large-scale coal-mining group is studied empirically as a case to explain the framework of independency analysis among the industrial chains. The results show that high degree of independency appears in production costs and marketing costs, and low degree appears in revenues and profits.

  8. 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.

  9. 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.

  10. 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

  11. 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.

  12. 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.

  13. Talking about Money Is Taboo: Perceptions of Financial Planning Students and Implications for the Financial Planning Industry

    ERIC Educational Resources Information Center

    Alsemgeest, Liezel

    2016-01-01

    Communication about money is a social, cultural and psychological taboo and yet it is essential in the financial planning industry, as a financial planner cannot be effective if all information is not disclosed. This article examines how financial planning students perceive communication about money, their willingness to talk about it and their…

  14. Arts Organizations and the 1987 Census of Service Industries.

    ERIC Educational Resources Information Center

    Peters, Mary G. Monnie

    The Census of Service Industries, which is conducted by the U.S. Bureau of the Census in years ending with 2 or 7, collects information on the number of organizations and selected financial measures in both performing and non-performing arts disciplines. This report presents and analyzes the 1987 data in chart format. The aim is to provide a view…

  15. 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…

  16. 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.

  17. 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.

  18. Financial Constrains for Innovative Firms: The Role of Size, Industry and ICT Uses as Determinants of Firms' Financial Structure

    NASA Astrophysics Data System (ADS)

    Castillo-Merino, David; Vilaseca-Requena, Jordi; Plana-Erta, Dolors

    This paper uses a large and original data set of Catalan firms in all the economic branches to analyse the effects of size, industry and degree of ICT uses on financial constraints for innovative firms. We have conducted a micro econometric analysis following Henry et al. (1999) investment model to empirically contrast the relationship between firms' investment spread over time and their financial structure, and we have used von Kalckreuth (2004) methodology, based on an original survey with data on financial issues. Our results show that it exits a positive and significant relationship between investment shift and financial structure, emerging financial constraints for more innovative firms. Furthermore, these constraints are higher for micro companies and firms within the knowledge-advanced services' industry. Finally, we have also found that advanced ICT uses by more innovative firms allow them to reduce constraints of access to sources of finance.

  19. 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.

  20. Implementation of Financial Sustainability in Organizations through Valuation of Financial Leverage Effect in Russian Practice of Financial Management

    ERIC Educational Resources Information Center

    Ashmarina, Svetlana I.; Zotova, Anna S.; Smolina, Ekaterina S.

    2016-01-01

    The article considers the need of ensuring the sustainable development of organizations in the unstable external environment; financial sustainability which is understood as the optimal structure of funding sources of a business entity is proved to be the most significant factor of sustainable development. The article proves that the index of…

  1. 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.

  2. 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…

  3. 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,…

  4. EPA Seeks Small Entity Input on Financial Responsibility Requirements for Hardrock Mining Industry

    EPA Pesticide Factsheets

    WASHINGTON -- The U.S. Environmental Protection Agency (EPA) seeks nominations from those small entities that may be subject to a proposed rule establishing financial responsibility requirements for facilities within the hardrock mining industry. Fi

  5. 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.

  6. 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.

  7. 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

    ... financial management system shall include provisions for the following seven elements. (a) Financial reports.... (b) Accounting records. The financial management system shall maintain records sufficiently detailed... or tribal organization's financial management system contain to meet these standards? 900.45...

  8. Financial Services: A Report on the Industry 2004

    DTIC Science & Technology

    2004-06-01

    securities following a series of highly publicized corporate scandals . Its goals are to provide greater transparency in corporate accounting and...government deregulation, financial services are more subject to regulation than ever before in response to recent corporate scandals . The consolidation of...components of the nation’s economic power. Reputational Risk. With recent scandals in accounting firms, big corporations, and mutual funds, reputation has

  9. 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

  10. 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

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

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Miscellaneous § 1.52 Self-regulatory organization adoption and surveillance of minimum financial requirements... the minimum financial and related reporting requirements adopted by such self-regulatory organizations... monitoring and auditing for compliance with the minimum financial rules of the self-regulatory...

  12. Revisiting the relationship between environmental and financial performance in Chinese industry.

    PubMed

    Qi, G Y; Zeng, S X; Shi, Jonathan J; Meng, X H; Lin, H; Yang, Q X

    2014-12-01

    The debate on the relationship between corporate or industrial environmental performance (EP) and financial performance (FP) has yet to be resolved, and studies need to examine the possible moderating effects on the EP-FP link. We argue that industrial EP has a positive effect on FP and that industrial munificence and resource slack can moderate the EP-FP link. Using a dataset from Chinese industrial firms, we examine the direct effect of industrial EP on FP and the indirect effects of industrial munificence and resource slack on the EP-FP link. Our results show that improving corporate or industrial-level EP significantly influences FP and that slack resources play a significant role on the EP-FP link. However, we found no significant moderating effect of industrial munificence on the link.

  13. Academia–Industry Symbiosis in Organic Chemistry

    PubMed Central

    2015-01-01

    Conspectus 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

  14. Using a Systems Framework for Organizing Family Financial Planning.

    ERIC Educational Resources Information Center

    Edwards, Kay P.

    1988-01-01

    Systems concepts are applied to family financial planning using a functional interpretation of systems analyses. The framework can help professionals researching family financial behavior and its outcomes, planning programs, and offering financial services. It can also be used by families in their own financial planning. (Author/JOW)

  15. 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.

  16. 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.

  17. 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…

  18. Relationships between authorship contributions and authors' industry financial ties among oncology clinical trials.

    PubMed

    Rose, Susannah L; Krzyzanowska, Monika K; Joffe, Steven

    2010-03-10

    PURPOSE To test the hypothesis that authors who play key scientific roles in oncology clinical trials, and who therefore have increased influence over the design, analysis, interpretation or reporting of trials, are more likely than those who do not play such roles to have financial ties to industry. METHODS Data were abstracted from all trials (n = 235) of drugs or biologic agents published in the Journal of Clinical Oncology between January 1, 2006 and June 30, 2007. Article-level data included sponsorship, age group (adult v pediatric), phase, single versus multicenter, country (United States v other), and number of authors. Author-level data (n = 2,927) included financial ties (eg, employment, consulting) and performance of key scientific roles (ie, conception/design, analysis/interpretation, or manuscript writing). Associations between performance of key roles and financial ties, adjusting for article-level covariates, were examined using generalized linear mixed models. Results One thousand eight hundred eighty-one authors (64%) reported performing at least one key role, and 842 authors (29%) reported at least one financial tie. Authors who reported performing a key role were more likely than other authors to report financial ties to industry (adjusted odds ratio [OR], 4.3; 99% CI, 3.0 to 6.0; P < .0001). The association was stronger among trials with, compared with those without, industry funding (OR, 5.0 [99% CI, 3.4 to 7.5] v OR, 2.5 [99% CI, 1.3 to 4.8]), but was present regardless of sponsorship. CONCLUSION Authors who perform key roles in the conception and design, analysis, and interpretation, or reporting of oncology clinical trials are more likely than authors who do not perform such roles to have financial ties to industry.

  19. 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.

  20. Modeling financial markets by self-organized criticality.

    PubMed

    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.

  1. [Financial capital versus medical-industrial complex: challenges for the regulatory agencies].

    PubMed

    Iriart, Celia

    2008-01-01

    This article presents the structural processes that consolidated under the hegemony of the financial capital in the 90s; the dispute between the financial capital operating in the health sector and the medical-industrial complex; the strategies used by the medical-industrial complex for regaining positions; and the challenges all these processes pose for the regulatory agencies. The problems the regulatory agencies are facing lie in two central processes: 1) the hegemony the financial capital reached in the 90s in the health sector through reforms aimed at deregulating the sector in order to facilitate its entrance; and 2) the repositioning of the medical-industrial complex since the mid 90s by radicalizing medicalization. This article is based on several studies conducted by the author using qualitative methods and quantitative secondary data for understanding the historical-situational context. The theoretical approach was based on Marx, Gramsci, Benasayag, Badiou, Testa and Merhy. The analyses of the most recent reforms induced by the medical-industrial complex were the result of a bibliographic and document review.

  2. 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...

  3. 75 FR 63113 - Financial Resources Requirements for Derivatives Clearing Organizations

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-14

    ... COMMISSION 17 CFR Parts 39 and 140 RIN 3038-AC98, 3038-AD02 Financial Resources Requirements for Derivatives... statutory provisions enacted by Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The proposed regulations establish financial resources requirements...

  4. 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

  5. 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

  6. Can MHA graduates tackle financial management? Lessons from American corporate industry.

    PubMed

    Hepner, J O; Ameiss, A P

    1984-01-01

    American industry, the major purchaser of medical services, is beginning to use its buying power to intervene in the healthcare system. Management committees hav been established to develop cost analysis and containment approaches to the utilization of medical services. With innovations by corporate industry, does the hospital CEO see an advocate or yet another adversary in addition to government regulation? Specifically, what preparation do master's degree graduates have, prior to their subsequent job experience, to make an informed contribution in financial decision making? Research was conducted to obtain data from health administration graduate programs in the United States and Canada to help find answers to these questions. This study addresses the strengths and weaknesses of the two major inputs to health financial management education--the proper mix and delivery of course presentations, and the student's motivation, maturity, and academic background. In some respects, both have been found wanting--not only from the findings of this investigation, but also by the AUPHA Task Force on Financial Management in the curriculum. About one-fourth of the entrants to master's degree programs have a business school background which includes courses in accounting, economics, and finance. However, the remaining 75% have other academic backgrounds, which suggests that teaching financially oriented courses to these graduate students is a major problem. The question of whether a health administration graduate with some finance training or a pure finance graduate is more desirable remains unanswered. This is especially true in meshing the immediate needs of the healthcare marketplace for financial management personnel and the long-range career goals of the graduate. This article presents the survey results and seven recommendations for action.

  7. 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 organizations. (a) Introduction. The URAA provides for opportunity for comment by consumer organizations...

  8. 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 organizations. (a) Introduction. The URAA provides for opportunity for comment by consumer organizations...

  9. Deregulating the electric utility industry: financial dislocations and implicit regulatory rents

    SciTech Connect

    Golub, B.W.

    1982-01-01

    A framework was developed that lends itself to both order-of-magnitude estimates of the aggregate impact of deregulation and an approach to structuring the debate about the equity of the financial dislocations that deregulation will create. This approach involves calculating what one can term implicit regulatory rents. Implicit regulatory rents are the present value of regulatory policies that cause derivations from outcomes consistent with long-run competitive equilibrium. Using this approach, it was found that up to $196 billion dollars in present value might be transferred from customers to existing utilities through the loss of implicit regulatory rents. This figure is not, however, appropriate for use as a substitute for the financial dislocations referred to above. It permits two important observations: (1) deregulation of the electric utility industry does have the potential to create huge financial gains and losses; and (2) any deregulation proposal must be concerned with the details of the prior regulatory regime since some very large sums of money, such as deferred taxes and outstanding long-term bonds, may mean very different things depending upon how the regulatory process defined them. A financial simulation model is used to illustrate how implicit regulatory rents can be calculated at the level of an individual firm. 51 references.

  10. Phases of Recognition and Management of Financial Crisis in Public Organizations.

    ERIC Educational Resources Information Center

    Jones, L. R.

    Based in part on interviews conducted in 32 municipalities, this paper is intended to provide information to public managers, policy analysts, and others on methods for improving the management of retrenchment. A model summarizes how public organizations recognize and attempt to manage financial crises and prolonged financial stress. Some cutback…

  11. 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

  12. Recombinant organisms for production of industrial products.

    PubMed

    Adrio, Jose-Luis; Demain, Arnold L

    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.

  13. Financial planning as a policy tool in the petroleum industry (the case study: ojsc ”SURGUTNEFTEGAS”)

    NASA Astrophysics Data System (ADS)

    Romanyuk, Vera; Karyakina, Anna; Vershkova, Elena; Grinkevish, Larisa; Pozdeeva, Galina

    2016-09-01

    The article deals with the financial planning of oil and gas company activities including capital structure optimization. One of the main tasks of up-to-date financial management is to optimize the capital structure of an organization and minimize the weighted average cost of capital. The applied method in capital structure optimization affects the research quality results, as well as management decisions. The study was conducted on the basis of OJSC "Surgutneftegas" financial statements.

  14. 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

  15. Shining the light on physician-pharmaceutical and medical device industry financial relationships.

    PubMed

    Conn, Lawrence; Vernaglia, Lawrence

    2011-09-01

    Long subject to legal scrutiny under the federal Anti-Kickback Statute, financial ties between physicians and drug manufacturers have recently come under additional pressure as a result of recently enacted state and federal disclosure laws and state gift restrictions, the latest coming in connection with the Federal Health Reform Law. These "sunshine" laws have been motivated by the concern that gifts and payments by manufacturers to physicians may lead to conflicts of interest and improperly influence physicians in their drug- or device-prescribing decisions. As a backdrop to these new laws, it is helpful to review prior guidance regarding manufacturer-physician financial relationships, both from the federal government and the industry itself. These laws do not prohibit physician involvement with industry in research and education, but they impose various new compliance requirements on these relationships, and also in many cases, require public disclosure of arrangements that previously were treated as confidential. It is still too early to tell if these laws will stifle innovation, but they do require a heightened degree of diligence to avoid, at a minimum, adverse publicity and embarrassment and, at worst, criminal and civil liability.

  16. Gender Differences in Physicians’ Financial Ties to Industry: A Study of National Disclosure Data

    PubMed Central

    Rose, Susannah L.; Sanghani, Ruchi M.; Schmidt, Cory; Karafa, Matthew T.; Kodish, Eric; Chisolm, Guy M.

