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Sample records for organizations financial industry

  1. 75 FR 71166 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-22

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

  2. 76 FR 59751 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-27

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

  3. 76 FR 37384 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-27

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exemptions from the Order Audit Trail System..., Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange...

  4. 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... Reporting Rules for Certain Alternative Trading Systems September 23, 2011. Pursuant to Section 19(b)(1) of... that on September 16, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed...

  5. 76 FR 71404 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-17

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Order Audit Trail System Definitions of... November 4, 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities...

  6. 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 Proposed Rule Change Relating to FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility... Rule 19b-4 thereunder,\\2\\ notice is hereby given that on June 30, 2010, Financial Industry...

  7. 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... members in a timely fashion to facilitate its Regulation M compliance program. Rule 5190(d) sets forth...

  8. 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...\\ See Exchange Act Release No. 62434 (July 1, 2010; 75 FR 39603 (July 9, 2010); SR-FINRA-2009-089...

  9. 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

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

  10. 77 FR 61647 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-10

    ... turn transactions in security futures. \\12\\ 15 U.S.C. 78o-3(b)(5). B. Self-Regulatory Organization's... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and... in Security Futures October 3, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act...

  11. 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 Immediate Effectiveness of Proposed Rule Change To Amend the Security Futures Risk Disclosure Statement.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of...

  12. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule... of the rules in accordance with the requirements of Form 19b-4. II. Self-Regulatory...

  13. 75 FR 31825 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-04

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest... Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is proposing to adopt...

  14. 77 FR 14052 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-08

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

  15. 76 FR 41537 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-14

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

  16. 76 FR 72463 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-23

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

  17. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... Analysis Tools), 2215 (Communications With the Public Regarding Security Futures), and 2216 (Communications...), 76 FR 46870 (August 3, 2011). \\4\\ Comment letters are available at www.sec.gov . \\5\\ See letter...

  18. 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

    ... Securities Exchange Act Release No. 59921 (May 14, 2009), 74 FR 23912 (May 21, 2009) (``Notice''). I. Self... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of... (October 21, 2010); 75 FR 66173 (October 27, 2010) (Order Granting Accelerated Approval of Proposed...

  19. 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

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of....19b-4. \\3\\ See Securities Exchange Act Release No. 70312 (Sept. 4, 2013), 78 FR 55322 (Sept. 10, 2013... the identity of the beneficial owners of the fund of funds invested in the account. Thus, in...

  20. 75 FR 51147 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-18

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule Change To Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest... proposal to adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) (``Rule'')...

  1. 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....

  2. 76 FR 77034 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-09

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

  3. 75 FR 39603 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-09

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving... Exchange Act Release No. 61189 (December 17, 2009), 74 FR 68648 (``Notice''). \\4\\ See Letter to Elizabeth M... obligations, if applicable, to the Commission or other regulatory authority; (3) FINRA has actual...

  4. 75 FR 80556 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-22

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations) December 16,...

  5. 75 FR 62904 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-13

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reconcile Certain Amendments Approved Pursuant to SR-FINRA-2009-061 and...

  6. 75 FR 34183 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-16

    ... COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting... Market Volatility) To Permit FINRA To Halt Trading by FINRA Members Otherwise Than on an Exchange Where a Primary Listing Market Has Issued a Trading Pause Due to Extraordinary Market Conditions June 10, 2010....

  7. 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

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Establish Optional TRACE Data Delivery Services and Related Fees December 7, 2012. Pursuant to Section 19(b)(1) of...

  8. 76 FR 25385 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-04

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

  9. 77 FR 3019 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-20

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

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-25

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

  11. 77 FR 33539 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-06

    ...\\ See Securities Exchange Act Release No. 66508 (March 2, 2012), 77 FR 14052. \\4\\ See March 14, 2012... FINRA should delete references to a business plan, pro forma financials, organization chart, and written... comments raised by the commenters regarding the format of the Form, as well as content issues,...

  12. 76 FR 56848 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-14

    ... 240.19b-4. \\3\\ See Securities Exchange Act Release No. 64934 (July 20, 2011), 76 FR 44645 (July 26... Compliance Officer, NPB Financial Group, LLC, dated July 27, 2011 (``NPB Letter''); letter from Joyce...

  13. 77 FR 55519 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-10

    ... Release No. 67079 (May 30, 2012), 77 FR 33522 (``Notice''). \\4\\ See Letters to Elizabeth M. Murphy... Securities Exchange Act Release No. 63895 (February 11, 2011), 76 FR 9386 (February 17, 2011). If the ``not... any securities and financial instruments (not just option contracts and futures) was a...

  14. 77 FR 14848 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-13

    ... Securities Exchange Act Release No. 59955 (May 22, 2009), 74 FR 25586 (May 28, 2009) (Notice of Filing and... ) (``Approval Order''). \\4\\ See Securities Exchange Act Release No. 64892 (July 14, 2011), 76 FR 43360 (July 20..., including, among other things, risks to the financial system arising from credit risk resulting...

  15. 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

    ... offering of the issuer; acting as a financial adviser in a merger or acquisition; providing venture capital..., 2012), 77 FR 20452 (April 4, 2012) (Notice of Filing of Amendment No. 3 and Order Granting Accelerated... Rule 351. See Securities Exchange Act Release No. 63260 (November 5, 2010), 75 FR 69508 (November...

  16. 77 FR 74253 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-13

    .... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ See Exchange Act Release No. 60836 (Oct. 16, 2009), 74 FR 54614... of this proposal. See Exchange Act Release No. 63016 (Sep. 29, 2010), 75 FR 61793 (Oct. 6, 2010... and Copying of Books) December 7, 2012. I. Introduction On September 10, 2009, the Financial...

  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 from credit risk resulting from bilateral CDS transactions and from a concentration of credit risk to a... FR 72660 (November 26, 2010) (Extension of Temporary Exemptions for Eligible Credit Default Swaps...

  18. 75 FR 62911 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-13

    ... Securities Exchange Act Release No. 62655 (August 5, 2010), 75 FR 48731 (August 11, 2010). \\4\\ See Letter... that cannot be relocated to another financial institution, such as many limited partnership or hedge fund investments, FINRA is proposing new paragraph (b)(2) of the rule, which provides that the...

  19. 75 FR 8771 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-25

    ... information relative to such member's financial condition as disclosed in its most recent balance sheet... of satisfying the requirement that members make balance sheet information available to bona fide... disclosed in its most recent balance sheet * * *.'' FINRA proposed providing members with the option...

  20. 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

    ... condition as disclosed in its most recent balance sheet prepared either in accordance with such member's... members make balance sheet information available to bona fide regular customers. Currently, the rule... information relative to such member's financial condition as disclosed in its most recent balance...

  1. 75 FR 13632 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-22

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

  2. 76 FR 77283 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-12

    ... Industry Code currently provides that a claim alleging employment discrimination, including sexual harassment, in violation of a statute, is not required to be arbitrated under the Industry Code. Such a claim... prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of...

  3. 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

    ... that do not involve customers. The ability to work in the securities industry carries with it, among... under the settlement agreement has been discharged by the bankruptcy court.\\6\\ \\6\\ In its order... or an inability-to-pay the award. See Securities Exchange Act Release No. 40026 (May 26, 1998), 63...

  4. 78 FR 57916 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-20

    ... proceedings, and not to intra-industry cases. \\1\\ See Exchange Act Rel. No. 64166 (Apr. 1, 2011), 76 FR 19155.... 69761 (June 13, 2013), 78 FR 37261 (June 20, 2013). \\6\\ Comment letters were submitted by Mary Alice Mc... Brain Stephens, PLLC, dated July 11, 2013 (``Carlson Letter''); Steven B. Caruso, Esq., Maddox...

  5. 76 FR 59761 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-27

    ... State Laws and Industry Regulations; Investments; Margin; Retirement Plans; Variable Annuities; Taxation... material to reflect changes to the laws, rules and regulations covered by the examination and to better... By-Laws, Schedules to the By-Laws, or Rules of FINRA. \\5\\ FINRA also is proposing...

  6. 76 FR 21932 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-19

    ... for Correction In FR Document No. 2011-8897 beginning on page 20741 as published on Wednesday, April... Securities and Exchange Act Release No. 63909 (February 15, 2011), 76 FR 9838 (February 22, 2011) (``Notice... Disputes (``Industry Code'') to provide that FINRA will appoint a chair-qualified public arbitrator to...

  7. 75 FR 74759 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-01

    ... Exchange Act Release No. 60933 (November 4, 2009), 74 FR 58334 (November 12, 2009) (Order Granting... customer funds in a bank account established thereunder. For further discussion, see 74 FR 58334. See also... that FINRA should engage in additional international coordination efforts and industry discussions....

  8. 77 FR 12092 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-28

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

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-18

    .... 61057 (Nov. 24, 2009), 74 FR 62855 (``Notice''). \\4\\ See letter from William A. Jacobson, Esq. and Kelly... Arbitration Procedure for Customer and Industry Disputes February 4, 2010. I. Introduction On November 4, 2009... Arbitration Procedure for Customer Disputes (``Customer Code'') and Rules 13601(b) and 13902(a) of the Code...

  10. 77 FR 15445 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-15

    ...\\ See Securities Exchange Act Release No. 53564 (March 29, 2006), 71 FR 16847 (April 4, 2006) (SR-NASD... Applicants); see also Securities Exchange Act Release No. 55412 (March 7, 2007), 72 FR 11414 (March 13, 2007... information fields, which were added based on industry and staff feedback on existing Form NMA and the...

  11. 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

    ... operations functions. Historically, federal and state law and self-regulatory organization ] (``SRO'') rules.... However, unregistered individuals who perform and oversee member operations functions also play an..., responsible for or supervising certain member operations functions (``covered functions'') to enhance...

  12. 76 FR 45883 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-01

    ... certain changes. See Securities Exchange Act Release No. 64687 (June 16, 2011), 76 FR 36586 (June 22, 2011.../Rescheduling Fee Pursuant to NASD Rules 1021 and 1031, any person engaged in the investment banking or...-3(b)(5). \\10\\ Id. B. Self-Regulatory Organization's Statement on Burden on Competition FINRA...

  13. 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

    .... Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is... 12401 which provides that if the amount of a claim is more than $100,000, exclusive of interest and expenses, or is unspecified, or if the claim does not request money damages, the panel will......

  14. 77 FR 12635 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-01

    ... 240.19b-4(f)(2). I. Self-Regulatory Organization's Statement of the Terms of the Substance of the... foreign test center to more closely align the fee with the cost of such sessions. \\9\\ The $25 fee increase for the Series 52 examination has two components: (1) $15 of the fee......

  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

    ...-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change FINRA is proposing... of regulation and is entitled to the profits and losses, if any, derived from the operation of the... Market Share required increases as the tiers of revenue share......

  16. 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

  17. 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.

  18. 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.

  19. 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.

  20. 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.

  1. 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)

  2. Financial considerations in living organ donation.

    PubMed

    Jacobs, Cheryl; Thomas, Charlie

    2003-06-01

    The shortage of cadaveric organs and increased success of living donor transplantation support the use of living organ donors. Clinical social workers have the opportunity to explore a variety of donor-specific issues when performing psychosocial evaluations of living donors, including motivation, psychological stability, and personal and family consequences of donation, as well as the direct and indirect financial consequences faced by living donors. Although most donor-related medical costs are covered, other associated expenses are not reimbursable and may put donors at risk for financial hardship. Out-of-pocket expenses also serve as a disincentive to donate for some volunteers. During the evaluation process, healthcare professionals should openly discuss how surgery, recovery, and any potential complications might impact prospective donors' financial situation. Donors can then decide whether they are able to realistically handle the costs of donation. We present the financial dilemmas experienced by many living donors and highlight efforts that have been made to deal with them.

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

    NASA Astrophysics Data System (ADS)

    Wei, Song

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

  4. Financier's view of today's hydro industry

    SciTech Connect

    McLeod, H.

    1985-01-01

    In the last 4 years, the independent hydroelectric industry has undergone important changes that have affected the financing of the industry. In this article, Mr. Mcleod identifies some of the key developments; identifies the special characteristics of hydroelectric projects; discusses financing hydroelectric projects today; and offers some hints on how to obtain project financing in today's market.

  5. 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.

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

    PubMed

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

    2016-01-01

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

  7. 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

  8. 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.

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

    ERIC Educational Resources Information Center

    Fraser, Donald R.

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

  10. 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.

  11. Accountable care organizations: financial advantages of larger hospital organizations.

    PubMed

    Camargo, Rodrigo; Camargo, Thaisa; Deslich, Stacie; Paul, David P; Coustasse, Alberto

    2014-01-01

    Accountable care organizations (ACOs) are groups of providers who agree to accept the responsibility for elevating the health status of a defined group of patients, with the goal of enabling people to take charge of their health and enroll in shared decision making with providers. The large initial investment required (estimated at $1.8 million) to develop an ACO implies that the participation of large health care organizations, especially hospitals and health systems, is required for success. Findings of this study suggest that ACOs based in a larger hospital organization are more likely to meet Centers for Medicare and Medicaid Services criteria for formation because of financial and structural assets of those entities.

  12. Measuring hospital performance in multiinstitutional organizations using financial ratios.

    PubMed

    Coyne, J S

    1985-01-01

    The growth in the number of hospitals participating in MIOs is a critical force in the health services industry. Financial ratios serve as a tool to analyze the performance of these MIOs. Ratios can provide signals of financial stress or strength, which is essential to survival in a price-competitive environment.

  13. 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…

  14. 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.

  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 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.

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

    PubMed

    Peyser, N; Wong, A

    2000-01-01

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

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

    PubMed

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

    2015-05-01

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

  19. 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…

  20. 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.

  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. Assessing the financial characteristics of multi-institutional organizations.

    PubMed Central

    Coyne, J S

    1985-01-01

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

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

    PubMed

    Coyne, J S

    1985-02-01

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

  4. Financial stability in biobanking: unique challenges for disease-focused foundations and patient advocacy organizations.

    PubMed

    Bromley, Russell L

    2014-10-01

    In the last decade, many disease-focused foundations and patient advocacy organizations that support biomedical research have created patient registries and biobanks. This article reviews the motivations behind the creation of those biobanks and how they are different from biobanks sponsored by government or industry. It also discusses some of the different funding models being employed by these organizations. Finally, it highlights some of the unique challenges faced by disease-focused foundations and advocacy organizations that sponsor biobanks, and how they are overcoming those challenges to achieve both financial and operational sustainability.