    2015-01-01

    Background Academic literature extensively documents gender disparities in the medical profession with regard to salary, promotion, and government funded research. However, gender differences in the value of financial ties to industry have not been adequately studied despite industry’s increasing contribution to income and research funding to physicians in the U.S. Methods & Findings We analyzed publicly reported financial relationships among 747,603 physicians and 432 pharmaceutical, device and biomaterials companies. Demographic and payment information were analyzed using hierarchical regression models to determine if statistically significant gender differences exist in physician-industry interactions regarding financial ties, controlling for key covariates. In 2011, 432 biomedical companies made an excess of $17,991,000 in payments to 220,908 physicians. Of these physicians, 75.1% were male. Female physicians, on average, received fewer total dollars (-$3,598.63, p<0.001) per person than men. Additionally, female physicians received significantly lower amounts for meals (-$41.80, p<0.001), education (-$1,893.14, p<0.001), speaker fees (-$2,898.44, p<0.001), and sponsored research (-$15,049.62, p=0.05). For total dollars, an interaction between gender and institutional reputation was statistically significant, implying that the differences between women and men differed based on industry’s preference for an institution, with larger differences at higher reputation institutions. Conclusions Female physicians receive significantly lower compensation for similarly described activities than their male counterparts after controlling for key covariates. As regulations lead to increased transparency regarding these relationships, efforts to standardize compensation should be considered to promote equitable opportunities for all physicians. PMID:26067810

  17. 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.

  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. 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

    ... Staff: Financial Disclosure by Clinical Investigators; Correction AGENCY: Food and Drug Administration...: Financial Disclosure by Clinical Investigators.''The document was published with an incorrect docket...

  20. The Impact of a Learning Organization on Performance: Focusing on Knowledge Performance and Financial Performance

    ERIC Educational Resources Information Center

    Kim, Kyoungshin; Watkins, Karen E.; Lu, Zhenqiu

    2017-01-01

    Purpose: The purpose of this study is to examine the relationships among a learning organization, knowledge and financial performance using the Dimensions of the Learning Organization Questionnaire and its abbreviated version. Design/methodology/approach: This study used a secondary data set and performed second-order factor analysis and…

  1. 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.

  2. 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.

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 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...

  8. 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... organization financial management systems when carrying out a self-determination contract? The fiscal control... EDUCATION ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards...

  9. 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... organization financial management systems when carrying out a self-determination contract? The fiscal control... EDUCATION ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards...

  10. 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... organization financial management systems when carrying out a self-determination contract? The fiscal control... EDUCATION ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards...

  11. 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)

  12. 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.

  13. Engineering organisms for industrial fuel production

    PubMed Central

    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, CO2 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, CO2 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

  14. Volatile organic monitor for industrial effluents

    SciTech Connect

    Laguna, G.R.; Peter, F.J.; Stuart, A.D.; Loyola, V.M.

    1993-07-01

    1990 amendments to the Clean Air Act have created the need for instruments capable of monitoring volatile organic compounds (VOCS) in public air space in an unattended and low cost manner. The purpose of the study was to develop and demonstrate the capability to do long term automatic and unattended ambient air monitoring using an inexpensive portable analytic system at a commercial manufacturing plant site. A gas chromatograph system personal computer hardware, meteorology tower & instruments, and custom designed hardware and software were developed. Comparison with an EPA approved method was performed. The system was sited at an aircraft engines manufacturing site and operated in a completely unattended mode for 60 days. Two VOCs were monitored every 30 minutes during the 24hr day. Large variation in the concentration from 800ppb to the limits of detection of about 10ppb were observed. Work to increase the capabilities of the system is ongoing.

  15. Disrupting Threat Finances: Using Financial Information to Disrupt Terrorist Organizations

    DTIC Science & Technology

    2008-04-01

    organizations work together to meet the significant threat that terrorist networks pose to national sovereignty. In the U.S., we describe this situation as...both at home and abroad include a number of interdependent activities: a. Terrorist designation. First, the USG designates terrorists and then...cooperation and complete integration with intel- ligence activities, law enforcement officials will develop a better under- standing of the situation

  16. Hierarchical Organization and Disassortative Mixing of Correlation-Based Weighted Financial Networks

    NASA Astrophysics Data System (ADS)

    Cai, Shi-Min; Zhou, Yan-Bo; Zhou, Tao; Zhou, Pei-Ling

    Correlation-based weighted financial networks are analyzed to present cumulative distribution of strength with a power-law tail, which suggests that a small number of hub-like stocks have greater influence on the whole fluctuation of financial market than others. The relationship between clustering and connectivity of vertices emphasizes hierarchical organization, which has been depicted by minimal span tree in previous work. These results urge us to further study the mixing patter of financial network to understand the tendency for vertices to be connected to vertices that are like (or unlike) them in some way. The measurement of average nearest-neighbor degree running over classes of vertices with degree k shows a descending trend when k increases. This interesting result is first uncovered in our work, and suggests the disassortative mixing of financial network which refers to a bias in favor of connections between dissimilar vertices. All the results in weighted complex network aspect may provide some insights to deeper understand the underlying mechanism of financial market and model the evolution of financial market.

  17. 5 CFR 5502.107 - Supplemental disclosure of financial interests in substantially affected organizations applicable...

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... investigator, medical advisory investigator, associate investigator, or other subinvestigator in an NIH... with the NIH any financial interest in a substantially affected organization and the value thereof held... agency component, other than the NIH, or of the remainder of HHS who is either a public filer,...

  18. 5 CFR 5502.107 - Supplemental disclosure of financial interests in substantially affected organizations applicable...

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... investigator, medical advisory investigator, associate investigator, or other subinvestigator in an NIH... with the NIH any financial interest in a substantially affected organization and the value thereof held... agency component, other than the NIH, or of the remainder of HHS who is either a public filer,...

  19. 5 CFR 5502.107 - Supplemental disclosure of financial interests in substantially affected organizations applicable...

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... investigator, medical advisory investigator, associate investigator, or other subinvestigator in an NIH... with the NIH any financial interest in a substantially affected organization and the value thereof held... agency component, other than the NIH, or of the remainder of HHS who is either a public filer,...

  20. 5 CFR 5502.107 - Supplemental disclosure of financial interests in substantially affected organizations applicable...

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... investigator, medical advisory investigator, associate investigator, or other subinvestigator in an NIH... with the NIH any financial interest in a substantially affected organization and the value thereof held... agency component, other than the NIH, or of the remainder of HHS who is either a public filer,...

  1. 17 CFR 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Self-regulatory organization adoption and surveillance of minimum financial requirements. 1.52 Section 1.52 Commodity and Securities... registered with the Securities and Exchange Commission as securities brokers or dealers to file...

  2. 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.

  3. 17 CFR 31.28 - Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... TRANSACTIONS § 31.28 Self-regulatory organization adoption and surveillance of minimum financial, cover... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation and sales practice requirements....

  4. 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

    ... organization financial management systems when carrying out a self-determination contract? The fiscal control... or tribal organization financial management systems when carrying out a self-determination contract... SERVICE, DEPARTMENT OF HEALTH AND HUMAN SERVICES CONTRACTS UNDER THE INDIAN SELF-DETERMINATION...

  5. 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

    ... organization financial management systems when carrying out a self-determination contract? The fiscal control... or tribal organization financial management systems when carrying out a self-determination contract... SERVICE, DEPARTMENT OF HEALTH AND HUMAN SERVICES CONTRACTS UNDER THE INDIAN SELF-DETERMINATION...

  6. Determining business models for financial sustainability in regional health information organizations: a literature review.

    PubMed

    Maffei, Roxana; Dunn, Kim

    2008-11-06

    While the promise and enthusiasm for regional health information organizations (RHIOs) are immense, a significant issue regarding this type of health information exchange, (HIE) remains unclear: financial sustainability. As of today, there is a clear lack of concrete business models implemented in RHIOs' projects. The purpose of this study is to conduct a literature review of the current state of RHIOs adaptation and implementation of business models for successful financial sustainability, as well as evaluate existing RHIOs financial situation to determine and recommend best models for economic uphold. This literature review will be the starting point for thorough analysis and understanding of the economic factors required for RHIOs to generate a return on investment (ROI) and become self-sustainable.

  7. 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.

  8. 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…

  9. 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.

  10. Determining business models for financial sustainability in regional health information organizations (RHIOs): a review.

    PubMed

    Maffei, Roxana; Burciago, Daniel; Dunn, Kim

    2009-10-01

    Regional health information organizations (RHIOs) have the potential to alleviate today's health care problems by granting providers access to a supported body of clinical information for all patients in a given region. While the promise of and enthusiasm for RHIOs is immense, the issue of their financial sustainability remains unclear. It has been said that the business model supporting a regional or national health information network is as essential, if not more essential, than the technology that makes it feasible. Currently, there is a clear lack of concrete business models implemented in RHIOs' projects. This article reports the results of a literature review of the current status of the adaptation and implementation of business models by RHIOs for successful financial sustainability. Based on the review, this article also attempts to evaluate the existing financial situation of RHIOs to determine and recommend the best models of economic sustainability. Significant findings include RHIOs' present financial environment, planning, and self-sustainability methods. Future studies will be needed as RHIOs continue to grow and move toward the implementation phase of their development.

  11. Democracy versus dictatorship in self-organized models of financial markets

    NASA Astrophysics Data System (ADS)

    D'Hulst, R.; Rodgers, G. J.

    2000-06-01

    Models to mimic the transmission of information in financial markets are introduced. As an attempt to generate the demand process, we distinguish between dictatorship associations, where groups of agents rely on one of them to make decision, and democratic associations, where each agent takes part in the group decision. In the dictatorship model, agents segregate into two distinct populations, while the democratic model is driven towards a critical state where groups of agents of all sizes exist. Hence, both models display a level of organization, but only the democratic model is self-organized. We show that the dictatorship model generates less-volatile markets than the democratic model.

  12. 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

  13. 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

  14. Management of the industry/research organization interface

    SciTech Connect

    John, B.; Spiliopoulos, J.M.; Beazley, J.; Harvey, T.J.M.; Gillies, A.D.S.

    1999-07-01

    The purpose of a consultancy undertaken to assess management processes in research projects to improve communication between research organizations and the mining industry through the development of an improved mode of operation and customer interface is discussed. The consultancy was conducted using the Nadler and Tushman Congruency Model of Organizational Behavior to assess components of a project's inputs, transformation process and outputs for their degree of congruence or fit. As an example the University of Queensland (UQ) managed ACARP project Maximizing Coal Production in the Presence of Hydrogen Sulfide (H{sub 2}S) Seam Gas was used for illustration. An action research process was used to collect data on the project organization and history, observations made of group project meetings and interviews undertaken with project staff and representatives of the mining industry and the UQ. The findings highlighted major differences in culture between the university and industry, inadequate planning and strategy development, ineffective inter-group communication, high and conflicting demands on time, and in some cases a poor fit between individuals and tasks. Recommendations proposed to address these issues are presented as two groups, those applicable to the current H{sub 2}S Project and those for future similar research projects. They involve improved strategies for inter-group and interpersonal communication, role clarification, project administration and organizational learning and assessment. The proposed interventions are relatively simple, easily implemented and inexpensive. They have the potential to improve the fit between the components of the organization as well as between the organization and its environment, enhance efficiency and effectiveness and improve the relationship between the university and industry to ensure future collaborative research projects and access to external funding.

  15. 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.

  16. 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

  17. Benchmarks for ethically credible partnerships between industry and academic health centers: beyond disclosure of financial conflicts of interest.

    PubMed

    Meslin, Eric M; Rager, Joshua B; Schwartz, Peter H; Quaid, Kimberly A; Gaffney, Margaret M; Duke, Jon; Tierney, William H

    2015-12-01

    Relationships between industry and university-based researchers have been commonplace for decades and have received notable attention concerning the conflicts of interest these relationships may harbor. While new efforts are being made to update conflict of interest policies and make industry relationships with academia more transparent, the development of broader institutional partnerships between industry and academic health centers challenges the efficacy of current policy to effectively manage these innovative partnerships. In this paper, we argue that existing strategies to reduce conflicts of interest are not sufficient to address the emerging models of industry-academic partnerships because they focus too narrowly on financial matters and are not comprehensive enough to mitigate all ethical risk. Moreover, conflict-of-interest strategies are not designed to promote best practices nor the scientific and social benefits of academic-industry collaboration. We propose a framework of principles and benchmarks for "ethically credible partnerships" between industry and academic health centers and describe how this framework may provide a practical and comprehensive approach for designing and evaluating such partnerships.

  18. 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...

  19. 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...

  20. 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...

  1. 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...

  2. 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...

  3. 17 CFR 31.28 - Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... reporting requirements; and (2) Of the identity of the designated self-regulatory organization which has... 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,...

  4. 17 CFR 31.28 - Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... reporting requirements; and (2) Of the identity of the designated self-regulatory organization which has... 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,...

  5. 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.

  6. 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

  7. 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…

  8. 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.

  9. Limiting financial disincentives in live organ donation: a rational solution to the kidney shortage.

    PubMed

    Gaston, R S; Danovitch, G M; Epstein, R A; Kahn, J P; Matas, A J; Schnitzler, M A

    2006-11-01

    Availability of kidney transplantation is limited by an inadequate supply of organs, with no apparent remedy on the immediate horizon and increasing reliance on living donors (LDs). While some have advocated financial remuneration to stimulate donation, the National Organ Transplant Act (NOTA) of 1984 expressly forbids the offer of 'valuable consideration.' However, recent developments indicate some fluidity in the definition of valuable consideration while evolving international standards highlight deficiencies (particularly regarding long-term care and follow-up) in the current American system. Recognizing that substantial financial and physical disincentives exist for LDs, we propose a policy change that offers the potential to enhance organ availability as well as address concerns regarding long-term care. Donors assume much greater risk than is widely acknowledged, risk that can be approximated for the purpose of determining appropriate compensation. Our proposal offsets donor risk via a package of specific benefits (life insurance, health insurance and a small amount of cash) to minimize hazard and ensure donor interests are protected after as well as before nephrectomy. It will fund medical follow-up and enable data collection so that long-term risk can be accurately assessed. The proposal should be cost effective with only a small increase in the number of LDs, and the net benefit will become greater if removal of disincentives stimulates even further growth. As importantly, by directly linking compensation to risk, we believe it preserves the essence of kidney donation as a gift, consistent with NOTA and implementable in the United States without altering current legal statutes.

  10. The likely financial effects on individuals, industry and commerce of the use of genetic information.

    PubMed

    Ross, T

    1997-08-29

    In this paper I look at the financial implications of genetic testing, particularly in the employment and pensions fields. I have generally not covered life insurance, as that is covered in other papers in this Discussion Meeting. However, the issues are similar, although the emphasis is different. Inevitably there is an element of speculation involved; genetic testing is in its infancy and so we cannot predict either what information we will be able to obtain through genetic testing, nor the uses that may be devised for this information.

  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.

  13. 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...

  14. 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...

  15. 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...

  16. 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...

  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. 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

    ...) Develops policies for Department-wide financial management systems including core financial systems and the... the accounting center, OPDIV, and Department's financial system change management to ensure accounting... Policy and Oversight (OFSPO) is responsible for overseeing the management of Department-wide...

  19. 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…

  20. Big Data Analytics Solutions: The Implementation Challenges in the Financial Services Industry

    ERIC Educational Resources Information Center

    Ojo, Michael O.

    2016-01-01

    The challenges of Big Data (BD) and Big Data Analytics (BDA) have attracted disproportionately less attention than the overwhelmingly espoused benefits and game-changing promises. While many studies have examined BD challenges across multiple industry verticals, very few have focused on the challenges of implementing BDA solutions. Fewer of these…

  1. 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.…

  2. 77 FR 71804 - Request for Notification From Industry Organizations Interested in Participating in the Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-04

    ... HUMAN SERVICES Food and Drug Administration Request for Notification From Industry Organizations... Nominations for Nonvoting Industry Representatives on the Device Good Manufacturing Practice Advisory Committee AGENCY: Food and Drug Administration, HHS. ACTION: Notice. SUMMARY: The Food and...

  3. Financial physics

    NASA Astrophysics Data System (ADS)

    Feigenbaum, James

    2003-10-01

    In this introduction to the burgeoning field of econophysics, we review the application of self-organized criticality to economics, the Cont-Bouchaud percolation model, multiple-strategy agent-based models of financial markets, the minority game, and log-periodic precursors to financial crashes.

  4. Lifting the veil of secrecy from industry funding of nonprofit health organizations.

    PubMed

    Jacobson, Michael F

    2005-01-01

    Those who provide information about scientific issues and science policy normally present themselves as being objective and "scientific." This article describes a range of health charities, professional associations, nonprofit advocacy organizations, and industry-created organizations that receive significant funding from industry. In some cases, industry appears either to influence an organization's positions or to limit an organization's freedom to speak out on matters of interest to the funders. Nonprofit organizations need to consider the potential influence on their independence if they accept funding from interested companies and trade associations.

  5. 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)

  6. The strong financial case for regenerative medicine and the regen industry.

    PubMed

    Mason, Chris; Dunnill, Peter

    2008-05-01

    Although the therapeutic promise of regenerative medicine is immensely exciting, the cost of product development, and particularly of clinical trials, for the more demanding applications will be high. For this reason it is vital for scientists and start-ups who wish to see their ideas implemented to be able to convince established major pharmaceutical or device companies with the necessary 'deep pockets' that the expenditure can yield an appropriate return. It also means that governments and health insurance companies must see a gain in funding regenerative medicine for patients. To address this issue the costs of five major medical conditions that could benefit from regenerative medicine have been defined for the USA as an illustration. This choice of country was made as potentially the largest initial market and one where the billing system for healthcare allows access to individual direct and some indirect costs. The data are complemented by a number of relevant examples of costs per quality-adjusted life year to indicate where current treatment methods are weak or strong. Finally, the relationship of the nascent regen* industry to the pharma and medical device sectors is summarized to assess the challenge of encouraging their involvement.

  7. Discrepancy between financial disclosures of authors of clinical practice guidelines and reports by industry

    PubMed Central

    Andreatos, Nikolaos; Zacharioudakis, Ioannis M.; Zervou, Fainareti N.; Muhammed, Maged; Mylonakis, Eleftherios

    2017-01-01

    Abstract There is a substantial effort to increase the accuracy of conflicts of interest (COI) reporting, and reduce the influence of COI between physicians and industry, especially as it relates to clinical practice guidelines. We used the newly implemented Open Payments dataset to evaluate the accuracy of COI disclosures of authors of clinical practice guidelines that were either newly published or revised within 2014 and were included in the National Guideline Clearinghouse (NGC) website (maintained by the U.S. Department of Health and Human Services). Authors were considered as having inaccurate COI disclosure if they had not reported all companies from which they had received funds >$5000 in the 12 months preceding the guideline's publication. We identified 223 guidelines that were either newly published (109/223; 48.9%) or revised (114/223; 51.1%) within 2014 and were included in the NGC website. Among the 1329 guideline authors with available Open Payments data, 523 received >$5000 from at least 1 healthcare-associated entity. However, only 56 out of the 523 authors (10.7%) were found to have accurate COI disclosure. The percentage of authors with accurate COI disclosure in revised guidelines was significantly lower than in newly published guidelines (6.8% vs 14.3%; P < 0.01) and was also found to differ between specialties. Furthermore, authors were less likely to inaccurately disclose “research payments” (37/49, 75.5%) compared to “general payments” (488/559, 87.3%, P = 0.02) as well as “other/associated research funding” (430/506, 85.0%, P = 0.08). No statistically significant association was detected between funding amount and disclosure accuracy. The majority of guideline authors lacked significant COIs, but among authors that received significant funds from at least 1 healthcare-associated entity the frequency of accurate disclosure was low. These findings indicate that the current process of disclosing COIs may be suboptimal

  8. Discrepancy between financial disclosures of authors of clinical practice guidelines and reports by industry.

    PubMed

    Andreatos, Nikolaos; Zacharioudakis, Ioannis M; Zervou, Fainareti N; Muhammed, Maged; Mylonakis, Eleftherios

    2017-01-01

    There is a substantial effort to increase the accuracy of conflicts of interest (COI) reporting, and reduce the influence of COI between physicians and industry, especially as it relates to clinical practice guidelines.We used the newly implemented Open Payments dataset to evaluate the accuracy of COI disclosures of authors of clinical practice guidelines that were either newly published or revised within 2014 and were included in the National Guideline Clearinghouse (NGC) website (maintained by the U.S. Department of Health and Human Services). Authors were considered as having inaccurate COI disclosure if they had not reported all companies from which they had received funds >$5000 in the 12 months preceding the guideline's publication.We identified 223 guidelines that were either newly published (109/223; 48.9%) or revised (114/223; 51.1%) within 2014 and were included in the NGC website. Among the 1329 guideline authors with available Open Payments data, 523 received >$5000 from at least 1 healthcare-associated entity. However, only 56 out of the 523 authors (10.7%) were found to have accurate COI disclosure. The percentage of authors with accurate COI disclosure in revised guidelines was significantly lower than in newly published guidelines (6.8% vs 14.3%; P < 0.01) and was also found to differ between specialties. Furthermore, authors were less likely to inaccurately disclose "research payments" (37/49, 75.5%) compared to "general payments" (488/559, 87.3%, P = 0.02) as well as "other/associated research funding" (430/506, 85.0%, P = 0.08). No statistically significant association was detected between funding amount and disclosure accuracy.The majority of guideline authors lacked significant COIs, but among authors that received significant funds from at least 1 healthcare-associated entity the frequency of accurate disclosure was low. These findings indicate that the current process of disclosing COIs may be suboptimal and a proactive approach

  9. IT Knowledge Requirements Identification in Organizational Networks: Cooperation Between Industrial Organizations and Universities

    NASA Astrophysics Data System (ADS)

    Rudzajs, Peteris; Kirikova, Marite

    ICT professionals face rapid technology development, changes in design paradigms, methodologies, approaches, and cooperation patterns. These changes impact relationships between universities that teach ICT disciplines and industrial organizations that develop and use ICT-based products. The required knowledge and skills of university graduates depend mainly on the current industrial situation; therefore the university graduates have to meet industry requirements which are stated at the time point of their graduation, not at the start of their studies. Continuous cooperation between universities and industrial organizations is needed to identify a time and situation-dependent set of knowledge requirements, which lead to situation aware, industry acknowledged, balanced and productive ICT study programs. This chapter proposes information systems solutions supporting cooperation between the university and the industrial organizations with respect to curriculum development in ICT area.

  10. Essays on empirical analysis of multi-unit auctions: Impacts of financial transmission rights on the restructured electricity industry

    NASA Astrophysics Data System (ADS)

    Zang, Hailing

    This dissertation uses recently developed empirical methodologies for the study of multi-unit auctions to test the impacts of Financial Transmission Rights (FTRs) on the competitiveness of restructured electricity markets. FTRs are a special type of financial option that hedge against volatility in the cost of transporting electricity over the grid. Policy makers seek to use the prices of FTRs as market signals to incentivize efficient investment and utilization of transmission capacity. However, prices will not send the correct signals if market participants strategically use FTRs. This dissertation uses data from the Texas electricity market to test whether the prices of FTRs are efficient to achieve such goals. The auctions studied are multi-unit, uniform-price, sealed-bid auctions. The first part of the dissertation studies the auctions on the spot market of the wholesale electricity industry. I derive structural empirical models to test theoretical predictions as to whether bidders fully internalize the effect of FTRs on profits into their bidding decisions. I find that bidders are learning as to how to optimally bid above marginal cost for their inframarginal capacities. The bidders also learn to bid to include FTRs into their profit maximization problem during the course of the first year. But starting from the second year, they deviated from optimal bidding that includes FTRs in the profit maximization problems. Counterfactual analysis show that the primary effect of FTRs on market outcomes is changing the level of prices rather than production efficiency. Finally, I find that in most months, the current allocations of FTRs are statistically equivalent to the optimal allocations. The second part of the dissertation studies the bidding behavior in the FTR auctions. I find that FTRs' strategic impact on the FTR purchasing behavior is significant for large bidders---firms exercising market power in the FTR auctions. Second, trader forecasts future FTR credit

  11. "Learning" from other industries: lessons and challenges for health care organizations.

    PubMed

    Kaissi, Amer

    2012-01-01

    Although it is true that health care has several distinguishing characteristics that set it apart, analysts both within and outside the industry point to several similarities with other fields and suggest opportunities for health care to learn from other industries. Applications from other industries have been described in the literature, but the transfer of learning at health care industry level has not been examined. This article investigates health care learning from other industries in the recent decade, focusing on aviation, high-reliability organizations, car manufacturing, telecommunication, car racing, entertainment, and retail; evidence suggests that most innovative practices originate with these fields. The diffusion of innovations from other industries appears to start with a few early adopter organizations (hospitals and health systems) and influential other organizations (The Joint Commission, Institute of Medicine, Agency for Healthcare Research and Quality, or Institute for Healthcare Improvement) pushing for the innovations. Once the trend becomes accepted, consultants and copying behavior seem to contribute to its spread across the industry. An important question to explore is whether the applications in the early adopter organizations are different (in terms of their effectiveness) from those in the rest of the industry. Another intriguing issue is to examine whether other industries learn from health care organizations.

  12. 40 CFR Table 1 to Subpart F of... - Synthetic Organic Chemical Manufacturing Industry Chemicals

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 40 Protection of Environment 9 2010-07-01 2010-07-01 false Synthetic Organic Chemical... POLLUTANTS FOR SOURCE CATEGORIES National Emission Standards for Organic Hazardous Air Pollutants From the Synthetic Organic Chemical Manufacturing Industry Pt. 63, Subpt. F, Table 1 Table 1 to Subpart F of Part...

  13. 40 CFR Table 1 to Subpart F of... - Synthetic Organic Chemical Manufacturing Industry Chemicals

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... 40 Protection of Environment 10 2012-07-01 2012-07-01 false Synthetic Organic Chemical... POLLUTANTS FOR SOURCE CATEGORIES National Emission Standards for Organic Hazardous Air Pollutants From the Synthetic Organic Chemical Manufacturing Industry Pt. 63, Subpt. F, Table 1 Table 1 to Subpart F of Part...

  14. 40 CFR Table 1 to Subpart F of... - Synthetic Organic Chemical Manufacturing Industry Chemicals

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... 40 Protection of Environment 9 2011-07-01 2011-07-01 false Synthetic Organic Chemical... POLLUTANTS FOR SOURCE CATEGORIES National Emission Standards for Organic Hazardous Air Pollutants From the Synthetic Organic Chemical Manufacturing Industry Pt. 63, Subpt. F, Table 1 Table 1 to Subpart F of Part...

  15. 40 CFR Table 1 to Subpart F of... - Synthetic Organic Chemical Manufacturing Industry Chemicals

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 40 Protection of Environment 10 2014-07-01 2014-07-01 false Synthetic Organic Chemical... POLLUTANTS FOR SOURCE CATEGORIES National Emission Standards for Organic Hazardous Air Pollutants From the Synthetic Organic Chemical Manufacturing Industry Pt. 63, Subpt. F, Table 1 Table 1 to Subpart F of Part...

  16. 40 CFR Table 1 to Subpart F of... - Synthetic Organic Chemical Manufacturing Industry Chemicals

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... 40 Protection of Environment 10 2013-07-01 2013-07-01 false Synthetic Organic Chemical... POLLUTANTS FOR SOURCE CATEGORIES National Emission Standards for Organic Hazardous Air Pollutants From the Synthetic Organic Chemical Manufacturing Industry Pt. 63, Subpt. F, Table 1 Table 1 to Subpart F of Part...

  17. 17 CFR 39.33 - Financial resources requirements for systemically important derivatives clearing organizations...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... requirements for systemically important derivatives clearing organizations and subpart C derivatives clearing... DERIVATIVES CLEARING ORGANIZATIONS Provisions Applicable to Systemically Important Derivatives Clearing Organizations and Derivatives Clearing Organizations That Elect To Be Subject to the Provisions of This...

  18. 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

    ... another communication, Knight reiterated its belief that the proposal would have serious negative... pricing and increased vulnerability to gaming and frontrunning.\\44\\ Knight expressed concern about...

  19. 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

    ... spread, calendar (or time) spread, ``long'' calendar butterfly spread, ``long'' calendar condor spread, ``long'' condor spread, ``short'' calendar iron butterfly spread, ``short'' calendar iron condor spread, ``short'' iron butterfly spread and ``short'' iron condor spread. While the strategies recognized...

  20. 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

    ... butterfly spread, ``long'' calendar condor spread, ``long'' condor spread, ``short'' calendar iron butterfly spread, ``short'' calendar iron condor spread, ``short'' iron butterfly spread and ``short'' iron...