  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. PMID:26034271

  6. 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.

  7. 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,…

  8. 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…

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

    PubMed

    Arce, Hugo E

    2012-01-01

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

  10. 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.

  11. 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

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

    PubMed

    Yoshikawa, Toru; Ogami, Ayumi; Muto, Takashi

    2013-12-01

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

  13. Grouping characteristics of industry sectors in financial markets

    NASA Astrophysics Data System (ADS)

    Oh, Gabjin

    2014-02-01

    We investigated the grouping coefficients of industrial sectors in the stock network based on stock data for the U.S. and Korean stock markets. These complex networks were modeled using the minimal spanning tree (MST) method. We propose a novel approach based on the shortest path length (SPL) between stocks to quantify the grouping characteristics of the industrial sectors. We find that the grouping coefficients for the industrial sector in the U.S. are larger than those of the Korean stock market. In particular, for the Korean stock market the conglomerates, comprised of a diverse of industrial companies, have a significant grouping coefficient.

  14. Essays on Industrial Organization and Political Economy

    ERIC Educational Resources Information Center

    Camara, Odilon Roberto VG de a

    2009-01-01

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

  15. 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

  16. 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

  17. 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

  18. 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.

  19. 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.

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-31

    ... Requirements for Non-Profit Organizations AGENCY: Community Development Financial Institutions Fund (CDFI Fund... CDFI Fund is amending its regulations regarding the financial reporting requirements for non-profit organizations. The regulatory change requires CDFI Program awardees that are non-profit organizations to...

  1. 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.

  2. 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…

  3. 78 FR 78422 - Order Granting Application by Financial Industry Regulatory Authority, Inc. for Exemption...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-26

    ... from Robert L.D. Colby, Chief Legal Officer, FINRA, to Elizabeth M. Murphy, Secretary, Commission.... 67256 (June 26, 2012), 77 FR 39277, 39286 (July 2, 2012) (order approving SR-BX-2012-030 and granting... COMMISSION Order Granting Application by Financial Industry Regulatory Authority, Inc. for Exemption...

  4. Laboratory manager's financial handbook. The laboratory's importance to the financial stability of a health-care organization.

    PubMed

    Travers, E M

    1996-01-01

    From a financial standpoint, one of the most valuable assets in the survival of a health-care organization is the clinical laboratory. Laboratory directors, managers, and supervisors have indicated their overwhelming need to understand finance, especially cost management, to CLMA and to the author at national meetings and workshops, Tremendous financial pressures are being applied in health-care organizations across the country. Two strategic factors in their successful move into the 21st century are more appropriate test utilization and cost control in the laboratory.

  5. 17 CFR 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... financial and related reporting requirements; and (2) Of the identity of the designated self-regulatory... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Self-regulatory organization... Miscellaneous § 1.52 Self-regulatory organization adoption and surveillance of minimum financial...

  6. 17 CFR 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... financial and related reporting requirements; and (2) Of the identity of the designated self-regulatory... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Self-regulatory organization... Miscellaneous § 1.52 Self-regulatory organization adoption and surveillance of minimum financial...

  7. Financial risk sharing with providers in health maintenance organizations, 1999.

    PubMed

    Gold, Marsha R; Lake, Timothy; Hurley, Robert; Sinclair, Michael

    2002-01-01

    The transfer of financial risk from health maintenance organizations (HMOs) to providers is controversial. To provide timely national data on these practices, we conducted a telephone survey in 1999 of a multi-staged probability sample of HMOs in 20 of the nation's 60 largest markets, accounting for 86% of all HMO enrollees nationally. Among those sampled, 82% responded. We found that HMOs' provider networks with physicians, hospitals, skilled nursing homes, and home health agencies are complex and multi-tiered Seventy-six percent of HMOs in our study use contracts for their HMO products that involve global, professional services, or hospital risk capitation to intermediate entities. These arrangements account for between 24.5 million and 27.4 million of the 55.9 million commercial and Medicare HMO enrollees in the 60 largest markets. While capitation arrangements are particularly common in California, they are more common elsewhere than many assume. The complex layering of risk sharing and delegation of care management responsibility raise questions about accountability and administrative costs in managed care. Do complex structures provide a way to involve providers more directly in managed care, or do they diffuse authority and add to administrative costs? PMID:12067073

  8. 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

  9. 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

  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. 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. PMID:10268650

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

    ERIC Educational Resources Information Center

    Polley, John W.; Lamitie, Robert E.

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

  13. 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

  14. 17 CFR 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... requirements; and (2) Of the identity of the designated self-regulatory organization that has been delegated... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Self-regulatory organization... Miscellaneous § 1.52 Self-regulatory organization adoption and surveillance of minimum financial...

  15. 17 CFR 1.52 - Self-regulatory organization adoption and surveillance of minimum financial requirements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... (ii) of the identity of the designated self-regulatory organization which has been delegated... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Self-regulatory organization... Miscellaneous § 1.52 Self-regulatory organization adoption and surveillance of minimum financial...

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

    PubMed Central

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

    2003-01-01

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

  17. 25 CFR 900.44 - What minimum general standards apply to all Indian tribe or tribal organization financial...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  18. 25 CFR 900.44 - What minimum general standards apply to all Indian tribe or tribal organization financial...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

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

  19. 25 CFR 900.44 - What minimum general standards apply to all Indian tribe or tribal organization financial...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

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

  20. 25 CFR 900.44 - What minimum general standards apply to all Indian tribe or tribal organization financial...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  1. 25 CFR 900.44 - What minimum general standards apply to all Indian tribe or tribal organization financial...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

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

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

    Code of Federal Regulations, 2012 CFR

    2012-04-01

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

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

    Code of Federal Regulations, 2014 CFR

    2014-04-01

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

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

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  5. 19 CFR 351.312 - Industrial users and consumer organizations.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

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

  6. 19 CFR 351.312 - Industrial users and consumer organizations.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

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

  7. 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.

  8. Self-organizing Ising model of financial markets

    NASA Astrophysics Data System (ADS)

    Zhou, W.-X.; Sornette, D.

    2007-01-01

    We study a dynamical Ising-like model of agents' opinions (buy or sell) with learning, in which the coupling coefficients are re-assessed continuously in time according to how past external news (time-varying magnetic field) have explained realized market returns. By combining herding, the impact of external news and private information, we find that the stylized facts of financial markets are reproduced only when agents misattribute the success of news to predict return to herding effects, thereby providing positive feedbacks leading to the model functioning close to the Ising critical point.

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

    SciTech Connect

    Malik, K.A.

    1987-01-01

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

  10. 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

  11. 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.

  12. 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.

  13. Unhealthy partnerships: the tobacco industry and African American and Latino labor organizations.

    PubMed

    Raebeck, Annaebel; Campbell, Richard; Balbach, Edith

    2010-04-01

    The tobacco industry in the 1980s began to form relationships with outside groups for assistance on key policy issues due to its own poor credibility in the policy arena. This strategy allowed the industry to advance its own interests while seeming to match the agendas of very different organizations. Between 1988 and 1998, the tobacco industry developed coalitions with the A. Philip Randolph Institute (APRI), representing African American trade unionists, and the Labor Coalition on Latin American Advancement (LCLAA), representing Latino trade unionists. APRI and LCLAA each adopted resolutions supporting industry positions on smokefree worksites and excise taxes, issues on which they had not previously taken positions, and promoted these positions to their members, political leaders and the public. They also supported the industry's youth programs. This research relied upon a review of background literature and document searches through the Legacy Tobacco Documents Library and Tobacco Documents Online to examine the development of the excise tax coalition. The tobacco industry built support with APRI and LCLAA by framing policy positions in line with the organizations' interests, creating institutional arrangements that circumvented direct funding from the industry, and enhancing the industry's ability to influence excise tax debates indirectly. Although tobacco control advocates do not have the financial resources of the tobacco industry at their disposal, they can learn from tobacco industry techniques as they seek to build coalitions with people of color in the labor movement. Tobacco control advocates can both counter tobacco industry issue frames and also align their interests with those of working people of color by working on other issues of interest to this population, including health care and worker health and safety. PMID:19579065

  14. 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...

  15. 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...

  16. 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...

  17. 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...

  18. 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...

  19. 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.

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

    PubMed Central

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

    2011-01-01

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

  1. Health advocacy organizations and the pharmaceutical industry: an analysis of disclosure practices.

    PubMed

    Rothman, Sheila M; Raveis, Victoria H; Friedman, Anne; Rothman, David J

    2011-04-01

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

  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. Chief Information Officers in Service and Industrial Organizations.

    ERIC Educational Resources Information Center

    Brumm, Eugenia K.

    1990-01-01

    Describes a survey that examined the role of chief information officers (CIOs) in service and industry organizations. The findings discussed include prevalence of CIOs and their level in the organization, scope of authority, control of resources, involvement in corporate strategy, and personal backgrounds. Conclusions about the actual and intended…

  4. 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)

  5. Engineering organisms for industrial fuel production.

    PubMed

    Berry, David A

    2010-01-01

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

  6. Engineering organisms for industrial fuel production.

    PubMed

    Berry, David A

    2010-01-01

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

  7. 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.

  8. 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.

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

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... or tribal organization's financial management system contain to meet these standards? 900.45 Section... ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards for Financial Management Systems § 900.45 What specific minimum requirements shall an Indian tribe or tribal...

  10. 25 CFR 900.45 - What specific minimum requirements shall an Indian tribe or tribal organization's financial...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... or tribal organization's financial management system contain to meet these standards? 900.45 Section... ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards for Financial Management Systems § 900.45 What specific minimum requirements shall an Indian tribe or tribal...

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

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... or tribal organization's financial management system contain to meet these standards? 900.45 Section... ASSISTANCE ACT Standards for Tribal or Tribal Organization Management Systems Standards for Financial Management Systems § 900.45 What specific minimum requirements shall an Indian tribe or tribal...

  12. Reclaiming metals and organics from industrial wastewaters

    SciTech Connect

    Kilambi, S.

    1996-08-01

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

  13. 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.

  14. 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.

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

    NASA Astrophysics Data System (ADS)

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

    2013-01-01

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

  16. Organizations and associations serving the Waste-To-energy industry

    SciTech Connect

    Not Available

    1998-12-01

    Professional organizations can provide leadership in disseminating information and answering questions about, and in providing support for, the industry. Eleven such organizations and association that directly, or in part, promote or provide technical assistance in the waste-to-energy field are listed and described briefly. Some actively lobby on waste-to-energy issues. Some provide useful publications and newsletters for those interested in keeping up with changes in the field.

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

    PubMed

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

    2014-01-01

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

  18. 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.

  19. 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. PMID:19848569

  20. 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

  1. 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…

  2. 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.

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

    ERIC Educational Resources Information Center

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

    2002-01-01

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

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

    PubMed

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

    2014-01-01

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

  5. 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.

  6. 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

  7. 17 CFR 31.28 - Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... reporting requirements; and (2) Of the identity of the designated self-regulatory organization which has... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Self-regulatory organization... TRANSACTIONS § 31.28 Self-regulatory organization adoption and surveillance of minimum financial,...

  8. 17 CFR 31.28 - Self-regulatory organization adoption and surveillance of minimum financial, cover, segregation...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... reporting requirements; and (2) Of the identity of the designated self-regulatory organization which has... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Self-regulatory organization... TRANSACTIONS § 31.28 Self-regulatory organization adoption and surveillance of minimum financial,...

  9. 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,...

  10. 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,...

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

    Code of Federal Regulations, 2010 CFR

    2010-04-01

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

  12. 17 CFR 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...

  13. 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...

  14. 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...

  15. 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...

  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. 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.

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

    PubMed

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

    2016-01-01

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

  19. 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.

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

    PubMed

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

    2016-07-01

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

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

    PubMed

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

    2016-07-01

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

  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... nonvoting industry representatives to serve on the Device Good Manufacturing Practice Advisory...

  3. 76 FR 67466 - Request for Notification From Industry Organizations Interested in Participating in the Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-01

    ... HUMAN SERVICES Food and Drug Administration Request for Notification From Industry Organizations Interested in Participating in the Selection Process for Nonvoting Industry Representatives and Request for Nominations for Nonvoting Industry Representatives on the National Mammography Quality Assurance...

  4. Hazardous organic compounds in groundwater near Tehran automobile industry.

    PubMed

    Dobaradaran, Sina; Mahvi, Amir Hossein; Nabizadeh, Ramin; Mesdaghinia, Alireza; Naddafi, Kazem; Yunesian, Masoud; Rastkari, Noushin; Nazmara, Shahrokh

    2010-11-01

    Potential of groundwater contamination by trichloroethylene (TCE) and other volatile organic compounds VOCs near car industry was conducted in this study. TCE, PCE, toluene, xylene, dichloromethane, cyclohexane, n-hexane and n-pentane were detected in all groundwaters. Mean TCE levels in groundwater ranged from 124.37 to 1,035.9 μg L⁻¹ with maximum level of 1,345.7 μg L⁻¹. Due to the data obtained from conventional wastewater treatment in car factory the TCE removal efficiency was only 24 percent which necessitates the TCE removal by advanced treatment processes before the use of well water.

  5. 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

    ... circular A-122, “Cost Principles for Non-Profit Organizations.” Tribal educational institution A-21, “Cost..., Local and Indian Tribal Governments.” Tribal private non-profit other than: (1) an institution of higher... or tribal organization's financial management system contain to meet these standards? 900.45...

  6. 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…

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

    PubMed Central

    Lee, Munjae; Choi, Mankyu

    2015-01-01

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

  8. 29 CFR 401.10 - Labor organization engaged in an industry affecting commerce.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 29 Labor 2 2014-07-01 2014-07-01 false Labor organization engaged in an industry affecting... organization engaged in an industry affecting commerce. A labor organization shall be deemed to be engaged in an industry affecting commerce if it: (a) Is the certified representative of employees under...

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

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... 29 Labor 2 2011-07-01 2011-07-01 false Labor organization engaged in an industry affecting... organization engaged in an industry affecting commerce. A labor organization shall be deemed to be engaged in an industry affecting commerce if it: (a) Is the certified representative of employees under...