  1. 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

    ...) regarding position limits, (b)(4) regarding exercise limits and (b)(23) regarding tendering procedures for... email is used. To help the Commission process and review your comments more efficiently, please use...

  2. 78 FR 68893 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-15

    ... Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum... Equity Securities) to extend the tier size pilot, which currently is scheduled to expire on November 12... ``Rule'') to extend the amendments set forth in File No. SR-FINRA-2011-058 (the ``tier size...

  3. 78 FR 16341 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-14

    ... the CEA to hold cash and securities in a portfolio margining account that is carried as a futures... customer as a result of such contracts) in a portfolio margining account that is carried as a...

  4. 77 FR 31677 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-29

    ... of Mediation With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator... (``Mediation Director'') with discretion to determine whether parties to a FINRA mediation may select a... mediation to select a mediator either from a list of FINRA mediators supplied by the Mediation Director,...

  5. 75 FR 48731 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-11

    ... of time. .02 Member Obligations Under SEA Rule 15c3-3. Nothing in this Rule shall be construed as... (Member Obligations Under SEA Rule 15c3-3) to clarify that nothing in the proposed rule shall be...

  6. 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...

  7. 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

    ... (Communications With the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213... Analysis Tools), 2215 (Communications With the Public Regarding Security Futures), and 2216 (Communications... FINRA Rule 2210 to exclude from the definition of ``institutional communication'' a member's...

  8. 77 FR 5084 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-01

    ... and equitable principles of trade and, in general, to protect investors and the public interest. FINRA...\\ Because the proposed rule change does not: (i) Significantly affect the protection of investors or the... consistent with the protection of ] investors and the public interest, the proposed rule change has...

  9. 77 FR 5069 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-01

    ...\\ FINRA will continue its concerted communications campaign to ensure that the public (including retail investors) is well-informed with respect to the pending changes. See www.OTCBB.com August 1, 2011 news item... and equitable principles of trade, and, in general, to protect investors and the public...

  10. 75 FR 167 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-04

    ... request in relation to FINRA rules Rule 9551 (Failure to Comply with Public Communication Standards), Rule... investors who have been harmed); --Harmonize the remedy for an individual's failure to pay an arbitration..., Secretary, Commission, from Scott R. Shewan, President, Public Investors Arbitration Bar...

  11. 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

    ... to investors, FINRA has reviewed its rule on arbitrator referrals and determined that it should be... is a serious, ongoing, imminent threat to investors that requires immediate action. Currently, Rule... any matter or conduct poses a serious, ongoing, imminent threat to investors that requires...

  12. 78 FR 8668 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-06

    ... specified levels to promote stability and investor confidence during a period of significant stress, along... futures markets to implement a coordinated means to address potentially destabilizing market volatility... NMS stocks to promote stability and investor confidence during a period of significant stress. \\6\\...

  13. 75 FR 41262 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-15

    ...''); Submission via SEC WebForm from Leonard Steiner, Steiner & Libo, P.C., dated May 27, 2010 (``Steiner comments... approve the proposal on an expedited basis. \\12\\ See PIRC letter. ] The Steiner comments suggest limiting... represented by only one attorney.\\13\\ The Steiner comments also ask that: (1) FINRA be ordered to...

  14. 78 FR 4917 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-23

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... for corporate bonds and Agency Debt Securities (``Corporate/Agency Debt Securities''). The FINRA ADDS... was a party that were reported on that date either in Asset-Backed Securities or Corporate/Agency...

  15. 78 FR 28687 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-15

    ... 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 the... (``IM'') 2110-3 (Front Running Policy) as FINRA Rule 5270 with certain changes, including broadening...

  16. 76 FR 45883 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-01

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... for individuals who are registered or seeking registration with FINRA. FINRA also delivers... vendors and degrade the efficiency of test center resource utilization. To discourage such behavior,...

  17. 75 FR 75718 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-06

    ... services of the Chicago Mercantile Exchange. The text of the proposed rule change is below. Proposed new... that are cleared through the central counterparty clearing services of the Chicago Mercantile Exchange... clearing services of the Chicago Mercantile Exchange (``CME''). On September 21, 2009, FINRA extended...

  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

    ... treatment of internal communications for education and training as institutional communications; \\9\\ \\9\\ See... investor;'' (3) the requirements applicable to internal communications, public appearances and postings in... Partial Amendment No. 1, to Adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use...

  19. 75 FR 23316 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-03

    ... security'' in Rule 7410 of the OATS rules to the proposed definition in Rule 6420 and explained that the proposed change will not result in any change to the scope of securities required to be reported to...

  20. 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...

  1. 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

    ... Proposed Rule Change To Amend the Codes of Arbitration Procedure To Provide for Attorney Representation of... provide that a non-party witness may be represented by an attorney at an arbitration hearing while the...-party witness has the right to be represented by an attorney at an arbitration proceeding held in...

  2. 75 FR 11972 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-12

    ... 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 pool...' Web sites to see the total volume for any given ATS dark pool, and the TRF Business Members will...

  3. 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...

  4. 76 FR 70190 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-10

    ... concern about dark pools and their potential impact on the fairness and transparency of the national market system.\\12\\ One of these commenters suggested that dark pools be prohibited entirely.\\13\\ FINRA... transparency that currently exists.\\14\\ FINRA stated that all trades executed on an ATS, including a dark...

  5. 78 FR 66405 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-05

    ... known as the Multi Product Platform (``MPP'').\\16\\ FINRA originally scheduled the migration of the ADF... Participant, and some have asked whether the migration of the ADF to MPP could be accelerated.\\18\\ FINRA states that such acceleration requires delaying the migration of other FINRA facilities onto...

  6. 78 FR 29190 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-17

    ... Reporting Requirement Following Migration to FINRA's Multi-Product Platform (``MPP'') One commenter... reporting trades to the ORF \\32\\ following migration to FINRA's new MPP and asserted that introducing new trade reporting requirements before the migration is premature.\\33\\ \\32\\ The Commission notes that...

  7. 78 FR 4186 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-18

    ... Immediate Effectiveness of Proposed Rule Change To Adopt Interim Form for Funding Portals Under the... Interim Form for Funding Portals (``IFFP''). The IFFP is an online form for prospective intermediaries that intend to apply for membership with FINRA as funding portals (``prospective funding portal...

  8. 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

    ... diligence: (1) The character of the market for the security; (2) the size and type of transaction; (3) the... twenty years ago, the market for non-exchange-listed securities has changed dramatically.\\9\\ FINRA has... Three Quote Rule to exclude certain transactions in non-exchange-listed securities of foreign...

  9. 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

    ... 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 4524... is not otherwise reported on certain firms' balance sheets. To that end, the proposal would...

  10. 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...

  11. 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

    ... circulating or causing to publish or circulate, any notice, circular, advertisement, newspaper article, investment service, or communication of any kind which purports to report any transaction as a purchase or... broadly, the proposed supplementary material would exclude the following communications from the...

  12. 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

    ... circulating or causing to publish or circulate, any notice, circular, advertisement, newspaper article, investment service, or communication of any kind which purports to report any transaction as a purchase or... broadly, the proposed supplementary material would exclude the following communications from the...

  13. 76 FR 51097 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-17

    ... FINRA Rule 11892 (1) through (3), a clearly erroneous review of a trigger trade or latency trade \\9... securities given the greater percentages that apply. \\9\\ A ``latency trade'' is a trade that...

  14. 76 FR 40412 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-08

    ... provisions of Section 15A(b)(6) of the Act,\\6\\ which requires, among other things, that FINRA rules must be... the following methods: Electronic Comments Use the Commission's Internet comment form ( http://www.sec..., please use only one method. The Commission will post all comments on the Commission's Internet Web...

  15. 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

    ... requires, among other things, that FINRA rules must be designed to prevent fraudulent and manipulative acts... 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 (...

  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

    ... communication was prepared or distributed. ] Information concerning the source of any statistical table, chart... relationship between the member and any non-member or individual who is also named in the communication; and... Proposed Rule Change To Adopt FINRA Rules 2210 (Communications With the Public), 2212 (Use of...

  17. 78 FR 21449 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-10

    .... Carlson, Tousley Brain Stephens, dated Jan. 29, 2013 (``Carlson Letter''); letter from David Harrison, Law... commenters, however, many stated that while they agreed with the proposed rule change, they thought FINRA..., some otherwise supportive commenters thought that FINRA should lengthen the proposed cooling off...

  18. 78 FR 5522 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-25

    ... Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Date of FINRA Rule 5350 (Stop... Proposed Rule Change FINRA is proposing to delay the implementation date of FINRA Rule 5350 (Stop Orders... Rule 5350 (Stop Orders),\\4\\ a new rule that replaces the stop order provisions of FINRA Rule...

  19. 75 FR 81704 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-28

    ... Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (``Act''),\\2\\ and Rule 19b-4 thereunder,\\3\\ a proposed rule change to amend FINRA Rule 6140 to eliminate the provisions regarding the handling of stop... Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend FINRA Rule 6140...

  20. 75 FR 70757 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-18

    ...-1 and IM-1013-2 and receive orders through systems operated and regulated by the NYSE or NYSE Amex... 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...

  1. 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

    ... selection methods--the current panel selection method, which would be labeled ``Composition Rules for Majority Public Panel'' (``Majority Public Panel''), and a new panel selection method, which would be... proposed rule change, customers could choose the panel selection method; neither firms nor...

  2. 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

    ... section would include ethics-based questions that address issues such as data integrity, escalation of... or investment banking business of a member firm be qualified and registered persons. These... integral role in the business of the firm, and their activities often have a meaningful connection...

  3. 75 FR 34183 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-16

    ... Bar Association Business Law Section to Elizabeth M. Murphy, Secretary, Commission, dated June 3, 2010... Marshall School of Business, to Elizabeth M. Murphy, Secretary, Commission, dated May 26, 2010 (``Harris...''); Letter from Alexander M. Cutler, Business Roundtable to Elizabeth M. Murphy, Secretary, Commission,...

  4. 78 FR 63268 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-23

    ... that by automating and improving transaction fee transfers between members as a value-added service... Reporting Facility To Transfer Transaction Fees Charged by One Member to Another Member October 17, 2013... Reporting Facility (the ``FINRA/NYSE TRF'') to transfer transaction fees charged by one member to...

  5. 76 FR 27123 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-10

    ... technology comprising the interdealer quotation system operated by FINRA, which is currently known as ``OTCBB... FINRA to operate its interdealer quotation system under the new name without change or interruption to... it facilitates FINRA's continued ability to operate an interdealer quotation system for use by...

  6. 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...

  7. 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...

  8. 78 FR 56251 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-12

    ... solicitation and general advertising in offerings of securities pursuant to Securities Act Rule 144A and in... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... Approval of Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible...

  9. 75 FR 69725 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-15

    ... Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Effective Date of the Changes to...)(A)(i) of the Act \\3\\ and Rule 19b-4(f)(1) thereunder,\\4\\ which renders the proposal effective upon... effective date of the changes to the FINRA trade reporting and Order Audit Trail System (``OATS'') rules...

  10. 75 FR 78316 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-15

    ... Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of the Trading Pause Pilot... (Trading Halts Due to Extraordinary Market Volatility) to extend the effective date of the pilot, which is... FINRA Rule 6121.01 to extend the effective date of the pilot by which such rule operates, which...

  11. 78 FR 12405 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-22

    ...). \\5\\ See also Letter from Philip Shaikun, Associate Vice President and Associate General Counsel... the applicant within the corporate legal structure (e.g., reorganizing only to add a holding...

  12. 76 FR 45631 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-29

    ....C. 10(a). \\8\\ See Timothy L. Woods v. Saturn Distribution Corporation, 78 F.3d 424, 427 (9th Cir. 1996). \\9\\ Ballantine Books Inc. v. Capital Distributing Company, 302 F.2d 17, 21 (2nd Cir. 1962). Last... proposal. \\42\\ See, e.g., Spector v. Torenberg, 852 F. Supp. 201, 209 (S.D.N.Y. 1994) (citing...

  13. 76 FR 43360 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-20

    ... clearing services using a margin methodology approved by FINRA as announced in a Regulatory Notice (``approved margin methodology''). The Interim Pilot Program shall automatically expire on January 17, 2012... otherwise meet such definition but for being subject to individual negotiation,] include any product that...

  14. 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

    ... in the FINRA By-Laws.\\3\\ FINRA Rule 8210(c) provides that a member's or person's failure to provide... of the rule. \\3\\ See FINRA By-Laws, Article V, Section 4(a) (Retention of Jurisdiction). FINRA is... that its members have an obligation under existing laws to protect confidential customer records...

  15. 75 FR 69508 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filings...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-12

    ... Supplementary Material .08 to clarify a member's reporting obligations regarding customer complaints pursuant to... written customer complaints pursuant to proposed FINRA Rule 4530(d), regardless of whether such...\\ and (3) any written customer complaint reported under proposed FINRA Rule 4530(a)(1)(B) must also...

  16. 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

    ... to produce Forms RE-3, U-4, and U-5, including all amendments, customer complaints identified in the forms, and customer complaints of a similar nature against the associated persons handling the accounts... information about prior customer ] complaints. FINRA would narrow production of these forms to the...

  17. 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

    ... appropriate that all requirements that apply to a member that clears or carries customer accounts also apply...)(i), either clears customer transactions pursuant to such exemptive provisions or holds customer... customers' funds and securities and the safeguarding of such funds and securities must comply with...

  18. 78 FR 79542 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-30

    ... Review), Incorporated NYSE Rule 401A (Customer Complaints), and Incorporated NYSE Rule 342.21 (Trade... identify and handle in accordance with firm procedures: customer complaints, instructions, funds and... Rule 3110(i) (Holding of Customer Mail) with new FINRA Rule 3150 (Holding of Customer Mail); and...

  19. 75 FR 41254 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-15

    ... reported customer complaint, arbitration or litigation is less than ten years old; and (iii) the person has... are customer complaints that were reported on a uniform registration form that are more than two years old and that have not been settled or adjudicated and customer complaints, arbitrations,...