  10. 29 CFR 401.10 - Labor organization engaged in an industry affecting commerce.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... 29 Labor 2 2013-07-01 2013-07-01 false Labor organization engaged in an industry affecting... organization engaged in an industry affecting commerce. A labor organization shall be deemed to be engaged in an industry affecting commerce if it: (a) Is the certified representative of employees under...

  11. 29 CFR 401.10 - Labor organization engaged in an industry affecting commerce.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... 29 Labor 2 2012-07-01 2012-07-01 false Labor organization engaged in an industry affecting... organization engaged in an industry affecting commerce. A labor organization shall be deemed to be engaged in an industry affecting commerce if it: (a) Is the certified representative of employees under...

  12. 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.

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

    PubMed

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

    2014-03-01

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

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

    PubMed

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

    2014-03-01

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

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

    PubMed

    Afek, Arnon; Meilik, Ahuva; Rotstein, Zeev

    2009-01-01

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

  16. 76 FR 13442 - Joint Industry Plan; Order Approving Amendment No. 25 to the Joint Self-Regulatory Organization...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-11

    ... Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority... Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca... Exchange, Inc. (``EDGA''); EDGX Exchange, Inc.(``EDGX''); Financial Industry Regulatory Authority,...

  17. 78 FR 66788 - Joint Industry Plan; Order Approving Amendment No. 30 to the Joint Self-Regulatory Organization...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-06

    ... Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority... Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc... Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.;...

  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

    ...(ASFR), as last amended at 76 FR19774-19776 dated April 8, 2011; 75 FR 369-370, dated January 5, 2010... financial accountability and enhance program integrity through leadership, oversight, collaboration, and... with applicable Federal directives, Departmental financial systems policy and automated financial...

  19. Multifunctional metal-organic frameworks: from academia to industrial applications.

    PubMed

    Silva, Patrícia; Vilela, Sérgio M F; Tomé, João P C; Almeida Paz, Filipe A

    2015-10-01

    After three decades of intense and fundamental research on metal-organic frameworks (MOFs), is there anything left to say or to explain? The synthesis and properties of MOFs have already been comprehensively described elsewhere. It is time, however, to prove the nature of their true usability: technological applications based on these extended materials require development and implementation as a natural consequence of the up-to-known intensive research focused on their design and preparation. The current large number of reviews on MOFs emphasizes practical strategies to develop novel networks with varied crystal size, shape and topology, being mainly devoted to academic concerns. The present survey intends to push the boundaries and summarise the state-of-the-art on the preparation of promising (multi)functional MOFs in worldwide laboratories and their use as materials for industrial implementation. This review starts, on the one hand, to describe several tools and striking examples of remarkable and recent (multi)functional MOFs exhibiting outstanding properties (e.g., in gas adsorption and separation, selective sorption of harmful compounds, heterogeneous catalysis, luminescent and corrosion protectants). On the other hand, and in a second part, it intends to use these examples of MOFs to incite scientists to move towards the transference of knowledge from the laboratories to the industry. Within this context, we exhaustively review the many efforts of several worldwide commercial companies to bring functional MOFs towards the daily use, analysing the various patents and applications reported to date. Overall, this review goes from the very basic concepts of functional MOF engineering and preparation ending up in their industrial production on a large scale and direct applications in society.

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

    SciTech Connect

    1981-01-01

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

  1. 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...

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

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 7 Agriculture 10 2011-01-01 2011-01-01 false Established national nonprofit industry-governed... national nonprofit industry-governed organizations. Established national nonprofit industry-governed... directors representing the cattle or beef industry on a national basis; and (c) Were active and...

  3. 7 CFR 1260.113 - Established national nonprofit industry-governed organizations.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 7 Agriculture 10 2013-01-01 2013-01-01 false Established national nonprofit industry-governed... national nonprofit industry-governed organizations. Established national nonprofit industry-governed... directors representing the cattle or beef industry on a national basis; and (c) Have been active and...

  4. 7 CFR 1260.113 - Established national nonprofit industry-governed organizations.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

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

  5. 7 CFR 1260.113 - Established national nonprofit industry-governed organizations.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 7 Agriculture 10 2012-01-01 2012-01-01 false Established national nonprofit industry-governed... national nonprofit industry-governed organizations. Established national nonprofit industry-governed... directors representing the cattle or beef industry on a national basis; and (c) Were active and...

  6. 7 CFR 1260.113 - Established national nonprofit industry-governed organizations.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 7 Agriculture 10 2014-01-01 2014-01-01 false Established national nonprofit industry-governed... national nonprofit industry-governed organizations. Established national nonprofit industry-governed... directors representing the cattle or beef industry on a national basis; and (c) Have been active and...

  7. 25 CFR 900.45 - What specific minimum requirements shall an Indian tribe or tribal organization's financial...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 25 Indians 2 2013-04-01 2013-04-01 false What specific minimum requirements shall an Indian tribe or tribal organization's financial management system contain to meet these standards? 900.45 Section 900.45 Indians BUREAU OF INDIAN AFFAIRS, DEPARTMENT OF THE INTERIOR, AND INDIAN HEALTH SERVICE, DEPARTMENT OF HEALTH AND HUMAN SERVICES...

  8. 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

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF HEALTH AND HUMAN SERVICES Food and Drug Administration Draft Guidance for Clinical Investigators, Industry, and FDA... notice that appeared in the Federal Register of May 24, 2011 (76 FR 30175). The document announced...

  9. 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…

  10. 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.…

  11. 77 FR 19666 - Office of Financial Resources; Statement of Organization, Functions, and Delegations of Authority

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-02

    ... amended as Chapter AM, Office of Financial Resources, as last amended at 76 FR 69741-42, dated November 9, 2011, 74 FR 57679-82, dated November 9, 2009, and 74 FR 18238-39, dated April 21, 2009. This... Departmental Chief Financial Officer (CFO), Chief Acquisition Officer (CAO) and Performance Improvement...

  12. Antidepressants and Breast and Ovarian Cancer Risk: A Review of the Literature and Researchers' Financial Associations with Industry

    PubMed Central

    Cosgrove, Lisa; Shi, Ling; Creasey, David E.; Anaya-McKivergan, Maria; Myers, Jessica A.; Huybrechts, Krista F.

    2011-01-01

    Background Antidepressant (AD) use has been purported to increase the risk of breast and ovarian cancer, although both epidemiological and pre-clinical studies have reported mixed results [1]–[6]. Previous studies in a variety of biomedical fields have found that financial ties to drug companies are associated with favorable study conclusions [7]. Methods and Findings We searched English-language articles in MEDLINE, PsychINFO, the Science Citations Index and the Cochrane Central Register of Controlled Clinical Trials (through November 2010). A total of 61 articles that assessed the relationship between breast and ovarian cancer and AD use and articles that examined the effect of ADs on cell growth were included. Multi-modal screening techniques were used to investigate researchers' financial ties with industry. A random effects meta-analysis was used to pool the findings from the epidemiological literature. Thirty-three percent (20/61) of the studies reported a positive association between ADs and cancer. Sixty-seven percent (41/61) of the studies reported no association or antiproliferative effect. The pooled odds ratio for the association between AD use and breast/ovarian cancer in the epidemiologic studies was 1.11 (95% CI, 1.03–1.20). Researchers with industry affiliations were significantly less likely than researchers without those ties to conclude that ADs increase the risk of breast or ovarian cancer. (0/15 [0%] vs 20/46 [43.5%] (Fisher's Exact test P = 0.0012). Conclusions Both the pre-clinical and clinical data are mixed in terms of showing an association between AD use and breast and ovarian cancer. The possibility that ADs may exhibit a bi-phasic effect, whereby short-term use and/or low dose antidepressants may increase the risk of breast and ovarian cancer, warrants further investigation. Industry affiliations were significantly associated with negative conclusions regarding cancer risk. The findings have implications in light of the 2009

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

    PubMed

    Coyne, J S

    1985-01-01

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

  14. A survey of the causes of cattle organs and/or carcass condemnation, financial losses and magnitude of foetal wastage at an abattoir in Dodoma, Tanzania.

    PubMed

    Tembo, Wilfred; Nonga, Hezron E

    2015-04-16

    Slaughterhouses provide a safeguard that prevents the public from consuming meat of poor quality or meat which may be infected with zoonotic diseases. This work reviews a 3-year database of cattle that were slaughtered and inspected between 2010 and 2012 at Dodoma abattoir, Tanzania. In addition, meat inspection was undertaken for 1 month (December 2013). The aim of this study was to establish causes of organ and carcass condemnations and their financial implications as well as the magnitude of slaughter of pregnant cows at Dodoma abattoir. During retrospective study, it was found that a total of 9015 (10.5%) lungs, 6276 (7.3%) intestines, 5402 (6.3%) livers, 3291 (3.8%) kidneys and 41 (0.05%) carcasses were condemned. Pulmonary emphysema (3.4%), fasciolosis (4.5%), pimply gut (5.7%), kidney congenital cysts (1.9%) and hydatidosis (3.1%) were major causes of organ condemnations. This large number of condemned edible organs and/or carcasses implies that public health considerations result in deprivation of valuable protein. Occurrence of hydatidosis, cysticercosis, fasciolosis and tuberculosis illustrates the possible public health problem and presence of environmental infections. Of the 794 cows slaughtered in December 2013, 46% were pregnant. Financial loss as a result of organ and/or carcass condemnations was estimated at $9892. Condemnation of organs and/or carcasses and indiscriminate slaughter of pregnant cows represent a significant loss of meat and revenue and a reduction in growth of future herds, which has a negative effect on the livestock industry. This justifies appropriate surveillance and disease control programmes coupled with strict enforcement of legislation governing animal welfare to curb the slaughter of pregnant animals.

  15. 76 FR 19101 - Request for Notification From Industry Organizations Interested in Participating in the Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-06

    ... HUMAN SERVICES Food and Drug Administration Request for Notification From Industry Organizations Interested in Participating in the Selection Process for a Nonvoting Industry Representative and Request for Nominations for a Nonvoting Industry Representative on an FDA Advisory Committee AGENCY: Food and...

  16. 78 FR 79700 - Request for Notification From Industry Organizations Interested in Participating in Selection...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-31

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

  17. 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)

  18. Creatively Intelligent Post-Industrial Organizations and Intellectually Impaired Bureaucracies.

    ERIC Educational Resources Information Center

    Ambrose, Don

    1995-01-01

    This paper compares the human brain-mind system to the structure and systems of large organizations and bureaucracies. It argues that effective organizations mirror the systems seen in healthy brains, while ineffective organizations resemble damaged brains and chronically pursue short-term goals through inflexible routines instead of looking for…

  19. 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

  20. 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... applicable to employees of the National Institutes of Health. (a) Applicability. This section does not...

  1. 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...

  2. 78 FR 9754 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-11

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

  3. 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

    ... transactions for which good delivery may be made (``TBA transactions GD'') and for reporting TBA transactions... TBA transactions GD and a $10 million dissemination cap for TBA transactions NGD. Third, FINRA... settlement. TBA transactions are ``for good delivery'' (``GD'') or ``not for good delivery'' (``NGD'')....

  4. 77 FR 23524 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-19

    ... Release No. 66577 (March 12, 2012), 77 FR 15827 (March 16, 2012) (Notice of Filing of File No. SR-FINRA... distinguished between MBS TBA transactions for good delivery (``MBS TBA transactions GD'') and not for good... TBA transactions GD. FINRA proposes to amend Rule 6730 to reduce, in two stages, the time frames...

  5. 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

    ... points in time prior to the transactions in question and use transaction prices at or immediately prior to the one or more specific points in time selected as the Reference Price. FINRA will nullify as... Price for transactions that trigger a trading pause (the ``Trigger Trade'') and subsequent...

  6. 78 FR 9083 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-07

    ... (May 31, 2012), 77 FR 33498 (June 6, 2012) (the ``Limit Up-Limit Down Release''). The text of the...-Limit Down Plan. \\5\\ See Securities Exchange Act Release No. 67579 (August 2, 2012), 77 FR 47467 (August...), 75 FR 56641 (September 16, 2010) (Order Approving File No. SR-FINRA-2010-032). As explained...

  7. 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 (...

  8. 75 FR 56608 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-16

    ...\\ For purposes of Phase II, ETPs consist of exchange-traded funds (including widely traded broad-based funds like SPY), exchange-traded vehicles (which track the performance of an asset or index, providing... Release No. 62416 (June 30, 2010), 75 FR 39069 (July 7, 2010) (SR-FINRA-2010-033). Also on June 30,...

  9. 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

    ...., Velez v. Ph.D. Capital Corp., No. 10 Civ. 3735, 2011 U.S. Dist. LEXIS 16678 (S.D.N.Y. Feb. 3, 2011....R.D. 1 (D.D.C. 2002) (certifying class of all female Rand employees in exempt positions under EPA). \\12\\ Fed. R. Civ. P. 23. \\13\\ Cathy Ventrell-Monsees, Representative and Collective Actions Under...

  10. 77 FR 22374 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-13

    ... FINRA members under the Fair Labor Standards Act (FLSA), the Age Discrimination in Employment Act (ADEA.... \\3\\ See Exchange Act Release No. 66109 (Jan. 5, 2012), 77 FR 1773 (Jan. 11, 2012) (Notice of Filing... (``SEC'' or ``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of...

  11. 75 FR 52574 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-26

    ... ``short exempt.'' \\5\\ \\3\\ See Securities Exchange Act Release No. 61595 (February 26, 2010), 75 FR 11232..., 2007), 72 FR 48713 (August 24, 2007) (Notice of Filing and Immediate Effectiveness of File No. SR-NASD... Proposed Rule Change To Reinstitute Short Exempt Marking for Trade Reporting and OATS August 20,...

  12. 75 FR 69725 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-15

    ... Release No. 63032 (October 4, 2010), 75 FR 62439 (October 8, 2010) (Order Approving File No. SR- FINRA...), 75 FR 11232 (March 10, 2010). \\7\\ See Securities Exchange Act Release No. 63247 (November 4, 2010... effective date of the changes to the FINRA trade reporting and Order Audit Trail System (``OATS'') rules...