  20. 78 FR 5532 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-25

    ...). \\5\\ The specified events and customer complaint information must be electronically reported to FINRA... not extend to the reporting of quarterly statistical and summary customer complaint information under... Action; (3) Civil Judicial; and (4) Customer Complaint/Arbitration/Civil Litigation. \\8\\ FINRA Rules...

  1. 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

    ... (Customer Complaints), and Incorporated NYSE Rule 342.21 (Trade Review and Investigation); (3) replace NASD... representatives' transactions and correspondence and Incorporated NYSE Rule 401A (Customer Complaints) relating to the review of customer complaints. In addition, proposed supplementary material, which is discussed...

  2. 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

    ... Reasonable Review), Incorporated NYSE Rule 401A (Customer Complaints), and Incorporated NYSE Rule 342.21... NASD Rule 3110(i) (Holding of Customer Mail) with new FINRA Rule 3150 (Holding of Customer Mail); and... complaints; \\14\\ and \\14\\ Caruso, NASAA, PIABA, St John's. the lack of a cost benefit analysis.\\15\\...

  3. 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

    ...) and quarterly statistical and summary information regarding written customer complaints. FINRA uses...)) and quarterly statistical and summary information regarding written customer complaints (FINRA Rule... liable for the aggregate amount); \\7\\ \\7\\ See Notice to Members 96-85 (December 1996) (Customer...

  4. 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

    ...) make publicly available in BrokerCheck all historic customer complaints that were archived after the...., reportable customer complaints or Historic Complaints, criminal charges, terminations, bankruptcies, liens..., Historic Complaints are customer complaints that were reported on a uniform registration form that are...

  5. 77 FR 15445 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-15

    ... Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview) March... pursuant to NASD Rule 1013 (New Member Application and Interview) as part of their new membership... Member Application and Interview), each applicant for FINRA membership must complete and...

  6. 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

    ...., Keesal, Young & Logan, dated August 24, 2010 (``Moynihan comment''); Richard L. Martens, Esq., Jason S. Haselkorn, Esq., Patricia M. Christiansen, Esq., Charles L. Pickett, Esq., Casey Ciklin Lubitz Martens & O... supra. \\27\\ See Yorsz and Martens comments. \\28\\ Response Letter. 3. Privilege Several commenters...

  7. 75 FR 51147 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-18

    ..., 2010 (``ABA letter''). \\5\\ See Letter to Elizabeth M. Murphy, Secretary, Commission, from Stan Macel... letter, as well as FINRA's response, are discussed in detail below. \\11\\ See ABA Letter. \\12\\ See...

  8. 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

    ... Securities, Business Law Section, American Bar Association (``ABA''), to Elizabeth M. Murphy, Secretary, SEC... by ABA. Moreover, FINRA also believes that a de minimis standard would pose additional compliance... therefore will not increase the standard to 50% as requested by one commenter. See ABA. \\8\\ FINRA Rule...

  9. 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

    ... using other methods (e.g., on-demand Web cast, video conference, interactive classroom setting... supervisory procedures, including the requirement to prepare and submit to the member's senior management a... include in the report it submits to senior management: A tabulation of the reports pertaining to...

  10. 78 FR 62722 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    .... Amendments to Rule 2360 (Options) FINRA Rule 2360 covers, among other things, the definitions, position... is traded''). \\12\\ See Notice, supra note 3, at 41150. FLEX Equity Options are, by definition, traded... definition of an `option' under Rule 2360(a)(21) and is cleared by The , is entered into other than on...

  11. 76 FR 9062 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Disapproving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-16

    ... practice to its customers. Finally, FINRA proposes to relocate the definition of ``initial public offering'' from Rule 6220 (Definitions) to Rule 6130 (Transactions Related to Initial Public Offerings). FINRA proposes no substantive changes to this definition. III. Summary of Comment Letters and FINRA's...

  12. 76 FR 42755 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-19

    .... 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 ``Swap... to an existing definition in the Act resulting from the effectiveness of the Title VII...

  13. 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

    ... for the loan and borrowing of securities has the right to liquidate such transaction whenever the... confirmations that confers upon the member the contractual right to liquidate such transaction because of a... for the loan and borrowing of securities with the right to liquidate such transaction whenever...

  14. 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

    ... disclosure documents. \\7\\ FINRA Rule 2360(b)(4) specifies exercise limits through incorporating by reference... exercise limits. For example, if an option (regardless of category--standardized, conventional or FLEX Equity Option) is subject to a 25,000 contract position limit, then a member may not exercise within...

  15. 77 FR 47467 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-08

    ... occur before the trading pause is in effect for transactions otherwise than on an exchange.\\4\\ FINRA... effect of the pilot on the marketplace, including whether additional measures should be added, whether... SROs and the Commission further assess the effect of the pilot on the marketplace and coordinate...

  16. 76 FR 41537 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-14

    ... Rules of Professional Conduct.\\11\\ Model Rule 1.9(a) addresses a lawyer's conflict of interest regarding.... First, the proposed rule change addresses a former officer appearing as a lawyer in FINRA's forum. FINRA Rule 9141 governs, among other things, the appearance and practice of lawyers before an...

  17. 77 FR 15824 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-16

    ... Proposed Rule Change Amending FINRA Rules 13201 (Statutory Employment Discrimination Claims) and 2263... proposed rule change would amend FINRA Rule 13201 (Statutory Employment Discrimination Claims) of the... that a claim alleging employment discrimination, including sexual harassment, in violation of a...

  18. 75 FR 51124 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-18

    ... To Submit a Contrary Exercise Advice and the Time for a Final Exercise Decision in the Event of a... time by which members must submit Contrary Exercise Advice (``CEA'') notices; (2) amend the time for a final exercise decision in the event of a modified close of trading; and (3) make certain changes...

  19. Do religious nonprofit and for-profit organizations respond differently to financial incentives? The hospice industry.

    PubMed

    Lindrooth, Richard C; Weisbrod, Burton A

    2007-03-01

    We study how for-profit and religious nonprofit hospices respond to an exogenous Medicare reimbursement incentive that encourages maximization of patient length of stay. Hospices have the incentive to selectively admit patients with longer expected lengths of stay, and admit patients sooner after a hospital discharge. We find that for-profit hospices are significantly less likely to admit patients with shorter, less profitable, expected lengths of stay. We do not find any difference in the timing of admission by ownership. Incentives for efficiency could be strengthened by a Medicare pricing system that replaced the current flat per diem payment with one that reflected the high costs at the beginning and end of hospice stay and the lower costs in between.

  20. 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

    ... Release''). The comment period closed on June 11, 2009. \\6\\ Letter from Gene Woodham, Chief Operating... received will be posted without change; the Commission does not edit personal identifying information...

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-17

    ... change from: the Securities Arbitration Clinic at St. John's University School of Law \\4\\; the Investor Rights Clinic at Pace Law School \\5\\; and the Public Investors Arbitration Bar Association (``PIABA'').\\6... others, Securities Arbitration Clinic, St. John's University School of Law, dated September 25, 2012...

  2. 77 FR 3515 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-24

    ... rule change is designed to simplify the Rule's price and size tiers; facilitate the display of customer... simplify the Rule's price and size tiers; facilitate the display of customer limit orders under new FINRA... tiers rather than the current nine tiers. Under the current rule, the tiers are as follows: $2500.01...

  3. 76 FR 3182 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-19

    ... A Tier 5 N/A ......... 0.75% 100 =>2% 98 Tape B Tier 2 0.25% 80 1% 90 Tape B Tier 3 0.10% 50 0.35% 70 Tape B Tier 4 0.10% 10 Tape B Tier 5 N/A ......... 0.75% 100 =>2% 98 Tape C Tier 2 0.25% 80 1% 95 Tape C Tier 3 0.10% 50 0.50% 75 Tape C Tier 4 0.10% 20 Tape C Tier 5 N/A ......... Use the...

  4. 77 FR 38694 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-28

    ... Medium Large Tier 1 1-10 151-300 501-1,000 Tier 2 11-100 301-500 1,001-5,000 Tier 3 101-150 N/A >5,000... Medium Large Tier 1 1-10 151-300 501-1,000 Tier 2 11-100 301-500 1,001-5,000 Tier 3 101-150 N/A >5,000... 12,500 30,000 75,000 Tier 3 20,000 N/A 100,000 Material Change: Tier 1 5,000 20,000 35,000 Tier 2......

  5. 78 FR 9083 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-07

    ... New Provision in Connection With the Limit Up-Limit Down Plan February 1, 2013. Pursuant to Section 19... (the ``Limit Up-Limit Down Plan'' or ``Plan'').\\4\\ \\4\\ See Securities Exchange Act Release No. 67091 (May 31, 2012), 77 FR 33498 (June 6, 2012) (the ``Limit Up-Limit Down Release''). The text of...

  6. 78 FR 38771 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-27

    ... a case-by-case basis, confidential customer information, including customer identities, or information that raises significant identity theft, personal safety, or privacy concerns that are not... members and associated persons redacted. In addition, FINRA currently does not disclose the identity...

  7. 76 FR 4403 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-25

    ... Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities January 18, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on January 5,...

  8. 78 FR 8664 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-06

    ... Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities January 31, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on January 24,...

  9. 75 FR 2173 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-14

    ... Multiple MPIDs on FINRA Facilities January 6, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 29... this notice to solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C....

  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

    ... of a lock-up regarding such securities, is consistent with the purpose of the JOBS Act as part of an... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... Changes October 11, 2012. I. Introduction Pursuant to Section 19(b)(1) of the Securities Exchange Act...

  11. 78 FR 42581 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-16

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'' or ``SEA'') \\1\\ and Rule 19b-4.... (``FINRA'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed...

  12. 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

    ... members a method for application for an exemption from the provisions of the Rule for good cause pursuant... current Rule 5122 regarding confidential treatment and application for exemption. Pursuant to proposed... across-the-board application of the 85 percent requirement may impose unnecessary burdens on...

  13. 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

    ....'' Second, FINRA is replacing existing paragraph (b)(4) of the Rule, entitled ``Numerical Guidelines... existing paragraph (b)(2), which provides flexibility to FINRA to use different Numerical Guidelines or... as described in proposed paragraph (b)(4), and to ensure consistent application across market...

  14. 77 FR 14454 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-09

    ... for 30 days after the date of the filing, such that FINRA can implement the proposed rule change on... least five business days prior to the date of filing of the proposed rule change, or such shorter time... purposes only of waiving the 30-day operative delay, the Commission has considered the proposed...

  15. 75 FR 29793 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-27

    ... implementation date for the proposed rule change will be June 14, 2010, the date on which the previously approved..., it has become effective pursuant to Section 19(b)(3)(A) of the Act \\14\\ and Rule 19b- 4(f)(6) thereunder.\\15\\ \\14\\ 15 U.S.C. 78s(b)(3)(A). \\15\\ 17 CFR 240.19b-4(f)(6). At any time within 60 days of...

  16. 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

    ... conflicts to delay an arbitration or ``overstepping'' their role with inappropriate objections not necessarily tied to their clients' testimony. This commenter suggested amending the proposal to limit the role... and conflicts arising under Fifth Amendment protections against self-incrimination.\\16\\ \\15\\...

  17. 77 FR 32703 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-01

    ... Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA... thereunder,\\2\\ a proposed rule change related to post-trade transparency for Agency Pass-Through...

  18. 76 FR 65313 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-20

    ... Transactions in Agency Pass-Through Mortgage-Backed Securities Traded ``To Be Announced'' October 13, 2011... Security that is an Agency Pass-Through Mortgage-Backed Security traded ``to be announced'' and to... reporting fee for transactions in ABS, including Agency Pass-Through Mortgage-Backed Securities...

  19. 77 FR 24748 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-25

    ... Approval of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage...,\\2\\ a proposed rule change relating to post-trade transparency for Agency Pass-Through Mortgage... currently does not disseminate such information publicly.\\5\\ Agency Pass-Through Mortgage- Backed...

  20. 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

    ... Filing of Proposed Rule Change Relating To Post-Trade Transparency for Agency Pass-Through Mortgage... Securities that are Agency Pass- Through Mortgage-Backed Securities traded to be announced (``TBA'') (``TBA... Agency Pass-Through Mortgage-Backed Security as defined in Rule 6710(v), traded ``to be announced''...

  1. 78 FR 35078 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-11

    ... Immediate Effectiveness of a Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage... protocols to provide a limited exception to dissemination requirements for certain Agency Pass-Through... transaction is reported.\\4\\ \\4\\ The terms Agency Pass-Through Mortgage-Backed Security, Asset-Backed...

  2. 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

    ....; Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through... that are: (1) Agency Pass-Through Mortgage-Backed Securities traded in Specified Pool Transactions...\\ \\3\\ The terms TRACE-Eligible Security, Agency Pass-Through Mortgage-Backed Security, Specified...

  3. 77 FR 3019 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-20

    ... Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA January 13, 2012. On November 22... transparency for agency pass-through mortgage-backed securities traded ``to be announced'' (``MBS...

  4. 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

    ... Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities... regarding the reporting and dissemination of transactions in TRACE- Eligible Securities that are Agency Pass... changes.\\3\\ \\3\\ The terms TRACE-Eligible Security, Agency Pass-Through Mortgage-Backed Security and...

  5. 77 FR 66908 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-07

    ... Approval of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage... Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and...

  6. 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

    ... Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities... reporting and dissemination of transactions in TRACE- Eligible Securities that are: (1) Agency Pass-Through... Security, Agency Pass-Through Mortgage-Backed Security, Specified Pool Transaction, Asset-Backed...

  7. 77 FR 65436 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-26

    ... Approval of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage... proposed rule change relating to post-trade transparency for Agency Pass-Through Mortgage-Backed Securities....19b-4. \\3\\ The terms ``Asset-Backed Security,'' ``TBA,'' ``Agency Pass- Through...

  8. 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

    ... the signature-collecting process of becoming a petition candidate; and the perception that slate... replace references to ``Executive Vice President, Regulatory Policy and Programs'' and the ``Executive Vice President, Member Regulation'' with the ``Chief Executive Officer or his or her designee''...

  9. 77 FR 12340 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-29

    ... FINRA's costs associated with calculating, assessing, and collecting the GASB Accounting Support Fee... collecting the GASB Accounting Support Fee and the actual costs incurred by FINRA.\\83\\ \\79\\ See Notice, 77 FR... experience in assessing and collecting the GASB Accounting Support Fee and the actual costs incurred by...