  13. 76 FR 24076 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-29

    ... Allocations and Distributions) to simplify the spinning provision and to delay the implementation date of... 27, 2011.\\4\\ \\3\\ See Securities Exchange Act Release No. 63010 (September 29, 2010), 75 FR 61541... 2010) (Approval of New Issue Rule). A. Spinning Paragraph (b) of the Rule (Spinning), implements...

  14. 76 FR 29808 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-23

    ... change to amend FINRA Rule 5131 (New Issue Allocations and Distributions) to simplify the spinning.... 64341 (Apr. 26, 2011), 76 FR 24076 (Apr. 29, 2011) (SR-FINRA-2011-017). \\4\\ The Commission received one... (September 29, 2010), 75 FR 61541 (October 5, 2010) (Order Approving File No. SR- NASD-2003-140). \\6\\...

  15. 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

    ... commenter asks whether internal audit findings are deemed internal conclusions.\\33\\ FINRA believes that a... the enumerated violative conduct.\\34\\ Regarding internal audit findings, FINRA believes that the... the scope of the provision. e. Internal Disciplinary Actions Against Associated Persons...

  16. 75 FR 69508 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filings...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-12

    ...). See Notice, supra note 3, 75 FR at 47864. E. Internal Disciplinary Actions Against Associated Persons... internal audit process at member firms.\\59\\ Similarly, commenters believe FINRA's statement \\60\\ that... 4350(b).\\64\\ FINRA notes that it would not view a discussion in an internal audit report regarding...

  17. 75 FR 39610 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-09

    ... Application and Interview) as part of their new membership application. The proposed change would amend Form... application form applicants must file pursuant to NASD Rule 1013 (New Member Application and Interview) as... categories, as specified in the definition, at the time of the sale of the securities to that person....

  18. 78 FR 62788 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ...\\ See Securities Exchange Act Release No. 70345 (September 6, 2013), 78 FR 56251 (September 12, 2013... for a single user ID and $60 per data set for additional user IDs) to the third and fourth data sets... subscriptions for additional user IDs, in FINRA Rule 7730(a)(1)(B)(ii), the current fee is $80 per month...

  19. 78 FR 4917 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-23

    ...\\ See Securities Exchange Act Release No. 68387 (December 7, 2012), 77 FR 74249 (December 13, 2012) (SR-FINRA-2012-053) (the ``Notice''). II. Description of the Proposal FINRA utilizes the Trade Reporting and... for corporate bonds and Agency Debt Securities (``Corporate/Agency Debt Securities''). The FINRA...

  20. 76 FR 72736 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-25

    ... reporting corporate bonds and Agency Debt Securities to TRACE.'' \\21\\ In support of its assertion, FINRA.... \\3\\ See Securities Exchange Act Release No. 65459 (September 30, 2011), 76 FR 62128 (``Notice''). \\4...\\ The proposed rule change would make certain amendments to the reporting requirements of Rule 6730...

  1. 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

    ... No. 1 Thereto, To Require the Reporting of Transactions in Asset-Backed Securities to TRACE February... securities (collectively, ``Asset-Backed Securities'') as eligible for the Trade Reporting and Compliance Engine (``TRACE''), and to establish reporting, fee, and other requirements relating to such...

  2. 75 FR 17806 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-07

    ... Exchange Act Release No. 60960 (November 6, 2009), 74 FR 59272 (``Notice''). \\4\\ See Letters from James R... participation program or DPP, means a program which provides for flow-through tax consequences regardless of the... S corporate offerings and all other programs of a similar nature, regardless of the...

  3. 75 FR 56641 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-16

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

  4. 75 FR 21063 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-22

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

  5. 76 FR 77042 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-09

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

  6. 76 FR 65549 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-21

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

  7. 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

    ..., their proposals for changes, and their reactions to other constituents' proposals. FINRA worked for... was not broad enough. In light of the comment letters, FINRA withdrew the filing.\\3\\ \\3\\ FINRA...

  8. 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

    ... Exchange Act Release No. 46416 (August 23, 2002), 67 FR 55901 (August 30, 2002). \\6\\ See FINRA By-Laws... (June 2, 2011), 76 FR 33388 (June 8, 2011); Regulatory Notice 11-27 (June 2011). ] Because the TAF is... Proposed Rule Change To Increase the Trading Activity Fee Rate for Transactions in Covered...

  9. 76 FR 9062 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Disapproving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-16

    ...\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 63256 (November 5, 2010), 75 FR 69503...), 75 FR 81704 (December 28, 2010). \\6\\ See Letter to Elizabeth M. Murphy, Secretary, Commission, from... so by flashing bids during market turbulence.'' \\11\\ In response, FINRA notes that FINRA Rule...

  10. 77 FR 33527 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-06

    ... Release No. 48407 (August 25, 2003), 68 FR 52259 (September 2, 2003) (Order Approving File No. SR- NASD-2000-08) (``NASD Order''); Securities Exchange Act Release No. 48365 (August 19, 2003), 68 FR 51314... (July 7, 2003), 68 FR 41672 (July 14, 2003) (Notice of Filing of File No. SR-NYSE-98-14) (``NYSE...

  11. 77 FR 54636 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-05

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

  12. 76 FR 11542 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-02

    ... capital requirement to use, solely for the purpose of determining the adequacy of its fidelity bond coverage for its second year, the 15 to 1 ratio of aggregate indebtedness to net capital in lieu of the 8 to 1 ratio (required for broker-dealers in their first year of business) to calculate its net...

  13. 78 FR 64566 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-29

    ... and Economic Factors, 8 questions; 2. Securities and Tax Regulation, 23 questions; 3. Marketing... available on FINRA's Web site, at www.finra.org/brokerqualifications/exams . The revised Series 6 content... practices, to promote just and equitable principles of trade, and, in general, to protect investors and...

  14. 76 FR 36586 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-22

    ...\\ See Securities Exchange Act Release No. 64080 (March 14, 2011), 76 FR 15012 (March 18, 2011) (``Notice... designate the party responsible for any shared functions in the clearing agreement to reduce the economic.... See Exchange Act Release No. 63999 (Mar. 1, 2011), 76 FR 12380 (Mar. 7, 2011). The rule...

  15. 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

    ... Securities Exchange Act Rel. No. 51325 (Mar. 7, 2005), 70 FR 12522 (Mar. 14, 2005). The IM was renumbered and.... 24, 2007), 72 FR 4574 (Jan. 31, 2007) (File Nos. SR-NASD-2003-158 and SR-NASD-2004-011). 2. Statutory... Proposed Rule Change To Amend the By-Laws of FINRA Dispute Resolution, Inc. To Clarify That...

  16. 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

    ...\\ See Securities Exchange Act Release No. 56145 (July 26, 2007), 72 FR 42169 (August 1, 2007), as amended by Securities Exchange Act Release No. 56145A (May 30, 2008), 73 FR 32377 (June 6, 2008) (File No... November 6, 2008.\\6\\ \\5\\ See Securities Exchange Act Rel. No. 58626 (Sept. 23, 2008), 73 FR 56872 (Sept....

  17. 77 FR 67038 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-08

    ...), 77 FR 55885 (Sept. 11, 2012). (``Notice''). The comment period closed on October 2, 2012. \\6\\ See... Proposed Rule Change To Amend the By- Laws of FINRA Dispute Resolution, Inc. To Clarify That Services... thereunder,\\2\\ a proposed rule change to amend the By-Laws of FINRA Dispute Resolution, Inc. (``By-Laws'')...

  18. 77 FR 39313 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-02

    ... Securities Exchange Act Release No. 66364 (February 9, 2012), 77 FR 8938 (February 15, 2012) (Order Granting... 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...

  19. 76 FR 15352 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-21

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

  20. 77 FR 66908 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-07

    ... 26, 2012 in FR Doc. 2012-65436, on page 65437, in the seventh line in the paragraph under the heading... INFORMATION CONTACT: Michael P. Bradley, Division of Trading and Markets, Securities and Exchange...

  1. 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

    ... proportional fractional interest in the rights, powers and preferences of the preferred stock represented by.... 43873 (January 23, 2001), 66 FR 8131 (January 29, 2001) (Order Approving Proposed Rule Change and Notice... Approval Order, 66 FR 8131, at 8132- 8133, note 13 and note 16. \\10\\ In SR-NASD-99-65, FINRA (then...

  2. 75 FR 7532 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-19

    ... February 8, 2010. See also Securities Exchange Act Release No. 60933 (November 4, 2009), 74 FR 58334...); Securities Exchange Act Release No. 61408 (January 22, 2010), 75 FR 4596 (January 28, 2010) (Notice of Filing... responsibility rules that, among other things, regulate withdrawals of equity capital by members....

  3. 76 FR 9838 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-22

    ... Exchange Act Rel. No. 60132 (June 17, 2009), 74 FR 30191 (June 24, 2009) (File No. SR-FINRA-2009-015... consistent with the provisions of Section 15A(b)(6) of the Act,\\8\\ which requires, among other things, that... the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or Send an e-mail...

  4. 78 FR 16341 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-14

    ..., respectively. See also Exchange Act Release No. 67453 (July 18, 2012), 77 FR 48207 (August 13, 2012) (Joint... in Connection With Portfolio Margining of Swaps and Security-Based Swaps) (December 14, 2012), 77 FR...), 77 FR 43128 (July 23, 2012) (Notice of Filing and Immediate Effectiveness of Proposed Rule...

  5. 77 FR 5084 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-01

    ... Exchange Act Release No. 65075 (August 9, 2011), 76 FR 50528 (August 15, 2011) (Notice of Filing and... Rule.\\6\\ \\5\\ See Securities Exchange Act Release No. 62885 (September 10, 2010), 75 FR 56641 (September... No. 65101 (August 11, 2011), 76 FR 51097 (August 17, 2011) (Notice of Filing and...

  6. 76 FR 61773 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-05

    ..., 2010.\\5\\ \\5\\ See Securities Exchange Act Release No. 63311 (November 12, 2010), 75 FR 70757 (November....\\7\\ \\6\\ See Securities Exchange Act Release No. 63311 (November 12, 2010), 75 FR 70757 (November 18, 2010) (SR-FINRA-2010-044). \\7\\ See Securities Exchange Act Release No. 64369 (April 29, 2011), 76...

  7. 78 FR 13922 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-01

    ... Release No. 67091 (May 31, 2012), 77 FR 33498 (June 6, 2012) (Approval Order). A copy of the Plan is 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...

  8. 78 FR 60003 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-30

    .... See Securities Exchange Act Release No. 70345 (September 6, 2013), 78 FR 56251 (September 12, 2013...), 77 FR 70515 (November 26, 2012) (Notice of Filing and Immediate Effectiveness of File No. SR-FINRA... things, that ] FINRA rules must be designed to prevent fraudulent and manipulative acts and practices,...

  9. 76 FR 82022 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-29

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

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-26

    ...,\\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...

  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

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

  12. 78 FR 43945 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-22

    ... No. 59955 (May 22, 2009), 74 FR 25586 (May 28, 2009) (Notice of Filing and Order Granting Accelerated... SEC approved amendments to FINRA Rule 4240 that, among other things, limit at this time the rule's.... 66527 (March 7, 2012), 77 FR 14850 (March 13, 2012) (Notice of Filing and Order Granting...

  13. 77 FR 72899 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-06

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

  14. 77 FR 70515 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-26

    ..., 2012), 77 FR 24748 (April 25, 2012) (SEC Approval Order regarding dissemination of Agency-Pass Through... consistent with the provisions of Section 15A(b)(6) of the Act,\\10\\ which requires, among other things, that... Section 15A(b)(5) of the Act,\\11\\ which requires, among other things, that FINRA rules provide for...

  15. 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

    ... proposing changes to the minimum quotation sizes to, among other things, simplify the tier structure...\\ \\5\\ See Securities Exchange Act Release No. 62359 (June 22, 2010), 75 FR 37488 (June 29, 2010) (File... Securities) which, among other things, prohibits members from displaying a bid or offer in an OTC...

  16. 78 FR 41149 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-09

    ..., 2012), 77 FR 75243 (December 19, 2012) (Order Approving Proposed Rule Change, as Modified by Amendment... includes, among other things, provisions requiring specific disclosure documents, additional diligence in... disrupt the underlying market so as to benefit the options position. They are designed to minimize...

  17. 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

    ... in customer cases, thereby improving the arbitration process for the benefit of public investors... factor would advise arbitrators to consider, among other things, whether a party's ability to use a... things, a firm's: Creation of a product; due diligence reviews of a product; training on or marketing...

  18. 76 FR 11830 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-03

    ... the Act,\\4\\ which requires, among other things, that FINRA rules must be designed to prevent... benefit to delaying the implementation of these changes, and therefore believes it is consistent with the... by any of the following methods: Electronic Comments Use the Commission's Internet comment...

  19. 76 FR 74105 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-30

    ... different securities.\\6\\ \\4\\ See Securities Exchange Act Release No. 62251 (June 10, 2010), 75 FR 34183... No. 62883 (September 10, 2010), 75 FR 56608 (September 16, 2010) (Order Approving File No. SR-FINRA-2010-033). \\6\\ See e.g., Securities Exchange Act Release No. 62416 (June 30, 2010), 75 FR 39069 (July...

  20. 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

    ... venture capital, equity lines of credit, private investment, public equity transactions (PIPEs) or similar... in the capital raising process. \\46\\ 15 U.S.C. 78s(b)(2). VI. Solicitation of Comments Interested.... \\3\\ See Securities Exchange Act Release No. 50896 (Dec. 20, 2004), 69 FR 77804 (Dec. 28, 2004)....

  1. 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

    ... Foresters Equity Services, Inc., dated August 5, 2010 (``FES''); letter from Hodges Capital Management-First... smaller firms with limited product offerings. \\17\\ Allegheny, BFS, FAF, Farragut, FES, Gallagher, HCM,...

  2. 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

    ... execution time to the FINRA Facilities in seconds (i.e., HH:MM:SS),\\9\\ while the execution time for exchange trades is expressed in milliseconds (i.e., HH:MM:SS:mmm). Similarly, Rule 7440(a)(2) of the OATS...

  3. 77 FR 4065 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-26

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

  4. 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

    ... FR 65758 (Oct. 24, 2011) (Notice of Filing of Proposed Rule Change to Adopt New FINRA Rule 5123... www.sec.gov . \\7\\ See Exchange Act Release No. 66203 (Jan. 20, 2012); 77 FR 4065 (Jan. 26, 2012... November 9, 2011 (``NYC Bar-November Letter''); Richard B. Chess, President, Real Estate...