  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

    ... transactions using the Intermarket Sweep Order (``ISO'') exception (outbound) under SEC Rule 611 (``Order... trading centers in compliance with the ISO exception to the Order Protection Rule. The staff notes that... the ISO exception simultaneously with execution of a block transaction, the firm is required to...

  11. 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

    ... quotation sizes apply depending upon the price level of the bid or offer and, therefore, a different minimum... Securities) which, among other things, prohibits members from displaying a bid or offer in an OTC Equity Security in an increment smaller than $0.01 if the bid or offer is priced $1.00 or greater per share, or...

  12. 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

    ... to use the assistance of others who have such knowledge. Accordingly, the commenter argued that small... may have enough wealth to qualify for investing in privately placed securities, but lack the...

  13. 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...

  14. 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

    ... a Proposed Rule Change To Update the Rules Governing the Alternative Display Facility December 19... Alternative Display Facility (``ADF'') to, among other things, reflect regulatory requirements that have been... Trade Reporting Facilities (``TRFs''). The text of the proposed rule change is available on FINRA's...

  15. 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

    ... unrelated algorithms or from separate and distinct trading strategies, provided these transactions are not... algorithms or trading strategies within the most discrete unit of an effective system of internal controls at... footnote 11, infra. \\9\\ FINRA notes that transactions that originate from unrelated algorithms or...

  16. 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...

  17. 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

    ... meeting of such members.\\4\\ \\3\\ Del. Code Ann. tit. 8 Sec. 215(c) (2010). \\4\\ Del. Code Ann. tit. 8 Sec... a meeting of such members.\\5\\ \\5\\ Del. Code Ann. tit. 8 Sec. 215(c)(1) (2010). On August 1,...

  18. 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

    ... registered persons of the same firm; (4) the lending arrangement is based on a personal relationship outside 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...

  19. 75 FR 8772 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-25

    ..., mother-in-law or father-in-law, husband or wife, brother or sister, brother-in-law or sister-in-law, son... of the same firm; (4) the lending arrangement is based on a personal relationship outside of the broker-customer relationship; or (5) the lending arrangement is based on a business relationship...

  20. 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

    ... the panel composition methods work will ensure that customers understand how to elect the Optional All... existing panel selection method and the method used in the Pilot. Unlike the Pilot, however, the proposed.... Under the proposed rule change, a customer could elect either arbitrator selection method within 35...

  1. 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

    ... explains how each panel composition method works. Customer Elections and Award Results Since implementation... rule change, FINRA would no longer require a customer to elect a panel selection method, and parties in all customer cases with three arbitrators would get the same selection method. FINRA would provide...

  2. 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

    ... information with respect to any complaint or group of complaints that involves a significant policy or... member or associated person from association with all members; (4) imposes monetary sanctions of $10,000... any disciplinary decision or group of decisions that involves a significant policy or...

  3. 77 FR 41832 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-16

    ... by NYSE, in its capacity as the ``Business Member'' and operator of the FINRA/NYSE TRF on behalf of...) of proposed Rule 7630B, a member requesting aggregation of affiliate activity will be required to... approved for aggregation. FINRA notes that proposed Rule 7630B is identical to current Rule 7630A...

  4. 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

    ... Proposed Rule Change Relating to FINRA Rule 9554 To Eliminate Explicitly the Inability-To-Pay Defense in... Change FINRA is proposing to amend FINRA Rule 9554 to eliminate explicitly the inability-to-pay defense... persons. Accordingly, FINRA proposes amending Rule 9554 to eliminate explicitly the...

  5. 75 FR 32525 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-08

    ... Proposed Rule Change Relating to FINRA Rule 9554 To Eliminate Explicitly the Inability-To-Pay Defense in... Rule 19b-4 thereunder,\\2\\ a proposed rule change to FINRA Rule 9554 to eliminate explicitly the... Proposed Rule Change FINRA proposed to amend FINRA Rule 9554 to eliminate explicitly the...

  6. 76 FR 59757 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-27

    ... 1031(b) and NYSE Rule 10. \\11\\ See NASD Rules 1031(a) and 1032(a); NYSE Rules 345.10 and 345.15(2); and NYSE Rule Interpretation 345.15/02. \\12\\ See NASD Rule 1032(a)(2)(C) and NYSE Information Memorandum...

  7. 76 FR 59751 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-27

    ...\\ See NASD Rules 1031(a) and 1032(a); NYSE Rules 345.10 and 345.15(2); and NYSE Rule Interpretation 345... (Series 17) or Canada Securities Representative (Series 37/38). See NASD Rule 1032(a); and NYSE... Representative (Series 6) or a Direct Participation Programs Representative (Series 22). See NASD Rules...

  8. 76 FR 59761 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-27

    ... 1031(b) and NYSE Rule 10. \\11\\ See NASD Rules 1031(a) and 1032(a); NYSE Rules 345.10 and 345.15(2); and NYSE Rule Interpretation 345.15/02. \\12\\ See NASD Rule 1032(a)(2)(C) and NYSE Information Memorandum...

  9. 76 FR 59759 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-27

    ... 1031(b) and NYSE Rule 10. \\11\\ See NASD Rules 1031(a) and 1032(a); NYSE Rules 345.10 and 345.15(2); and NYSE Rule Interpretation 345.15/02. \\12\\ See NASD Rule 1032(a)(2)(B) and NYSE Information Memorandum...

  10. 78 FR 64566 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-29

    ...). Pursuant to NASD Rule 1032(b) \\9\\ (Limited Representative-- Investment Company and Variable Contracts... (Series 7) pursuant to NASD Rule 1032(a) (General Securities Representative).\\10\\ The Series 6...

  11. 76 FR 33388 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-08

    ... Approval of a Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in... Section 1 of Schedule A to the FINRA By-Laws to adjust the rate of FINRA's TAF for transactions in Covered... the TAF rates for other types of Covered Securities. FINRA proposes July 1, 2011 as the effective...

  12. 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

    ... suspend a proposed rule change changing a TAF rate filed pursuant to Section 19(b)(3)(A) of the Act within... decrease a rate) only when necessary to account for changes in trading volume with the goal of making the... Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered...

  13. 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

    ... Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity...'s Statement of the Terms of Substance of the Proposed Rule Change FINRA is proposing to amend Section 1 of Schedule A to the FINRA By-Laws to adjust the rate of FINRA's Trading Activity Fee...

  14. 77 FR 5613 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-03

    ... Approval of a Proposed Rule Change To Increase the Trading Activity Fee Rate for Transactions in Covered... thereunder,\\2\\ a proposed rule change to increase FINRA's Trading Activity Fee (``TAF'') rate for... FINRA's proposal would amend Section 1 of Schedule A to the FINRA By-Laws to adjust the rate of...

  15. 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

    ... Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities...'s Statement of the Terms of Substance of the Proposed Rule Change FINRA is proposing to amend... Activity Fee (``TAF'') for transactions in Asset-Backed Securities. The text of the proposed rule change...

  16. 77 FR 38690 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-28

    ... Approval of a Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in... proposed rule change relating to FINRA's Trading Activity Fee (``TAF'') rate for transactions in covered... the FINRA By-Laws to adjust the rate of FINRA's TAF for transactions in Covered Securities that...

  17. 77 FR 6161 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-07

    ... Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for Amendments to the... Terms of Substance of the Proposed Rule Change FINRA is proposing to delay the implementation date of...-FINRA-2011-071). The text of the proposed rule change is available on FINRA's Web site at...

  18. 76 FR 13248 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-10

    ... Approval of a Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset... proposed rule change to provide a new method of calculating the Trading Activity Fee (``TAF'') for... the transaction, the lesser of original face value or Remaining Principal Balance) at a rate of...

  19. 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

    ..., therefore, has considered these claims ineligible for arbitration in its forum.\\4\\ Nevertheless, in Hugo.../InterpretiveLetters/P002521 (last visited on June 7, 2011). \\5\\ Hugo Gomez et al. v. Brill Securities, Inc....

  20. 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

    ... Bulletin Board and Pink Sheets securities), which are reported through the OTC Reporting Facility (``ORF... participation program or DPP, means a program which provides for flow-through tax consequences regardless of the... estate investment trusts, tax qualified pension and profit sharing plans pursuant to Sections 401 and...

  1. 75 FR 56608 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-16

    ... (``Business Roundtable Letter''); Letter from Geva Patz, Android Alpha Fund to Elizabeth M. Murphy, Secretary, Commission, dated July 19, 2010 (``Android Alpha Fund Letter''); Letter from David C. Cushing, Director of... disproportionately during a market event similar to that of May 6.\\37\\ \\31\\ See Accenture Letter; Android Alpha...

  2. 77 FR 38692 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-28

    ... Immediate Effectiveness of Proposed Rule Change To Adjust Fees for Review of Advertising Material Filed With... of Schedule A to the FINRA By-Laws (``Section 13'') governing the review charges for advertisements, sales literature, and other such material filed with or submitted to FINRA's Advertising...

  3. 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... 440A regarding prerecorded messages and the use of telephone facsimile or computer advertisements. The... telephone facsimile or computer advertisements, the NYSE stated that broker- dealers were subject to the...

  4. 78 FR 4182 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-18

    ... literature,'' ``advertisement'' and ``independently prepared reprint'' into a single category of ``retail... `promoting a day-trading strategy' if its advertisements address the benefits of day trading, rapid fire... proposed rule change would change ``advertisements'' in the example provided to ``retail...

  5. 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

    ... in corporate debt securities and, pursuant to a recent rule change to the Rule 6700 Series,\\7\\ Agency... in effect for transactions in corporate debt securities;\\12\\ and \\12\\ See id. (14) In Rule 6700... transparency of structured finance products and markets are a necessary component to broad-based...

  6. 76 FR 25399 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-04

    ... the implementation date for the amendments to the OATS rules expanding the OATS recording and... amended FINRA Rules 7410 and 7470 to expand the OATS recording and reporting requirements to include all... Commission approved the amendments and that FINRA was publishing a new version of the OATS...

  7. 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

    ... Order Audit Trail System (``OATS'') rules to extend the recording and reporting requirements to all NMS... Rules 7410 through 7470 (the ``OATS Rules'') impose obligations on FINRA members to record in electronic... equity securities listed and traded on The Nasdaq Stock Market, Inc. (``Nasdaq'').\\4\\ OATS captures...

  8. 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

    ... change also makes conforming changes to other FINRA rules, including the Order Audit Trail System (``OATS... OATS Rules FINRA is proposing to conform the definition of ``OTC equity security'' in Rule 7410 of the OATS rules to the proposed definition in Rule 6420.\\20\\ Under the OATS rules, members are required...

  9. 76 FR 81551 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-28

    ... its Order Audit Trail System (``OATS'') rules to require certain information be reported to OATS and to specify the time OATS reports must be transmitted to FINRA. Notice of the proposal was published... report to OATS, information barriers put into place by the member in reliance on Supplementary...

  10. 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

    ... delivery (``MBS TBA GD'') no later than 15 minutes from the time of execution, and transaction information... for MBS TBA GD on May 18, 2013. \\24\\ FINRA has adopted longer periods to report transactions in a... Fixed Offering Price Transaction or a Takedown Transaction as late as T + 1 during TRACE system hours...

  11. 76 FR 77042 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-09

    ... the resultant price to the customer is as favorable as possible under prevailing market conditions... quotation; and (5) the terms and conditions of the order as communicated to the member. \\9\\ The proposed... real-time basis. Also excluded from the Three Quote Rule are certain transactions in...

  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

    ... company for personal service and/or the maintenance of shareholder accounts.'' See NASD Rule 2830(b)(9... would be an important adjunct to existing suitability, sales practice and disclosure requirements. \\7... the nature of, and ``if known,'' the value of any non-cash compensation received. FINRA proposes...

  13. 78 FR 57916 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-20

    .... 69761 (June 13, 2013), 78 FR 37261 (June 20, 2013). \\6\\ Comment letters were submitted by Mary Alice Mc.... Vincent DePaul Legal Program, Inc., St. John's University School of Law, dated July 11, 2013 (``St....

  14. 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

    ... of the other portions of Rule 2730 and in light of members' supervisory and transactional... the availability of securities or purchasers or sellers of securities, or analyses and reports... light of members' supervisory and transactional recordkeeping obligations under FINRA and SEC...

  15. 75 FR 44033 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-27

    ... portions of Rule 2730 and in light of members' supervisory and transactional recordkeeping obligations... the availability of securities or purchasers or sellers of securities, or analyses and reports...' supervisory and transactional recordkeeping obligations under FINRA and Commission rules.\\34\\ Further,...

  16. 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

    ... until the primary listing market opens the next trading day. As proposed, a Level 1 or a Level 2 Market... stocks until the primary listing market opens the next trading day. As is the case with a Level 1 or... Proposed Rule Change To Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and...

  17. 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

    ... 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 agency basis and charge a commission.\\4\\ In the limited instances when a member executes an ABS...

  18. 78 FR 15790 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-12

    ... in an Asset-Backed Security ``(ABS'') (except ABS traded To Be Announced (``TBA'')), in the limited... information on ABS transactions but, until recently, FINRA's rules did not provide for the dissemination of... dissemination of information regarding, among other things, certain ABS traded in Specified Pool...

  19. 76 FR 37384 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-27

    ..., the SEC approved amendments to the OATS Rules that, among other things, permitted FINRA to grant..., the SEC is evaluating, among other things, the impact of consolidated audit trail requirements on... of Section 15A(b)(6) of the Act,\\11\\ which requires, among other things, that FINRA rules must...

  20. 78 FR 9968 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-12

    ... the provisions of Section 15A(b)(6) of the Act,\\8\\ which requires, among other things, that FINRA...: Electronic Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or.... The Commission will post all comments on the Commission's Internet Web site (...

  1. 78 FR 39367 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-01

    ... of Section 15A(b)(6) of the Act,\\8\\ which requires, among other things, that FINRA rules must be... Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an email to rule-comments... on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml ). Copies of...

  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

    ...) of the Act,\\8\\ which requires, among other things, that FINRA rules must be designed to prevent... Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an e-mail to rule-comments... comments on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml ). Copies of...

  3. 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

    ...\\ which requires, among other things, that FINRA rules provide for the equitable allocation of reasonable... Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an... post all comments on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml )....

  4. 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

    ... certain business activities on the Statement of Income (Loss) page of the FOCUS Reports has led many firms... business days of the end of each calendar quarter. The proposed SSOI contains a de minimis exception for... commenter also expressed concerns that the proposal was anti-small business, because it required the...

  5. 76 FR 61124 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-03

    ... by The NASDAQ OMX Group, Inc. (``NASDAQ''), in its capacity as the ``Business Member'' and operator... Business Member is conducted through an annual assessment and review of TRF operations by an outside...\\ which requires, among other things, that FINRA rules be designed to prevent fraudulent and...

  6. 75 FR 56641 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-16

    ... received nine comment letters on the proposal.\\3\\ BATS responded to the comments in a letter dated August 16, 2010.\\4\\ This order approves the proposed rule change. \\1\\ Also, on June 17, 2010, each of BATS Exchange, Inc. (``BATS''), NASDAQ OMX BX, Inc. (``BX''), Chicago Board Options Exchange,...

  7. 82 FR 13901 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2017-03-15

    ... Filing of a Proposed Rule Change To Amend Rule 6191 To Implement an Anonymous, Grouped Masking... anonymous, grouped masking methodology for over-the-counter (``OTC'') activity in connection with Web site... methodology described further below. Specifically, FINRA is proposing to provide for an anonymous,...

  8. 78 FR 9979 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-12

    ... are filed with the Commission, and all written communications relating to the proposed rule change...-Comparison/Accept (Non-Match/ Compare) Charges: Tape Daily Average Number of Media/ Executing Party Trades During the Month Needed to Qualify for Cap A 2500 B 2500 C 2500 Media/Executing Party Monthly...

  9. 75 FR 62901 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-13

    ... under paragraph (f)(6) of Rule 19b-4 under the Act,\\3\\ which renders the proposal effective upon receipt... Form is complete, the System generates a FINRA Dispute Resolution Tracking Form (``Tracking Form'') for the claimant to reproduce. The claimant then files, in hard copy, the Tracking Form and any...

  10. 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

    ... relationships with the member. \\7\\ A ``public company'' is any company that is registered under Section 12 of... interest in the account. Under the spinning provision, whether an account in which an executive officer or... current, recent or prospective investment banking client of the firm under the rule; if the member...

  11. 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

    ... is registered under Section 12 of the Exchange Act or files periodic reports pursuant to Section 15(d... (and their customers) have had difficulty obtaining, tracking and aggregating information from funds... person with direct or indirect ``control'' over the investment adviser; as that term is defined in...

  12. 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

    ... protect investors. V. Accelerated Approval The Commission finds good cause, pursuant to Section 19(b)(2...\\ 15 U.S.C. 78s(b)(2). Accordingly, the Commission finds that good cause exists to approve the proposal.... Specifically, the commenter indicated that certain assets are hard to verify and that the proposed rule...

  13. 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

    ... by virtue of their position.\\56\\ FINRA stated that it believes this concept, as introduced by FINRA...; (iii) receipt and delivery of securities and funds, account transfers; (iv) bank, custody, depository..., margin or liquidity requirements.\\96\\ However, FINRA notes that this provision is not limited...

  14. 75 FR 61793 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-06

    ... information, which in many instances includes individuals' personal information, is protected from... hard drive.\\8\\ In many instances, the response contains personal information that, if accessed by an... last name, or first initial and last name, in combination with that person's: (1) Social...

  15. 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

    ... post all comments on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml ). Copies... its Web site. The text of the proposed rule change is available on FINRA's Web site at http://www..., FINRA would publish on its Web site the reported information in each equity security for each ATS,...

  16. 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...'') (f/k/a National Association of Securities Dealers, Inc. (``NASD'')) filed with the Securities and Exchange Commission (``SEC'' or ``Commission''), pursuant to Section 19(b)(1) of the Securities...

  17. 76 FR 5850 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-02

    ... Proposed Rule Change Adopting FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook...,\\2\\ a proposed rule change adopting FINRA rules regarding books and records in the consolidated FINRA... is proposing to adopt certain paragraphs, as specified below, of NASD Rule 3110 (Books and...

  18. 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

    ... Proposed Rule Change To Adopt FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook... NASD Rule 3110 (Books and Records), subject to certain amendments, as FINRA Rules in the consolidated... Rule 440 (Books and Records), with the exception of Incorporated NYSE Rules 440.10 (Periodic...

  19. 75 FR 3270 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-20

    ... Proposed Rule Change To Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA... FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook. The proposed rule... 65817. Rule 17a-4 of the Act requires members to retain their books and records for specified...

  20. 75 FR 37488 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-29

    ... electronic communications network (``ECN'') must reflect non-subscriber access or post-transaction fees in... national securities exchange or to an electronic communications network that widely disseminates such order and complies with the Rule's provisions relating to such electronic communications network; (6)...

  1. 77 FR 55519 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-10

    ... 5270 (Front Running of Block Transactions) With Changes in the Consolidated FINRA Rulebook September 4... Material (``IM'') 2110-3 (Front Running Policy) as proposed FINRA Rule 5270 to amend the existing Front Running Policy in several ways to broaden its scope and provide further clarity into activities that...

  2. 75 FR 22670 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-29

    ...-2009-065 and Amendment No. 1 thereto are, collectively, the ``TRACE ABS filing'').\\8\\ The Commission approved the TRACE ABS filing on February 22, 2010.\\9\\ \\6\\ See Securities Exchange Act Release No. 60860... Elizabeth M. Murphy, Secretary, Commission, dated December 22, 2009. \\8\\ The TRACE ABS filing...

  3. 78 FR 62788 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... (``Agency Data Set'') and Asset-Backed Securities (``ABS Data Set'').\\11\\ The Rule 144A Data Set will... market data sets (i.e., the Corporate Bond Data Set, the Agency Data Set and the ABS Data Set) to the...''), Agency Debt Securities (``Historic Agency Data Set'') and Asset-Backed Securities (``Historic ABS...

  4. 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 calls to wireless telephone numbers. Outsourcing Telemarketing NASD Rule 2212(f) states that if a...) would clarify that members must consider whether the entity or person that a member uses for...

  5. 77 FR 39313 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-02

    ... all revenue and expense items must be reported in accordance with U.S. generally accepted accounting principles; (2) to clarify that line 13940 (Total Commissions) will equal line 3940 (Total securities... promote just and equitable principles of trade, and, in general, to protect investors and the...

  6. 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

    ..., registered, non-convertible high- yield corporate bonds. OTC capital trust securities and trust preferred... Corporate Bond Trade Reporting and Transaction Dissemination Facility and the Elimination of Nasdaq's Fixed... Proposed Rule Change Relating to the Creation of a Corporate Bond Trade Reporting and...

  7. 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

    ... carry customer accounts to file a FOCUS Report Part II, and requires certain other members to file a... August 18, 2010 (``SCA''); letter from Trust Advisory Group, Ltd., dated August 18, 2010 (``TAG..., IMS, Integrity, Kinkade, M.S. Howells, Probitas, RBDA, REISA, TAG, Wachtel and WDC. \\18\\ BFS,...

  8. 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

    .../01-/18, Rule 430 (Partial Delivery of Securities to Customers on C.O.D. Purchases), and NYSE Rule 430... customer pursuant to an arrangement whereby payment for the securities purchased or delivery of the... accept a customer's purchase order for securities unless it has first ascertained that the...

  9. 78 FR 25331 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-30

    ... of Proposed Rule Change To Amend FINRA Rule 2267 (Investor Education and Protection) April 24, 2013... 2267 (Investor Education and Protection) to require that members include a prominent description of and... from David Neuman, Stoltmann Law Offices, dated Feb. 12, 2013; Letter from Barry D. Estell, dated...

  10. 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...

  11. 76 FR 21932 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-19

    ... CFR 200.30-3(a)(12). Cathy H. Ahn, Deputy Secretary. BILLING CODE 8011-01-P ... Approval of a Proposed Rule Change Relating to Promissory Note Proceedings; Correction April 13, 2011. Need for Correction In FR Document No. 2011-8897 beginning on page 20741 as published on Wednesday,...

  12. 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... FINRA is proposing to amend the definitions of ``Index Arbitrage Trade'' and ``Program Trade'' in FINRA Rule 7410 (Definitions) to reflect the deletion of NYSE Rule 132B and the adoption of NYSE Rule...

  13. 76 FR 82022 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-29

    ..., TRACS, for any ADF-Eligible Security. Among other things, Registered Reporting ADF ECNs are prohibited... the Act,\\10\\ which requires, among other things, that FINRA rules must be designed to prevent... submitted by any of the following methods: Electronic Comments Use the Commission's Internet comment...

  14. 78 FR 13922 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-01

    ... attached as Exhibit A to the Approval Order. The Plan was subsequently amended to, among other things...) of the Act,\\12\\ which requires, among other things, that FINRA rules must be designed to prevent... Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an email to...

  15. 75 FR 60843 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-01

    ..., among other things, that FINRA rules must be designed to prevent fraudulent and manipulative acts and...: ] Electronic Comments Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or... Commission will post all comments on the Commission's Internet Web site (...

  16. 76 FR 61773 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-05

    ... of Section 15A(b)(6) of the Act,\\8\\ which requires, among other things, that FINRA rules must be... 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 (...

  17. 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

    ...,\\6\\ which requires, among other things, that FINRA rules must be designed to prevent fraudulent and... the following methods: Electronic Comments Use the Commission's Internet comment form ( http://www.sec..., please use only one method. The Commission will post all comments on the Commission's Internet Web...

  18. 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

    ...-exchange-listed security and certain exchange-listed securities that do not otherwise qualify for real-time... curtail potentially excessive undisclosed access fees. FINRA notes that similar concerns and debate were... the present time, the lock/cross rule can only reasonably be made to impose restrictions on...

  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

    ... proposes to include MSRB Rule G-21 (advertising), because the FINRA's corresponding rules for communication... implicate the overall effectiveness of a business continuity plan, such as when FINRA members have...

  20. 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

    ... proposed rule change will cause any queuing issues into the FINRA ] Facilities). Finally, the committees asked for guidance on how the rule would apply to late reporting during periods of market stress,...

  1. 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

    ...)(10)) ``Selling Group'': The term ``selling group'' means any group formed in connection with a public... Rule 0160(b)(13)) ``Selling Syndicate'': The term ``selling syndicate'' means any syndicate formed in... Resolution. The proposed rule change would delete this term because it is outdated in light of the change...

  2. 76 FR 25385 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-04

    ... that occur prior to the issuance of the CMO or REMIC (``pre-issuance CMOs/REMICs''); and (F) add new...-issuance CMOs/REMICs, and minor technical, conforming, or clarifying changes; and (4) In FINRA Rule...

  3. 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

    ... issuance of the CMO or REMIC (``pre-issuance CMOs/REMICs''); and (F) to incorporate other minor technical... CMOs/REMICs and minor technical, conforming or clarifying changes; and (4) In FINRA Rule 7730, to add... Securities, alternative notification requirements for pre-issuance CMOs/REMICs, and minor...

  4. 75 FR 39603 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-09

    ... Proposed FINRA Rule 6490 (Processing of Company-Related Actions) To Clarify the Scope of FINRA's Authority When Processing Documents Related to Announcements for Company-Related Actions for Non-Exchange Listed...-4 thereunder,\\2\\ proposed FINRA Rule 6490 (Processing of Company-Related Actions), to clarify...

  5. 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

    ... April 5, 2012; Public Law 112- 106, 126 Stat. 306. \\12\\ 17 CFR 230.144A. Although the proposed rule... October 4, 2012 (``Benchmark''); Letter from Beth N. Lowson, The Nelson Law Firm, LLC, to Marcia E. Asquith, Corporate Secretary, FINRA, dated October 9, 2012 (``Nelson Law''); Letter from E.A. Repetto,...

  6. 76 FR 20759 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ... change as constituting a ``non- controversial'' rule change under paragraph (f)(6) of Rule 19b-4 under... Rules 2090 and 2111 from October 7, 2011, to July 9, 2012, and has filed it as a ``non- controversial... proposed rule change filed under Rule 19b-4(f)(6) \\9\\ normally may not become operative prior to 30...

  7. 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

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'' or ``SEA'') \\1\\ and Rule 19b-4.... (``FINRA'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed...

  8. 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... AGENCY: Food and Drug Administration, HHS. ACTION: Notice. SUMMARY: The Food and Drug Administration (FDA... CONTACT: Caryn Cohen, Center for Tobacco Products, Food and Drug Administration, 9200 Corporate...

  9. 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

    ... HUMAN SERVICES Food and Drug Administration Request for Notification From Industry Organizations... Representatives on the Transmissible Spongiform Encephalopathies Advisory Committee AGENCY: Food and Drug Administration, HHS. ACTION: Notice. SUMMARY: The Food and Drug Administration (FDA) is requesting that...

  10. 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.

  11. 15 CFR 730.9 - Organization of the Bureau of Industry and Security.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 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...

  12. 5 CFR 5502.107 - Supplemental disclosure of financial interests in substantially affected organizations applicable...

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... Health. 5502.107 Section 5502.107 Administrative Personnel DEPARTMENT OF HEALTH AND HUMAN SERVICES SUPPLEMENTAL FINANCIAL DISCLOSURE REQUIREMENTS FOR EMPLOYEES OF THE DEPARTMENT OF HEALTH AND HUMAN SERVICES... clinical study involving human subjects under a clinical research protocol approved by an...

  13. 78 FR 65151 - Modification of Financial Reporting Requirements for Non-Profit Organizations

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-31

    ... CDFI Fund financial statements that have been reviewed by an independent certified public accountant in accordance with standards issued by the American Institute of Certified Public Accountants, no later than 180... accountant as part of the awardee's annual report to the CDFI Fund required by section 4714(e)(1) of the...

  14. [Emission control way of volatile organic compounds in industry].