  5. 76 FR 45631 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-29

    ..., 2010), 75 FR 58007 (Sept. 23, 2010) (SR-FINRA-2010-036). The original proposal would have provided....C. 10(a). \\8\\ See Timothy L. Woods v. Saturn Distribution Corporation, 78 F.3d 424, 427 (9th...

  6. 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

    ... require that members report to the Order Audit Trail System (``OATS'') information barriers put into place... Ahead of Customer Orders) to report information to OATS regarding the information barriers adopted by..., FINRA is proposing to require members to identify on OATS reports information barriers that the...

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-29

    ... Reasonable Review), Incorporated NYSE Rule 401A (Customer Complaints), and Incorporated NYSE Rule 342.21... Investigate Applicants for Registration); (5) replace NASD Rule 3110(i) (Holding of Customer Mail) with new FINRA Rule 3150 (Holding of Customer Mail); and (6) delete the following NASD and Incorporated...

  8. 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

    ... Securities Exchange Act Release No. 63885 (February 10, 2011), 76 FR 9062 (February 16, 2011) (Order... Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders May 31, 2012. Pursuant to... stop and stop limit orders. The text of the proposed rule change is available on FINRA's Web site...

  9. 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

    ... merger, acquisition or other corporate reorganization; providing venture capital, equity lines of credit... proposed exception and required conditions will further these purposes by promoting capital formation and aiding member compliance efforts, while maintaining investor confidence in the capital markets. \\14\\ 15...

  10. 75 FR 40000 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-13

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

  11. 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,...

  12. 77 FR 55517 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-10

    .... \\3\\ See Securities Exchange Act Release No. 67085 (May 31, 2012), 77 FR 33537 (``Notice''). \\4\\ See.../finra2012026.shtml . \\5\\ Securities Exchange Act Release No. 67471, 77 FR 43620 (July 25, 2012). \\6\\ See Letter... a designated security.\\7\\ A buy stop order becomes a market order when a transaction takes place...

  13. 76 FR 25397 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-04

    .... (``FINRA'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule... District Committee structure and governance to, among other things, adjust the size and composition...

  14. 75 FR 30453 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-01

    ...)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ See Exchange Act Release No. 34-61575 (Feb. 23, 2010); 75 FR 9459 (Mar... Exchange Act Rel. No. 44052 (March 8, 2001), 66 FR 15157 (March 15, 2001) (File No. SR-NASD-01-13... proposal on October 26, 2009.\\15\\ \\14\\ See Securities Exchange Act Rel. No. 60159 (June 22, 2009), 74...

  15. 76 FR 13248 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-10

    ... Act Release No. 63751 (January 21, 2011), 76 FR 4966 (``Notice''). II. Description of the Proposal... are not Trade Reporting and Compliance Engine (``TRACE'')-Eligible Securities), over- the-counter.... 61566 (February 22, 2010), 75 FR 9262 (March 1, 2010). See also Regulatory Notice 10-23 (April...

  16. 77 FR 14454 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-09

    ... From the Trade Reporting Obligation Under the Trade Reporting and Compliance Engine (``TRACE... Release No. 65695 (November 4, 2011), 76 FR 70190 (November 10, 2011) (approving FINRA-2011-051). \\14\\ For... impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). At any time within...

  17. 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

    ... No. 1 and 2, To Amend FINRA Rule 4560 (Short-Interest Reporting) April 27, 2012. I. Introduction On... Securities Exchange Act Release No. 66220 (January 24, 2012), 77 FR 4599 (January 30, 2012). \\5\\ See letter... interest position information, and would require extensive programming at significant cost. In the...

  18. 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

    ... other things, that a person is deemed to own a security if: (a) The person or his agent has title to it...\\ which requires, among other things, that FINRA rules must be designed to prevent fraudulent and... by any of the following methods: Electronic Comments Use the Commission's Internet comment...

  19. 76 FR 40412 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-08

    ... No. 58643 (September 25, 2008), 73 FR 57174 (October 1, 2008) (Order Approving File No. SR- FINRA-2008-029); and Securities Exchange Act Release No. 63999 (March 1, 2011), 76 FR 12380 (March 7, 2011... provisions of Section 15A(b)(6) of the Act,\\6\\ which requires, among other things, that FINRA rules must...

  20. 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

    ... No. 1, Relating to Outside Business Activities of Registered Persons August 23, 2010. On June 8, 2009... proposed rule change relating to the outside business activities of registered persons. FINRA proposed to adopt NASD Rule 3030 (Outside Business Activities of an Associated Person) as FINRA Rule 3270...

  1. 76 FR 11829 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-03

    ... exceed or accumulate to more than: \\3\\ See Securities Exchange Act Release No. 62359, 75 FR 37488 (June... fees) imposed against its published quotations as provided for in Rule 6450 at least three (3) business... first three business days of the disclosure rule's operation, members would be in compliance with...

  2. 75 FR 17810 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-07

    ... number of same-type reports (i.e., media or non-media) submitted in a given month. \\8\\ Pursuant to the...--Tape A Average Report type/side daily Billable Rate Cost trades trades Media/EP 2,100 2,100 $0.018 $832... Cap--Tape A Average Report type/side daily Billable Rate Cost trades trades Media/EP 4,000 2,500...

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

  4. 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

    ... delivered documents, a hyperlink) to a web page or toll-free telephone number where the investor could... Release No. 7233 (October 6, 1995), 60 FR 53458 (October 13, 1995); Securities Act Release No. 7288 (May 9, 1996), 61 FR 24644 (May 15, 1996). The Notice to Members urges members to review these SEC Releases...

  5. 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

    ... No. 46249 (July 24, 2002), 67 FR 49822 (July 31, 2002); see also NASD Notice to Members 02-45 (August 2002). \\7\\ See Securities Exchange Act Release No. 54537 (September 28, 2006), 71 FR 59173 (October 6... No. 55181 (January 26, 2007), 72 FR 5093 (February 2, 2007). (2) Current ADF...

  6. 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

    ... BrokerCheck because they may involve significant events or considerable undertakings on the part of the... involve significant events or considerable undertakings on the part of the subject individual. The..., and C below, of the most significant aspects of such statements. A. Self-Regulatory...

  7. 78 FR 24261 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-24

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

  8. 78 FR 5522 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-25

    ... stop order. \\4\\ See Securities Exchange Act Release No. 67778 (September 4, 2012), 77 FR 55517... (May 31, 2012), 77 FR 33537 (June 6, 2012) (Notice of Filing File No. SR- FINRA-2012-026). \\6\\ See..., Hurricane Sandy and code freezes occurred during the preparation timeframe, which contributed to delays...

  9. 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

    ... whose case would be disrupted. In close cases, FINRA suggests that arbitrators consider whether any time saved or harm averted by a mid-case referral warrants disrupting a customer's arbitration case. If...

  10. 78 FR 11925 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-20

    ... effective. See Securities Exchange Act Release No. 66681 (March 29, 2012), 77 FR 20452 (April 4, 2012... Rule 2210, they may approve ``sales literature'' \\7\\ relating to most types of securities.\\8\\ \\7\\ NASD... ``sales literature'' as any written or electronic communication, other than an...

  11. 76 FR 61429 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-04

    .... 58754 (October 8, 2008); 73 FR 61178 (October 15, 2008) (Notice of Filing and Immediate Effectiveness of... FR 34183 (June 16, 2010) (Order Approving SR-FINRA-2010-025); See Securities Exchange Act Release No. 62883 (September 10, 2010); 75 FR 56608 (September 16, 2010) (Order Approving SR-FINRA-2010-033);...

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-28

    .... 66681 (March 29, 2012), 77 FR 20452 (April 4, 2012) (Order Approving File No. SR-FINRA-2011-035). FINRA... Immediate Effectiveness of Proposed Rule Change To Adjust Fees for Review of Advertising Material Filed With..., sales literature, and other such material filed with or submitted to FINRA's Advertising...

  13. 76 FR 50796 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-16

    ... increase to 900,000 contracts. \\5\\ See Securities Exchange Act Release No. 64695 (June 17, 2011) 76 FR... No. 64760 (June 28, 2011) 76 FR 39143 (July 5, 2011) (Notice of Filing and Immediate Effectiveness of... the number of overall market participants, which has, in turn, brought about additional depth...

  14. 78 FR 21449 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-10

    ... Act Release No. 68632 (Jan. 11, 2013), 78 FR 3925 (Jan. 17, 2013) (``Notice''). The comment period.... Carlson, Tousley Brain Stephens, dated Jan. 29, 2013 (``Carlson Letter''); letter from David Harrison, Law... FINRA's public arbitrator roster, FINRA has amended its arbitrator definitions a number of times...

  15. 75 FR 12584 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-16

    ... appropriate. \\3\\ See Securities Exchange Act Release No. 60515 (August 17, 2009), 74 FR 43207 (August 26, 2009... Act Release No. 51808 (June 9, 2005), 70 FR 37496 (June 29, 2005) (order adopting rules under... Act Release No. 60999 (November 13, 2009), 74 FR 61183 (November 23, 2009). (Notice of Filing File...

  16. 76 FR 27707 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-12

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

  17. 78 FR 8668 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-06

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

  18. 75 FR 62439 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-08

    .... 20, 2010), 75 FR 52574 (Aug. 26, 2010). \\4\\ See Letter from Mike Wiesenberg, dated September 8, 2010... ``short exempt.'' \\8\\ \\6\\ See Securities Exchange Act Release No. 61595 (February 26, 2010), 75 FR 11232.... 56279 (August 17, 2007), 72 FR 48713 (August 24, 2007) (Notice of Filing and Immediate Effectiveness...

  19. 76 FR 25399 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-04

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

  20. 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

    ... Exchange Act Release No. 51808 (June 9, 2005), 70 FR 37496 (June 29, 2005) (Regulation NMS: Final Rules and... Exchange Act Release No. 60669 (September 14, 2009), 74 FR 48107 (September 21, 2009) (``Notice''). \\4\\ See... and security futures). See Securities Exchange Act Release No. 58932 (November 12, 2008), 73 FR...

  1. 75 FR 70757 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-18

    ... Securities Exchange Act Release No. 62739 (August 18, 2010), 75 FR 52380. \\3\\ See letter from Steve Allread... FINRA Rule 6420. See Securities Exchange Act Release No. 61979 (April 23, 2010), 75 FR 23316 (May 3...''). See Securities Exchange Act Release No. 59575 (March 13, 2009), 74 FR 11803 (March 19, 2009). \\9\\...

  2. 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

    ... Securities Exchange Act Release No. 61979 (April 23, 2010), 75 FR 23316 (May 3, 2010) (Order Approving File... effective and efficient manner. \\9\\ See Securities Exchange Act Release No. 62174 (May 26, 2010), 75 FR..., 2008), 73 FR 59001 (October 8, 2008); Securities Exchange Act Release No. 56653 (October 12, 2007),...

  3. 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

    ..., 2005) (``NMS Adopting Release''). \\9\\ NMS Adopting Release, 70 FR at 37541. \\10\\ NMS Adopting Release..., subscriber, or customer of the trading center.\\13\\ \\11\\ NMS Adopting Release, 70 FR at 37549. \\12\\ 17 CFR 242... FR at 37549. \\15\\ NMS Adopting Release, 70 FR at 37549. In evaluating whether ADF participants...

  4. 78 FR 73900 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-09

    .... 70276 (August 28, 2013), 78 FR 54502 (``Notice''). \\4\\ See letter from Anonymous to Elizabeth M. Murphy... Exchange Act Release No. 70613 (October 4, 2013), 78 FR 62784 (October 22, 2013). \\6\\ See letter to... unrelated algorithms or from separate and distinct trading strategies, provided these transactions are...

  5. 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...

  6. 78 FR 66405 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-05

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

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-16

    ... separate cover with a request for confidential treatment pursuant to SEA Rule 24b-2.\\7\\ \\6\\ The Commission... appropriate in furtherance of the purposes of the Act. The updated examination will be more topical...

  8. 76 FR 6500 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-04

    ... No. 63250 (Nov. 5, 2010), 75 FR 69481 (Nov. 12, 2010) (``Notice''). \\5\\ The comment period ended on... Optional All Public Panel. Finally, FINRA believes that bifurcation of customers' claims is likely...

  9. 75 FR 41254 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-15

    ... regulators, as well as legal search engines and records searches, in conducting a thorough search of any... CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 61927 (April 16, 2010), 75 FR 21064 (April...'') on August 16, 1999.\\11\\ \\9\\ See Securities Exchange Act Release No. 61002 (November 13, 2009), 74...

  10. 78 FR 54694 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-05

    ... applicable trade reporting rules and disseminated publicly by NYSE. Below is the text of the proposed rule... the proposed rule change. The text of these statements may be examined at the places specified in Item.... 54768 (November 16, 2006), 71 FR 67673 (November 22, 2006) (Order Approving Proposed Rule Change;...

  11. 77 FR 56694 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-13

    ... firms and their associated persons and employees. The proposed amendments would also enhance the user experience at the forum by standardizing certain procedures relating to subpoenas and arbitrator orders....

  12. 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

    ..., qualification, training, and evaluation of arbitrators and mediators. The NAMC also makes recommendations on.... First, to improve user citation to Rule 14107(a), FINRA is proposing to change the bullets in Rule 14107... Release No. 63799 (Jan. 31, 2011), 76 FR 6500 (Feb. 4, 2011) (Order Approving File No. SR-FINRA-...

  13. 76 FR 65313 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-20

    ...''); Securities Exchange Act Release No. 64364 (April 28, 2011), 76 FR 25385 (May 4, 2011) (order approving File... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... Transactions in Agency Pass-Through Mortgage-Backed Securities Traded ``To Be Announced'' October 13,...

  14. 78 FR 38771 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-27

    ... Securities Exchange Act Release No. 69178 (March 25, 2013), 78 FR 17975 (``Notice''). \\5\\ See Letters from... complaint or decision, Rule 8313 provides publicity thresholds for the release of information with respect..., in press releases or summaries of complaints and decisions that meet the current publicity...

  15. 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

    ... identified complaint or decision, the rule provides publicity thresholds for the release of information with... example, in press releases or summaries of complaints and decisions that meet the current publicity thresholds, or are otherwise permitted to be released under the rule. Under the publicity thresholds...

  16. 76 FR 9386 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-17

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

  17. 75 FR 29793 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-27

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

  18. 75 FR 44033 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-27

    ... 240.19b-4. \\3\\ Securities Exchange Act Release No. 62299 (June 16, 2010), 75 FR 35105 (June 21, 2010... Release No. 17371 (December 12, 1980), 45 FR 83707 (December 19, 1980) (File No. SR-NASD-78-3). A... Proposed Rule Change To Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in...

  19. 75 FR 35105 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-21

    ... Release No. 17371 (December 12, 1980), 45 FR 83707 (December 19, 1980) (Order Approving Proposed Rule... Proposed Rule Change To Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the... (Sale of Securities in a Fixed Price Offering) in the consolidated FINRA rulebook and to delete...

  20. 76 FR 4403 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-25

    ... (November 6, 2006), 71 FR 66354 (November 14, 2006); see also Securities Exchange Act Release No. 54715A (November 14, 2006), 71 FR 67183 (November 20, 2006). \\5\\ See Securities Exchange Act Release No. 61297 (January 6, 2010), 75 FR 2173 (January 14, 2010); Securities Exchange Act Release No. 59183 (December...

  1. 78 FR 8664 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-06

    ... (November 6, 2006), 71 FR 66354 (November 14, 2006); see also Securities Exchange Act Release No. 54715A (November 14, 2006), 71 FR 67183 (November 20, 2006). \\5\\ See Securities Exchange Act Release No. 66033 (December 22, 2011), 76 FR 82022 (December 29, 2011); see also Securities Exchange Act Release No....

  2. 75 FR 2173 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-14

    .... 54715 (November 6, 2006), 71 FR 66354 (November 14, 2006); see also Securities Exchange Act Release No. 54715A (November 14, 2006), 71 FR 67183 (November 20, 2006). \\5\\ See Securities Exchange Act Release No. 59183 (December 30, 2008), 74 FR 842 (January 8, 2009); Securities Exchange Act Release No....

  3. 76 FR 59757 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-27

    ... material to reflect changes to the laws, rules and regulations covered by the examination and to better... By-Laws, Schedules to the By-Laws, or Rules of FINRA. \\5\\ FINRA also is proposing corresponding... content outline to reflect changes to the laws, rules and regulations covered by the examination and...

  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

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

  5. 76 FR 24942 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-03

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

  6. 77 FR 76112 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-26

    ... necessary training. \\4\\ See Securities Exchange Act Release No. 46663 (October 15, 2002), 67 FR 64944...), 71 FR 62498 (October 25, 2006) (Notice of Filing and Immediate Effectiveness of File No. SR-NASD-2006... (December 23, 2009), 74 FR 69173 (December 30, 2009) (Notice of Filing and Immediate Effectiveness of...

  7. 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

    ... or if otherwise directed by the SEC.\\4\\ This proposed rule change was designed to further the goal of... Act Release No. 58753 (October 8, 2008), 73 FR 61177 (October 15, 2008) (Notice of Filing and... trading pause message has been received from the responsible single plan processor or the primary...

  8. 76 FR 63969 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-14

    ...., Washington, DC 20549, (202) 551-5618. Correction In the Federal Register of August 2, 2011, in FR Doc. 2011... incorrect information regarding the timing for Commission action. FOR FURTHER INFORMATION CONTACT:...

  9. 78 FR 20708 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-05

    ...''). See also Securities Exchange Act Release No. 68753 (January 29, 2013), 78 FR 7654 (February 4, 2013... definition of ``security'' under the Act.\\8\\ \\4\\ Public Law 111-203, 124 Stat. 1376 (2010). \\5\\ See Securities Exchange Act Release No. 64795 (July 1, 2011), 76 FR 39927 (July 7, 2011) (Order...

  10. 77 FR 37458 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-21

    ... Securities Exchange Act Release No. 62359 (June 22, 2010), 75 FR 37488 (June 29, 2010) (Order Approving NMS... operative on May 9, 2011. \\5\\ See Securities Exchange Act Release No. 65568 (October 14, 2011), 76 FR 65307... 77 FR 3515. The comment period closed on February 14, 2012, and FINRA's rebuttal period closed...

  11. 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

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

  12. 78 FR 60982 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-02

    ... Exchange Act Release No. 70131 (Aug. 7, 2013), 78 FR 49313 (``Notice''). \\4\\ See Letter to the Commission... violations of rules when the conduct at issue does not warrant stronger, reportable disciplinary sanctions... case- by-case basis whether disposition pursuant to the MRVP is appropriate.\\6\\ \\6\\ See Notice, 78...

  13. 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

    ... Violation Plan (``MRVP''). The text of the proposed rule change is available on FINRA's Web site at http://www.finra.org , at the principal office of FINRA and at the Commission's Public Reference Room. II... text of these statements may be examined at the places specified in Item IV below. FINRA has...

  14. 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

    ...\\ 17 CFR 240.19b-4. \\3\\ See Exchange Act Release No. 64984 (July 28, 2011), 76 FR 46870 (August 3, 2011... . \\6\\ See Exchange Act Release No. 65663 (November 1, 2011), 76 FR 68800 (November 7, 2011) (Notice of... Exchange Act Release No. 66049 (Dec. 23, 2011), 76 FR 82014 (Dec. 29, 2011) (``Notice of Amendment No....

  15. 76 FR 81551 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-28

    ... be captured in OATS, so that such transactions will not create ``false positive'' results that FINRA...\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 65692 (Nov. 4, 2011), 76 FR 70195. II...\\ See Securities Exchange Act Release No. 62359 (June 22, 2010), 75 FR 37488 (June 29, 2010). \\5\\...

  16. 75 FR 51124 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-18

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

  17. 75 FR 1672 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-12

    ... (September 21, 2009), 74 FR 49425 (September 28, 2009) (Order Approving File No. SR-FINRA-2009-014... persons and customers, to the extent permitted by the member, and the potential for conflicts of interests... lending arrangements and (1) the customer is a member of the registered person's immediate family;\\7\\...

  18. 75 FR 8772 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-25

    ... immediate family members and lending arrangements between registered persons and customers in the business.... 61302 (January 6, 2010), 75 FR 1672 (January 12, 2010). II. Description of the Proposed Rule Change... 21, 2009), 74 FR 49425 (September 28, 2009) (Order Approving File No. SR-FINRA-2009-014)....

  19. 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

    ... ``execution of such transactions, and in particular of purchases , in the common purchase and sale account may...), 74 FR 23912 (May 21, 2009) (Notice of Filing; File No. SR-FINRA-2009-028). FINRA will announce the implementation date of the proposed rule change in a Regulatory Notice to be published no later than 90...

  20. 76 FR 5850 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-02

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

  1. 75 FR 3270 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-20

    ...). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 61116 (December 4, 2009), 74 FR... Form BDW. \\6\\ See Securities Exchange Act Release No. 43102 (August 1, 2000), 65 FR 48266 (August 7... Proposed Rule Change To Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated...

  2. 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

    ... rule change. See Securities Exchange Act Release No. 61473 (February 2, 2010), 75 FR 6422 (February 9... include all NMS stocks. See Securities Exchange Act Release No. 62739 (August 18, 2010), 75 FR 52380... accounts. See Investment Advisers Act Release No. 2652 (September 24, 2007), 72 FR 55126 (September...

  3. 77 FR 68181 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-15

    ... to be changed in this filing. \\4\\ See Securities Exchange Act Release No. 64397 (May 4, 2011); 76 FR... (January 26, 2012); 77 FR 5069 (February 1, 2012) (Notice of Filing and Immediate Effectiveness of File No... Immediate Effectiveness of Proposed Rule Change To Repeal the Changes Described in SR-FINRA-2011-...

  4. 77 FR 3515 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-24

    ... No. 62359 (June 22, 2010), 75 FR 37488 (June 29, 2010) (Order Approving NMS-Principled Rules for OTC..., 2011. \\5\\ See Securities Exchange Act Release No. 65568 (October 14, 2011), 76 FR 65307 (``Notice... commitment to the market.\\15\\ \\14\\ See Notice, supra note 5. \\15\\ Id. For securities priced under $0.02...

  5. 75 FR 25020 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-06

    ... submitted to the FINRA/ Nasdaq TRF. \\7\\ See Securities Exchange Act Release No. 56007 (July 3, 2007), 72 FR... 25, 2008), 73 FR 57174 (October 1, 2008) (Order Approving File No. SR-FINRA- 2008-021). \\8\\ Trading... Transfer Transaction Fees Charged by One Member to Another Member April 28, 2010. Pursuant to Section...

  6. 78 FR 63268 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-23

    ... 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 another... members to agree in advance to transfer a transaction fee charged by one member to another member on...

  7. 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

    ..., due-bills, transfer fees, and marking to the market. The UPC, among other things, was created so that... Generally FINRA is proposing to transfer a significant portion of the NASD Rule 11000 Series into the... this rule filing. Securities Exchange Act Release No. 61080 (Dec. 1, 2009), 74 FR 64117 (Dec. 7,...

  8. 78 FR 4186 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-18

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

  9. 76 FR 67787 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-02

    ..., telephone facsimiles, and computer advertisements.\\9\\ \\7\\ See 68 FR 4580 (January 29, 2003); 68 FR 44144...\\ See Securities Exchange Act Release No. 49055 (January 12, 2004), 69 FR 2801 (January 20, 2004) (approval order). \\9\\ See Securities Exchange Act Release No. 52579 (October 7, 2005), 70 FR 60119...

  10. 76 FR 55443 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-07

    ... operations of a broker-dealer. \\6\\ See Securities Exchange Act Release No. 64687 (June 16, 2011), 76 FR 36586..., experience, and competence for persons associated with FINRA members. The ] Series 99 examination program has... allowed 150 minutes to complete the examination. Candidates will receive an informational breakdown...

  11. 77 FR 15824 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-16

    ... that a claim alleging employment discrimination, including sexual harassment, in violation of a statute...)(6) of the Act,\\11\\ which requires, among other things, that FINRA rules must be designed to prevent... designed to prevent fraudulent and manipulative acts and practices, to promote just and...

  12. 78 FR 62784 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ....19b-4. \\3\\ See Securities Exchange Act Release No. 70276 (August 28, 2013), 78 FR 54502 (``Notice...; letter from William A. Jacobson, Clinical Professor of Law, and Director, Cornell Securities Law...

  13. 75 FR 42795 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-22

    ... Exchange Act Release No. 61517 (February 16, 2010), 75 FR 8169 (February 23, 2010), (SR-FINRA-2010-006) (``Notice''). \\4\\ See letter from William A. Jacobson, Director, Cornell Securities Law Clinic and...

  14. 78 FR 25331 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-30

    .... 68700 (Jan. 18, 2013), 78 FR 5542. \\4\\ See Letter from Charles Barker, dated Jan. 29, 2013; Letter from... from Lisa Catalano, Esq., dated Feb. 18, 2013. \\5\\ See Securities Exchange Act Release No. 69063, 78 FR..., dated Feb. 13, 2013; Letter from Bert Savage, dated Feb. 13, 2013; Letter from William A. Jacobson,...

  15. 75 FR 41562 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-16

    ..., 2010), 75 FR 32519 (June 8, 2010). II. Description of the Proposal As part of the process of developing... 10, 2008), 73 FR 76691 (December 17, 2008) (Notice of Filing and Immediate Effectiveness of Proposed...., offsets, reverse conversions, butterfly spread, etc.). Finally, the proposed rule change would...

  16. 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

    ... definition of ``public arbitrator'' to exclude persons associated with a mutual fund or hedge fund from... exclude persons associated with a mutual fund or hedge fund from serving as public arbitrators and to... associated with mutual funds and hedge funds from serving as public arbitrators. However, because of...

  17. 78 FR 78451 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-26

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

  18. 77 FR 58880 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-24

    ... the Terms of the Substance of the Proposed Rule Change FINRA is proposing to delete FINRA Rule 7640A... charges ] imposed by the Nasdaq Market Center prior to Nasdaq exchange registration and separation from... the following methods: Electronic Comments Use the Commission's Internet comment form (...

  19. 78 FR 28687 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-15

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

  20. 77 FR 33522 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-06

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

  1. 78 FR 79716 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc; Order Instituting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-31

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

  2. 78 FR 4182 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-18

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

  3. 76 FR 20741 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ... 15, 2011), 76 FR 9838 (February 22, 2011) (``Notice''). II. Description of the Proposal In 2009.... 60132 (June 17, 2009), 74 FR 30191 (June 24, 2009) (File No. SR-FINRA-2009-015). FINRA announced... appoint a chair-qualified public arbitrator also qualified to resolve statutory discrimination cases....

  4. 77 FR 27262 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-09

    ...), 77 FR 12092 (Feb. 28, 2012) (``Notice''). The comment period closed on March 20, 2012. \\4\\ See Letter... letter from Jill I. Gross, Director, Edward Pekarek, Assistant Director, and Genavieve Shingle,...

  5. 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

    ... of Arbitration Procedure for Customer Disputes November 5, 2010. Pursuant to Section 19(b)(1) of the... of Arbitration Procedure for Customer Disputes (``Customer Code''), to provide customers with the option to choose an all public arbitration panel in all cases. The text of the proposed rule change...

  6. 75 FR 6769 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-10

    ... approves the proposed rule change. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ 74 FR 69184 (Dec. 30... Proposed Rule Change To Amend the Hearing Location Rules of the Codes of Arbitration Procedure for Customer... rule change to amend Rules 12213(a) and 13313(a) of the Code of Arbitration Procedure for...

  7. 75 FR 62901 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-13

    ... Immediate Effectiveness of Proposed Rule Change Relating to Online Filing of Arbitration Claims October 5... Arbitration Procedure, respectively (``Codes'') to update the rules relating to online filing of arbitration... initiate an arbitration claim at FINRA, a claimant files a signed and dated Submission Agreement,...

  8. 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 Non-Party Witnesses in Arbitration February 16, 2010. Pursuant to Section 19(b)(1) of the Securities... 12602 of the Code of Arbitration Procedure for Customer Disputes (``Customer Code'') and Rule 13602...