    PubMed

    Jiang, Mei; Zhang, Guo-Ning; Wei, Yu-Xia; Zou, Lan; Zhang, Ming-Hui

    2011-12-01

    Due to the volatile nature, the way of controlling way of VOCs was different from other atmospheric pollutants. By analyzing the emission characteristics of VOCs, four kinds of control way were proposed, which were the source control, organized emission control, fugitive emission control and the total amount control, and the control modes of each control way were also analyzed and compared.

  15. 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)

  16. 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.

  17. 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.

  18. Toxic Industrial Chemical Removal by Isostructural Metal-Organic Frameworks

    DTIC Science & Technology

    2011-01-01

    ISOSTRUCTURAL METAL-ORGANIC FRAMEWORKS Gregory W. Peterson RESEARCH AND TECHNOLOGY DIRECTORATE T. Grant Glover Bryan J. Schindler SCIENCE...APPLICATIONS INTERNATIONAL CORPORATION Gunpowder, MD 21010-0068 David Britt Omar Yaghi UNIVERSITY OF CALIFORNIA Los Angeles, CA 90095-1569 January 2011...Frameworks 5a. CONTRACT NUMBER 5b. GRANT NUMBER 5c. PROGRAM ELEMENT NUMBER 6. AUTHOR(S) Peterson, Gregory W. (ECBC); Glover, T. Grant; Schindler

  19. 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.

  20. The use of dynamical networks to detect the hierarchical organization of financial market sectors

    NASA Astrophysics Data System (ADS)

    Di Matteo, T.; Pozzi, F.; Aste, T.

    2010-01-01

    Two kinds of filtered networks: minimum spanning trees (MSTs) and planar maximally filtered graphs (PMFGs) are constructed from dynamical correlations computed over a moving window. We study the evolution over time of both hierarchical and topological properties of these graphs in relation to market fluctuations. We verify that the dynamical PMFG preserves the same hierarchical structure as the dynamical MST, providing in addition a more significant and richer structure, a stronger robustness and dynamical stability. Central and peripheral stocks are differentiated by using a combination of different topological measures. We find stocks well connected and central; stocks well connected but peripheral; stocks poorly connected but central; stocks poorly connected and peripheral. It results that the Financial sector plays a central role in the entire system. The robustness, stability and persistence of these findings are verified by changing the time window and by performing the computations on different time periods. We discuss these results and the economic meaning of this hierarchical positioning.

  1. 17 CFR 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... with those charged with governance, and communicating internal control matters identified in an audit... with those charged with governance, and communicating internal control matters identified in an audit... organization ceases to be a member in good standing of that self-regulatory organization, such...

  2. 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.

  3. Region-specific study of the electric utility industry: financial history and future power requirements for the VACAR region

    SciTech Connect

    Pochan, M.J.

    1985-07-01

    Financial data for the period 1966 to 1981 are presented for the four investor-owned electric utilities in the VACAR (Virginia-Carolinas) region. This region was selected as representative for the purpose of assessing the availability, reliability, and cost of electric power for the future in the United States. The estimated demand for power and planned additions to generating capacity for the region through the year 2000 are also given.

  4. Impact of HMO mergers and acquisitions on financial performance.

    PubMed

    Weech-Maldonado, Robert

    2002-01-01

    This study examines the effect of health maintenance organization (HMO) mergers and acquisitions on financial performance, as indicated by cash flow returns, profitability ratios, and efficiency indicators. Pooled, cross-sectional files of financial performance data were created for HMO mergers occurring in the period of 1988 to 1994. The study uses a time-series design involving the analysis of pre- and post-acquisition financial performance measured over a period of four years. Change scores for the industry-adjusted financial performance measures were calculated and then evaluated using t-tests. The study showed that HMO mergers had a positive effect on financial performance and efficiency. This effect disappeared, however, after adjusting for HMO industry returns. Potential synergies arising from HMO mergers have been largely illusory. Mergers may have been a result of non-value enhancing motives or management overconfidence.

  5. 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…

  6. 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)

  7. 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

    ... HUMAN SERVICES Food and Drug Administration Request for Notification From Industry Organizations... AGENCY: Food and Drug Administration, HHS. ACTION: Notice. SUMMARY: The Food and Drug Administration (FDA..., Center for Tobacco Products, Food and Drug Administration, 9200 Corporate Blvd., Rockville, MD 20850....

  8. 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....

  9. 29 CFR 401.10 - Labor organization engaged in an industry affecting commerce.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 29 Labor 2 2010-07-01 2010-07-01 false Labor organization engaged in an industry affecting commerce. 401.10 Section 401.10 Labor Regulations Relating to Labor OFFICE OF LABOR-MANAGEMENT STANDARDS, DEPARTMENT OF LABOR LABOR-MANAGEMENT STANDARDS MEANING OF TERMS USED IN THIS SUBCHAPTER § 401.10...

  10. 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%.

  11. Estimated Energy Savings and Financial Impacts of Nanomaterials by Design on Selected Applications in the Chemical Industry

    SciTech Connect

    Thayer, Gary R.; Roach, J. Fred; Dauelsberg, Lori

    2006-03-01

    This study provides a preliminary analysis of the potential impact that nanotechnology could have on energy efficiency, economic competitiveness, waste reduction, and productivity, in the chemical and related industries.

  12. Financial Knowledge and Best Practice Behavior

    ERIC Educational Resources Information Center

    Robb, Cliff A.; Woodyard, Ann S.

    2011-01-01

    The current research examines the relationship between personal financial knowledge (both objective and subjective), financial satisfaction, and selected demographic variables in terms of best practice financial behavior. Data are taken from the Financial Industry Regulatory Authority's (FINRA) National Financial Capability Study, a nationally…

  13. FASB (Financial Accounting Standards Board) issues new accounting rules for debt and equity securities.

    PubMed

    Reinstein, A; Bayou, M E

    1994-10-01

    The Financial Accounting Standards Board (FASB) recently issued a new statement that requires all companies to change their methods of accounting for debt and equity securities. Rather than allowing organizations to use a historical cost approach in accounting for such financial instruments, FASB Statement No. 115 requires organizations to adopt a market value approach. The provisions of this statement will affect significantly organizations in the healthcare industry that have large investment portfolios.

  14. Abandoned coal mining sites: using ecotoxicological tests to support an industrial organic sludge amendment.

    PubMed

    Chiochetta, Claudete G; Radetski, Marilice R; Corrêa, Albertina X R; Tischer, Vinícius; Tiepo, Erasmo N; Radetski, Claudemir M

    2013-11-01

    The different stages involved in coal mining-related activities result in a degraded landscape and sites associated with large amounts of dumped waste material. Remediation of these contaminated soils can be carried out by application of industrial organic sludge if the concerns regarding the potential negative environmental impacts of this experimental practice are properly addressed. In this context, the objective of this study was to use ecotoxicological tests to determine the quantity of organic industrial sludge that is required as a soil amendment to restore soil production while avoiding environmental impact. Chemical analysis of the solids (industrial sludge and soil) and their leachates was carried out as well as a battery of ecotoxicity tests on enzymes (hydrolytic activity), bacteria, algae, daphnids, earthworms, and higher plants, according to standardized methodologies. Solid and leachate samples of coal-contaminated soil were more toxic than those of industrial sludge towards enzyme activity, bacteria, algae, daphnids, and earthworms. In the case of the higher plants (lettuce, corn, wild cabbage, and Surinam cherry) the industrial sludge was more toxic than the coal-contaminated soil, and a soil/sludge mixture (66:34% dry weight basis) had a stimulatory effect on the Surinam cherry biomass. The ecotoxicological assessment of the coal-contaminated soil remediation using sludge as an amendment is very important to determine application rates that could promote a stimulatory effect on agronomic species without negatively affecting the environment.

  15. Does hospital financial performance measure up?

    PubMed

    Cleverley, W O; Harvey, R K

    1992-05-01

    Comparisons are continuously being made between the financial performance, products and services, of the healthcare industry and those of non-healthcare industries. Several useful measures of financial performance--profitability, liquidity, financial risk, asset management and replacement, and debt capacity, are used by the authors to compare the financial performance of the hospital industry with that of the industrial, transportation and utility sectors. Hospitals exhibit weaknesses in several areas. Goals are suggested for each measure to bring hospitals closer to competitive levels.

  16. Financing Terror: Analysis and Simulation to Affect Terrorist OrganizationsFinancial Infrastructures

    DTIC Science & Technology

    2004-09-15

    due to its possible dependence on those external sources of funds. On the other hand, internalizing the fundraising function takes resources away from... Fundraisers " Daily News (Canada) 17 June 2000. 87 SVIK Organization. Available on-line at http://www.svik.org/ltte.htm as of 18 May 2004. "Svik" in Norwegian...sponsorship is not part of the group’s infrastructure. The bulk of fundraising appears to be through mechanisms the LTTE completely or largely controls

  17. Tobacco industry issues management organizations: Creating a global corporate network to undermine public health

    PubMed Central

    McDaniel, Patricia A; Intinarelli, Gina; Malone, Ruth E

    2008-01-01

    Background The global tobacco epidemic claims 5 million lives each year, facilitated by the ability of transnational tobacco companies to delay or thwart meaningful tobacco control worldwide. A series of cross-company tobacco industry "issues management organizations" has played an important role in coordinating and implementing common strategies to defeat tobacco control efforts at international, national, and regional levels. This study examines the development and enumerates the activities of these organizations and explores the implications of continuing industry cooperation for global public health. Methods Using a snowball sampling strategy, we collected documentary data from tobacco industry documents archives and assembled them into a chronologically organized case study. Results The International Committee on Smoking Issues (ICOSI) was formed in 1977 by seven tobacco company chief executives to create common anti-tobacco control strategies and build a global network of regional and national manufacturing associations. The organization's name subsequently changed to INFOTAB. The multinational companies built the organization rapidly: by 1984, it had 69 members operating in 57 countries. INFOTAB material, including position papers and "action kits" helped members challenge local tobacco control measures and maintain tobacco-friendly environments. In 1992 INFOTAB was replaced by two smaller organizations. The Tobacco Documentation Centre, which continues to operate, distributes smoking-related information and industry argumentation to members, some produced by cross-company committees. Agro-Tobacco Services, and now Hallmark Marketing Services, assists the INFOTAB-backed and industry supported International Tobacco Growers Association in advancing claims regarding the economic importance of tobacco in developing nations. Conclusion The massive scale and scope of this industry effort illustrate how corporate interests, when threatened by the globalization of

  18. Exploring Fragility: Industrial Delocalization, Occupational and Environmental Risks, and Non-Governmental Organizations

    PubMed Central

    Rigotto, Raquel Maria

    2009-01-01

    What is the role of non-governmental organizations – NGOs – in the process of industrial delocalization and socio-spatial redistribution of occupational and environmental risks? In an attempt to contribute to this debate, this study approaches the issue in a very specific socio-historical context, marked by recent accelerated industrialization in a small town in Northeast Brazil. Based on semi-structured interviews with leaders of four local NGOs, the way they perceive and value the risks introduced into the area and relations between industrialization and local development are analyzed. Findings show a strong adherence to the industrial plan by workers’ trade unions, whilst other NGOs are highly critical with regard thereto, but undertake no social or political activity regarding the issues they identify. This phenomenon is discussed in terms of the modus operandi of ideology and its strategies for symbolic construction, enabling a comprehensive reinterpretation of how capital also benefits, in its mobility, from local society’s fragility in organizing and protecting quality of life and public health. PMID:19440428

  19. Remotion of organic compounds of actual industrial effluents by electron beam irradiation

    NASA Astrophysics Data System (ADS)

    Sampa, M. H. O.; Duarte, C. L.; Rela, P. R.; Somessari, E. S. R.; Silveira, C. G.; Azevedo, A. L.

    1998-06-01

    Organic compounds has been a great problem of environmental pollution, the traditional methods are not effecient on removing these compounds and most of them are deposited to ambient and stay there for long time causing problems to the environment. Ionizing radiation has been used with success to destroy organic molecules. Actual industrial effluents were irradiated using IPEN's electron beam wastewater pilot plant to study organic compounds degradation. The samples were irradiated with and without air mixture by different doses. Irradiation treatment efficiency was evaluated by the Cromatography Gas Analyses of the samples before and after irradiation. The studied organic compounds were: phenol, chloroform, tetrachloroethylene (PCE), carbon tetrachloride, trichloroethylene (TCE), 1,1-dichloroethane, dichloromethane, benzene, toluene and xilene. A degradation superior to 80% was achieved for the majority of the compounds with air addition and 2kGy delivered dose condition. For the samples that were irradiated without air addition the degradation was higher.

  20. Co-exposure with fullerene may strengthen health effects of organic industrial chemicals.

    PubMed

    Lehto, Maili; Karilainen, Topi; Róg, Tomasz; Cramariuc, Oana; Vanhala, Esa; Tornaeus, Jarkko; Taberman, Helena; Jänis, Janne; Alenius, Harri; Vattulainen, Ilpo; Laine, Olli

    2014-01-01

    In vitro toxicological studies together with atomistic molecular dynamics simulations show that occupational co-exposure with C60 fullerene may strengthen the health effects of organic industrial chemicals. The chemicals studied are acetophenone, benzaldehyde, benzyl alcohol, m-cresol, and toluene which can be used with fullerene as reagents or solvents in industrial processes. Potential co-exposure scenarios include a fullerene dust and organic chemical vapor, or a fullerene solution aerosolized in workplace air. Unfiltered and filtered mixtures of C60 and organic chemicals represent different co-exposure scenarios in in vitro studies where acute cytotoxicity and immunotoxicity of C60 and organic chemicals are tested together and alone by using human THP-1-derived macrophages. Statistically significant co-effects are observed for an unfiltered mixture of benzaldehyde and C60 that is more cytotoxic than benzaldehyde alone, and for a filtered mixture of m-cresol and C60 that is slightly less cytotoxic than m-cresol. Hydrophobicity of chemicals correlates with co-effects when secretion of pro-inflammatory cytokines IL-1β and TNF-α is considered. Complementary atomistic molecular dynamics simulations reveal that C60 co-aggregates with all chemicals in aqueous environment. Stable aggregates have a fullerene-rich core and a chemical-rich surface layer, and while essentially all C60 molecules aggregate together, a portion of organic molecules remains in water.