  9. 78 FR 58580 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-24

    ... Public Reference Room. \\3\\ See Exchange Act Release No. 69762 (June 13, 2013), 78 FR 37267 (June 20, 2013... panel consisting of three public arbitrators. \\8\\ See Exchange Act Rel. No. 63799 (Jan. 31, 2011), 76 FR... Proposed Rule Change Relating to Amendments to the Code of Arbitration Procedure for Customer...

  10. 76 FR 20757 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ...)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ See Exchange Act Release No. 63910 (February 15, 2011), 76 FR 9840... Approval of a Proposed Rule Change Relating To Motions in Arbitration April 7, 2011. I. Introduction On... Rules 12206, 12503, and 12504 of the Code of Arbitration Procedure for Customer Disputes, and...

  11. 76 FR 12769 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-08

    ...\\ See Securities Exchange Act Release No. 63799 (Jan. 31, 2011), 76 FR 6500 (Feb. 4, 2011) (Order... Proposed Rule Change FINRA is proposing to amend various rules of the Code of Arbitration Procedure for... the Customer Code to provide customers with the option to choose an all public arbitration panel...

  12. 75 FR 41262 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-15

    ... Exchange Act Rel. No. 62134 (May 19, 2010), 75 FR 29594 (May 26, 2010) (File No. SR-FINRA-2010-022). \\4... extended list appointments.\\7\\ \\6\\ Exchange Act Release No. 55158 (January 24, 2007), 72 FR 4574 (January... Proposed Rule Change Relating To Amending the Codes of Arbitration Procedure To Increase the Number...

  13. 75 FR 29594 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-26

    ... extended list appointments.\\5\\ \\4\\ Exchange Act Release No. 55158 (January 24, 2007), 72 FR 4574 (January... Proposed Rule Change Relating to Amending the Codes of Arbitration Procedure to Increase the Number of... Code of Arbitration Procedure for Customer Disputes (``Customer Code'') and Rules 13403 and 13404...

  14. 75 FR 2179 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-14

    ... approves the proposed rule change. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ 74 FR 63167 (Dec. 2... Proposed Rule Change To Amend the Deficient Claims Rules of the Codes of Arbitration Procedure for Customer... to amend Rule 12307 of the Code of Arbitration for Customer Disputes (the ``Customer Code'') and...

  15. 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

    ... application shall include the complete description of the security; cost price, offering price and principal... No. SR-NYSE-2008-127). \\12\\ See Securities Exchange Act Release No. 58845 (October 24, 2008), 73 FR..., 2009), 74 FR 51628 (October 7, 2009) (SR-NYSE- 2009-100); Securities Exchange Act Release No....

  16. 76 FR 19155 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-06

    ....19b-4. \\3\\ See Exchange Act Release No. 62584 (July 28, 2010), 75 FR 45685 (August 3, 2010). \\4\\ See...., 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 &...

  17. 76 FR 70190 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-10

    ... (September 23, 2011), 76 FR 60567 (July 26, 2011) (``Notice''). \\4\\ See letter from Suzanne H. Shatto, dated... Series. \\7\\ See Securities Exchange Act Release No. 58903 (November 5, 2008), 73 FR 67905 (November 17... concern about dark pools and their potential impact on the fairness and transparency of the...

  18. 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...

  19. 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...

  20. 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

    ... insurance policies.\\33\\ CAI suggested that there is an inconsistency between the proposed Operational Page.... 65700 (November 7, 2011), 76 FR 70523 (November 14, 2011). \\4\\ See Letter from Pat Nelson, dated... revenue from sale of insurance based products section on the SSOI. Finally, FINRA stated that it...

  1. 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

    ... in Rule 2320(b)(2); Offerings of modified guaranteed annuity contracts and modified guaranteed life insurance policies, as referenced in Rule 5110(b)(8)(E); Offerings of non-convertible debt or preferred... (January 27, 2011), 76 FR 5850 (February 2, 2011) (Approving SR- FINRA-2010-052); Regulatory Notice...

  2. 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

    ...-site supervisor or person- in-charge listed. FINRA is proposing to add this option based on feedback... (July 1, 2013), 78 FR 40792 (July 8, 2013) (Notice of Filing File No. SR-FINRA-2013-025). In concert... other technical amendments. See Securities Exchange Act Release No. 57033 (December 21, 2007), 72...

  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

    ..., 2011), 76 FR 36586 (June 22, 2011) (Order Approving File No. SR-FINRA-2011-013). I. Self-Regulatory... increase covered persons' awareness and knowledge that they are operating in a regulated environment... Securities Exchange Act Release No. 64687 (June 16, 2011), 76 FR 36586 (June 22, 2011) (Order Approving...

  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

    ... interpretation with respect to the meaning, administration, or enforcement of an existing rule'' under Section 19... knowledge, consistent with applicable registration requirements under FINRA rules. FINRA periodically...); FINRA Rule 2210(b)(1)(B) and NASD Rule 2711(h)(13)(C). Accordingly, in addition to testing knowledge...

  5. 75 FR 61793 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-06

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

  6. 77 FR 27527 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-10

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

  7. 75 FR 2899 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-19

    ....19b-4. \\3\\ See Securities Exchange Act Release No. 61083 (December 1, 2009), 74 FR 64774. The..., pursuant to delegated authority.\\8\\ \\8\\ 17 CFR 200.30-3(a)(12) Florence E. Harmon, Deputy...

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    .... Murphy, Secretary, SEC, dated July 29, 2013 (``Sweeney''); Robert J. McCarthy, Director of Regulatory... Securities Exchange Act Release No. 64736 (June 23, 2011), 76 FR 38245 (June 29, 2011) (File No. SR- FINRA... No. 65477 (October 4, 2011), 76 FR 62890 (October 11, 2011) (Notice of Withdrawal of File No....

  9. 75 FR 7530 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-19

    ... (April 23, 1990), 55 FR 17933 (April 30, 1990). For the purpose of SEC Rule 144A, a QIB is generally...), 55 FR 18781 (May 4, 1990). \\7\\ See Securities Exchange Act Release No. 58638 (September 24, 2008), 73 FR 57188 (October 1, 2008). As part of the separation of NASDAQ from FINRA, certain...

  10. 75 FR 23316 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-03

    ...). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 61510 (February 5, 2010), 75 FR... Securities Exchange Act Release No. 61427 (January 27, 2010), 75 FR 5834 (February 4, 2010). Background In... Securities Act Release No. 6862 (April 23, 1990), 55 FR 17933 (April 30, 1990). For the purpose of SEC...

  11. 76 FR 20744 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ... Release No. 63960 (February 24, 2011), 76 FR 11829 (``Notice''). \\4\\ See Letter from Daniel Zinn, General... Any Access or Post-Transaction Fees for Executions Against a Public Quotation in an OTC Equity... each member to disclose on its website any fees imposed against its published quotation in any...

  12. 78 FR 68893 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-15

    ... Securities Exchange Act Release No. 67208 (June 15, 2012), 77 FR 37458 (June 21, 2012) (Order Approving File.... 65568 (October 14, 2011), 76 FR 65307 (October 20, 2011) (Notice of Filing of File No. SR-FINRA-2011-058... Quotation Size Requirements for OTC Equity Securities) November 8, 2013. Pursuant to Section 19(b)(1) of...

  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

    ... day (T+1). \\5\\ See Securities Exchange Act Release No. 61160 (December 14, 2009), 74 FR 67284... (October 21, 2009), 74 FR 55594 (October 28, 2009) (Notice of Filing and Immediate Effectiveness of File No.../Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees March 4, 2010. Pursuant to Section...

  14. 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 To Require Members To Report OTC Equity Transactions as Soon As Practicable, But No...-counter (``OTC'') transactions in NMS stocks and OTC Equity Securities,\\3\\ and cancellations of such... cancellation, as applicable). \\3\\ OTC transactions in NMS stocks, as defined in SEC Rule 600(b) of...

  15. 76 FR 48937 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-09

    ... Securities Exchange Act Release No. 64706 (June 20, 2011), 76 FR 37382 (``Notice''). II. Description of the... Proposed Rule Change To Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities...-the-counter (``OTC'') transactions in equity securities. The proposed rule change was published...

  16. 76 FR 37382 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-27

    ... the creation of ETFs, see Securities Act Release No. 8901 (March 11, 2008), 73 FR 14618 (March 18... Proposed Rule Change To Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities... to amend FINRA Rules 6282, 6380A, 6380B and 6622 relating to trade reporting over-the-counter...

  17. 77 FR 23770 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-20

    ... (October 14, 2011), 76 FR 65307 (October 20, 2011) (Notice of Filing of File No. SR-FINRA-2011-058... Act Release No. 66168 (January 17, 2012), 77 FR 3515 (January 24, 2012) (Order Instituting Proceedings... rule'').\\10\\ \\9\\ See Securities Exchange Act Release No. 62359 (June 22, 2010), 75 FR 37488 (June...

  18. 76 FR 27123 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-10

    ... Act Release No. 60999 (November 13, 2009), 74 FR 61183 (November 23, 2009) (``QCF Proposal''). The... Immediate Effectiveness of Proposed Rule Change To Rename the OTC Bulletin Board in the FINRA Rulebook May 4... references to ``OTC Bulletin Board'' and ``OTCBB'' with ``Non-NMS Quotation Service'' and ``NNQS.'' The...

  19. 78 FR 17969 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-25

    ...\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 68842 (February 6, 2013), 78 FR 9963... Designation of a Longer Period for Commission Action on Proposed Rule Change To Require Members To Report...

  20. 75 FR 32525 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-08

    ...). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 61938 (Apr. 19, 2010), 75 FR 21686 (Apr. 26, 2010). \\4\\ See letters from Michael T. Nommensen, dated May 14, 2010; William A Jacobson, Esq... Securities Exchange Act Release No. 40026 (May 26, 1998), 63 FR 30789 (June 5, 1998). Regarding the...

  1. 78 FR 72951 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-04

    ...(b)(1). \\2\\ Exchange Act Release No. 70272 (Aug. 27, 2013); 78 FR 54350 (Sep. 3, 2013). \\3\\ Letter... Lending Disclosure Initiative (``ALD Initiative'').\\9\\ The commenter also requested that the Commission staff finalize a draft no-action request with respect to agency lending (``ALD No-Action...

  2. 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

    ... globalization of securities markets, cross-border coordination of trading and quotation halts is important to... trading should be halted. The second amendment that FINRA is proposing would modify the halt...

  3. 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... Public Reference Room. \\3\\ See Exchange Act Release No. 67803 (Sept. 7, 2012), 77 FR 56694 (Sept....

  4. 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...

  5. 78 FR 29190 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-17

    ... circumstances will be determined on a case-by-case basis and may include instances of system failure by a member... circumstances will be determined on a case-by-case basis and may include instances of system failure by a member...), 78 FR 9963 (``Notice''). \\5\\ See Letter from Christopher Nagy, President, KOR Trading LLC...

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-29

    ... collecting the GASB Accounting Support Fee and the actual costs incurred by FINRA.\\83\\ \\79\\ See Notice, 77 FR... (January 3, 2012), 77 FR 1119 (``Notice''). \\4\\ See letters to Elizabeth M. Murphy, Secretary, Commission... will be $50,000. \\8\\ See Securities Exchange Act Release No. 64462 (May 11, 2011), 76 FR 28247 (May...

  7. 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

    .... \\6\\ Securities Exchange Act Release No. 64462 (May 11, 2011), 76 FR 28247 (May 16, 2011). In response... 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...

  8. 75 FR 22670 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-29

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

  9. 77 FR 74896 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-18

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

  10. 78 FR 15790 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-12

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

  11. 78 FR 35078 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-11

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

  12. 75 FR 67421 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-02

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

  13. 77 FR 63908 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-17

    ... banking business,'' including any ``pitches'' for investment banking business or other communications with companies for the purpose of soliciting investment banking business. The FAQs interpret the JOBS Act to now... that are also attended by investment banking personnel, including pitch meetings, but not ``engage...

  14. 75 FR 37488 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-29

    ... that the proposal is ``in effect a license for all market participants to charge access fees and keep... Proposed Rule Change, as Modified by Amendment No. 1, To Establish in the Market for OTC Equity Securities Certain Regulatory Protections Derived From Certain Rules Adopted by the Commission in the Market...

  15. 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

    ... device for storing and transporting electronic information. Data security issues regarding personal....215 (Security Measures for Data Collector that Accepts Payment Card; Use of Encryption; Liability for... From the Federal Register Online via the Government Publishing Office SECURITIES AND...

  16. 78 FR 44997 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-25

    ... Securities. In the absence of such data, it is difficult for market participants to assess the quality of...'') similar to the data sets for corporate bonds (``Corporate Bond Data Set''), Agency Debt Securities (``Agency Data Set'') and Asset-Backed Securities (``ABS Data Set''). The Rule 144A Data Set will consist...

  17. 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...

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-20

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

  19. 76 FR 81549 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-28

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

  20. 76 FR 57784 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-16

    ... (September 25, 2008), 73 FR 57174 (October 1, 2008) (Order Approving File No. SR-FINRA-2008-021), discussing... (February 2, 2010), 75 FR 6422 (February 9, 2010) (Order Approving File No. SR-FINRA-2009-087). FINRA will... duplicative because it is defined in Article I (nn) of the FINRA By-Laws.\\13\\ The By-Laws definition...

  1. 78 FR 12405 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-22

    ... application. \\4\\ See Securities Exchange Act Release No. 67240 (June 22, 2012), 77 FR 38694 (June 28, 2012..., 2012), 77 FR 44298 (July 27, 2012) (Notice of Filing and Immediate Effectiveness of SR-FINRA-2012-036... continuing membership applications (``CMAs'').\\4\\ In light of comments raised on the CMA fee, FINRA...

  2. 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

    ... statements may be examined at the places specified in Item IV below. FINRA has prepared summaries, set forth... amendment to Rule 15c3-1(c)(2)(iv)(B) that would deem broker-dealers providing securities borrowing and... FR 51824, 51846 (August 21, 2013). Specifically, proposed new FINRA Rule 4314(a) would require...

  3. 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

    ... Exchange Act Release No. 64984 (July 28, 2011), 76 FR 46870 (August 3, 2011) (Notice of Filing of SR-FINRA... Release No. 61107 (December 3, 2009), 74 FR 65180 (December 9, 2009) (Notice of Filing File No. SR-FINRA... treatment of internal communications for education and training as institutional communications; \\9\\ \\9\\...

  4. 76 FR 32246 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-03

    ... (Definitions) to reflect that the NASD Rule 3300 Series has been replaced by FINRA Rule 4560 and the FINRA Rule... Interpretation 409 (Statements of Accounts to Customers) due to an inadvertent deletion.\\7\\ \\5\\ See Securities Exchange Act Release No. 63150 (October 21, 2010), 75 FR 66173 (October 27, 2010) (Order Approving File...

  5. 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

    ... securitization process and the TBA market transform what is a fundamentally heterogeneous universe of individual... certain minor exceptions for transactions executed near the end of the TRACE System Hours, before and..., 2010), 75 FR 9262, 9265 (March 1, 2010) (Order Approving File No. SR-FINRA-2009-065). Since...

  6. 75 FR 47661 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-06

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

  7. 77 FR 24748 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-25

    ... data set for disseminated Asset-Backed Security transaction information (``ABS Data Set'') and to amend Rule 7730(d) to establish a historic data set for such information (``Historic ABS Data Set'').\\16\\ The provisions of Rule 7730 that currently apply to the two existing real-time market and historic data sets...

  8. 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

    ... From the Federal Register Online via the Government Publishing Office SECURITIES AND EXCHANGE... advertisements concerning government securities, must be filed within 10 business days of first use, but members... proposed rule change. See Securities Exchange Act Release No. 61107 (December 3, 2009), 74 FR...

  9. 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...

  10. 76 FR 10629 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-25

    ... No. 63316 (Nov. 15, 2010), 75 FR 71166 (Nov. 22, 2010) (``Notice''). \\4\\ See letter from Board of... P. Asensio-Garcia, to the Commission, dated Dec. 20, 2010; and, letter from Manuel P. Asensio-Garcia... ``Asensio Letter''). \\5\\ See letter from Patricia M. Albrecht, Assistant General Counsel, FINRA,...

  11. 78 FR 56251 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-12

    ... Securities Exchange Act Release No. 70009 (July 19, 2013), 78 FR 44997 (``Notice''). \\7\\ See letters to... market transactions. For certain other asset types, FINRA has utilized TRACE to collect transaction... Securities Exchange Act Release No. 61566 (February 22, 2010), 75 FR 9262 (March 1, 2010) (approving...

  12. 76 FR 12390 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-07

    ... Act Release No. 56145 (July 26, 2007), 72 FR 42169 (August 1, 2007), as amended by Securities Exchange Act Release No. 56145A (May 30, 2008), 73 FR 32377 (June 6, 2008) (Order Approving File No. SR-NASD... No. 37106 (April 11, 1996), 61 FR 16944 (April 18, 1996) (Order Approving File No. SR-...

  13. 78 FR 79542 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-30

    ... (May 2008). See Exchange Act Release No. 64736 (June 23, 2011), 76 FR 38245 (June 29, 2011) (Notice of... Release No. 65477 (October 4, 2011), 76 FR 62890 (October 11, 2011) (Notice of Withdrawal of File No. SR-FINRA-2011-028). \\4\\ See Exchange Act Release No. 69902 (July 1, 2013), 78 FR 40792 (July 8,...

  14. 77 FR 38866 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-29

    ... increased the number of registration categories available to individuals, as well as the number of SROs and... firms to submit batch filings to the CRD system; (4) increases in the number and types of reports... of the Terms of Substance of the Proposed Rule Change......

  15. 75 FR 8768 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-25

    ... (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b.... 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 61319 (January 8, 2010), 75 FR 2897 (``Notice''). The Commission finds that the proposed rule change is consistent with...

  16. 78 FR 10655 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-14

    ..., 2012), 77 FR 77162 (``Notice''). \\4\\ See web comment from Suzanne H. Shatto, dated January 3, 2013... marketplace and/or significant uncertainty in the settlement and clearance process.\\9\\ \\5\\ FINRA Rule 6420... trading in the security, and would act to protect U.S. investors.\\12\\ \\10\\ See Notice, supra note 3, 77...

  17. 77 FR 76113 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-26

    ... Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180... expiration date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) to July 17, 2013. FINRA... Exchange Act Release No. 67453 (July 18, 2012), 77 FR 48208 (August 13, 2012) (Further Definition of...

  18. 77 FR 65436 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-26

    ...\\ \\10\\ See FINRA 2012-020 Approval; see also Notice, 77 FR at 56688 and n.20. With respect to MBS SPT...), respectively. \\4\\ See Securities Exchange Act Release No. 67798 (September 7, 2012), 77 FR 56686 (``Notice... Securities Exchange Act Release No. 61566 (February 22, 2010), 75 FR 9262 (March 1, 2010) (approving...

  19. 77 FR 32703 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-01

    ... Act Release No. 66804 (April 13, 2012), 77 FR 23524 (April 19, 2012). \\4\\ See letter from Chris...-Backed Securities traded in Specified Pool Transactions (``MBS SPT'') and Asset- ] Backed Securities... SPT and SBA-Backed ABS transactions that are reported to the Trade Reporting and Compliance...

  20. 76 FR 4966 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-27

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

  1. 76 FR 33388 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-08

    ... (April 27, 2011), 76 FR 24942 (``Notice''). II. Description of the Proposal FINRA's proposal would amend... monitoring; and FINRA's policymaking, rulemaking, and enforcement activities.\\5\\ \\4\\ See FINRA...

  2. 77 FR 38694 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-28

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

  3. 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

    ..., 2002), 67 FR 49822 (July 31, 2002). In 2006, the ADF was expanded to include all NMS stocks. See Securities Exchange Act Release No. 54537 (September 28, 2006), 71 FR 59173 (October 6, 2006). FINRA and... a Proposed Rule Change Relating to Quotation Requirements on the Alternative Display...

  4. 75 FR 55842 - Self-Regulatory Organizations; Financial Industry Regulatory Authority; Order Granting Approval...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-14

    ...), 75 FR 39715 (July 12, 2010). II. Description As part of the process of developing a new consolidated... Release No. 61080 (Dec. 1, 2009), 74 FR 64117 (Dec. 7, 2009) (SR-FINRA-2009-068). 2. Proposed FINRA Rules... NYSE's rules. Securities Exchange Act Release No. 58533 (Sept. 12, 2008), 73 FR 54652 (Sept. 22,...

  5. 76 FR 20759 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

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

  6. 75 FR 51310 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-19

    ... No. 61808 (March 31, 2010), 75 FR 17456 (April 6, 2010) (Order Approving File No. SR- FINRA-2010-005... LEXIS 731, at *28-29 (April 12, 2001), 66 FR 20697, 20702 (April 24, 2001) (Notice of Filing and... Proposed Rule Change To Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in...

  7. 75 FR 52562 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-26

    ... No. 61808 (March 31, 2010), 75 FR 17456 (April 6, 2010) (Order Approving File No. SR- FINRA-2010-005... LEXIS 731, at *28-29 (April 12, 2001), 66 FR 20697, 20702 (April 24, 2001) (Notice of Filing and... Proposed Rule Change To Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in...

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-23

    ... are referred to as the NYSE Rules. \\4\\ See Exchange Act Release No. 62718 (August 13, 2010), 75 FR... Act Release No. 62718A (August 20, 2010), 75 FR 52562 (August 26, 2010). The Commission also published... (October 26, 2010), 75 FR 67155 (November 1, 2010). Proposed FINRA Rule 4512(a)(1)(D) would clarify...

  9. 78 FR 62862 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

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

  10. 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 organizations. 39.33 Section 39.33 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES CLEARING ORGANIZATIONS Provisions Applicable to Systemically Important Derivatives...

  11. 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.

  12. 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

    ... From the Federal Register Online via the Government Publishing Office DEPARTMENT OF HEALTH AND 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...

  13. 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)

  14. Recovery Processes of Organic Acids from Fermentation Broths in the Biomass-Based Industry.

    PubMed

    Li, Qian-Zhu; Jiang, Xing-Lin; Feng, Xin-Jun; Wang, Ji-Ming; Sun, Chao; Zhang, Hai-Bo; Xian, Mo; Liu, Hui-Zhou

    2016-01-01

    The new movement towards green chemistry and renewable feedstocks makes microbial production of chemicals more competitive. Among the numerous chemicals, organic acids are more attractive targets for process development efforts in the renewable-based biorefinery industry. However, most of the production costs in microbial processes are higher than that in chemical processes, among which over 60% are generated by separation processes. Therefore, the research of separation and purification processes is important for a promising biorefinery industry. This review highlights the progress of recovery processes in the separation and purification of organic acids, including their advantages and disadvantages, current situation, and future prospects in terms of recovery yields and industrial application. PMID:26403818

  15. 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.

  16. Application of Factor Analysis on the Financial Ratios of Indian Cement Industry and Validation of the Results by Cluster Analysis

    NASA Astrophysics Data System (ADS)

    De, Anupam; Bandyopadhyay, Gautam; Chakraborty, B. N.

    2010-10-01

    Financial ratio analysis is an important and commonly used tool in analyzing financial health of a firm. Quite a large number of financial ratios, which can be categorized in different groups, are used for this analysis. However, to reduce number of ratios to be used for financial analysis and regrouping them into different groups on basis of empirical evidence, Factor Analysis technique is being used successfully by different researches during the last three decades. In this study Factor Analysis has been applied over audited financial data of Indian cement companies for a period of 10 years. The sample companies are listed on the Stock Exchange India (BSE and NSE). Factor Analysis, conducted over 44 variables (financial ratios) grouped in 7 categories, resulted in 11 underlying categories (factors). Each factor is named in an appropriate manner considering the factor loads and constituent variables (ratios). Representative ratios are identified for each such factor. To validate the results of Factor Analysis and to reach final conclusion regarding the representative ratios, Cluster Analysis had been performed.

  17. Restoring balance to industry-academia relationships in an era of institutional financial conflicts of interest: promoting research while maintaining trust.

    PubMed

    Johns, Michael M E; Barnes, Mark; Florencio, Patrik S

    2003-02-12

    Economic partnerships between industry and academia accelerate medical innovation and enhance patient access to medical advances, but such partnerships have sometimes eroded public trust in the research enterprise. There is particular risk for conflict of interest when economic partnerships extend beyond a university's corporate interests to involve institutional decision makers. Institutions and institutional decision makers should fully disclose industry-related financial interests and relationships. Without legitimate justification for such interests, individuals should divest themselves from these interests or recuse themselves from responsibility for research oversight. Management of institutional partnerships also might entail the physical separation of certain facilities, the placement of restrictions on information shared between investment and research staffs, and provision of oversight by independent review panels made up of persons who have expertise in intellectual property, finance, and research, but who are not financially or otherwise dependent on the institution. Through these means, it is possible to restore balance to industry-academia relationships, thereby promoting progress while maintaining public trust in research. PMID:12585953

  18. [Characteristics of organic pollutants in the sediments from a typical electronics industrial zone].

    PubMed

    Liu, Jin; Deng, Dai-Yong; Xu, Mei-Ying; Sun, Guo-Ping

    2013-03-01

    In order to investigate the contamination status of organic pollutants in a river of a typical electrical equipment industrial area, Ronggui, Foshan, the sediments were sampled for the composition, concentration and occurrence analysis of organic pollutants. The polar and non-polar fractionation methods were employed for the fingerprint establishment of organic pollutants. One hundred and seventy-one of organic chemicals including ten categories of alkanes, alkenes, polycyclic aromatic hydrocarbons, benzene, heterocyclic compounds, phthalate esters, aldehydes, ketones, polar compounds, silicon-containing material as well as alkyl esters were examined. The number of different categories of the detected organic pollutants in a descending order was: alkanes > polar compounds > polycyclic aromatic hydrocarbons > aldehydes and ketones > heterocyclic compounds > benzene homologues, phthalate ester > alkyl esters > silicon material > olefins. The abundance of detected organic pollutants in a descending order was: alkanes > polar compounds > alkyl esters > olefins > polycyclic aromatic hydrocarbons > phthalates > silicon material > aldehydes and ketones > heterocyclic compounds > benzene homologues. Among the 51 kinds of alkanes detected, nonadecane accounted for 14.83%, and the persistent organic pollutants accounted for 2.33% of the total organic matter. Compared to similar studies, there were 51 kinds of alkanes and they accounted for 55.5% of the total organic chemicals, showing high diversity and abundance. In addition, some electronics industry-related organic pollutants such as silicone materials were also detected in high frequency.

  19. 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…

  20. 78 FR 27001 - Horse Protection Act; Requiring Horse Industry Organizations To Assess and Enforce Minimum...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-09

    ... published in the Federal Register on June 7, 2012 (77 FR 33607-33619, Docket No. APHIS-2011-0030), and... Inspection Service 9 CFR Part 11 RIN 0579-AD43 Horse Protection Act; Requiring Horse Industry Organizations... Federal Register on June 7, 2012, and effective on July 9, 2012, we amended the horse...

  1. 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 organizations or associations. 11.41 Section 11.41 Animals and Animal Products ANIMAL AND PLANT HEALTH INSPECTION SERVICE, DEPARTMENT OF AGRICULTURE ANIMAL WELFARE HORSE PROTECTION REGULATIONS § 11.41...

  2. 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 organizations or associations. 11.41 Section 11.41 Animals and Animal Products ANIMAL AND PLANT HEALTH INSPECTION SERVICE, DEPARTMENT OF AGRICULTURE ANIMAL WELFARE HORSE PROTECTION REGULATIONS § 11.41...

  3. 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 organizations or associations. 11.41 Section 11.41 Animals and Animal Products ANIMAL AND PLANT HEALTH INSPECTION SERVICE, DEPARTMENT OF AGRICULTURE ANIMAL WELFARE HORSE PROTECTION REGULATIONS § 11.41...

  4. 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 organizations or associations. 11.41 Section 11.41 Animals and Animal Products ANIMAL AND PLANT HEALTH INSPECTION SERVICE, DEPARTMENT OF AGRICULTURE ANIMAL WELFARE HORSE PROTECTION REGULATIONS § 11.41...

  5. A Technosol as archives of organic matter related to past industrial activities.

    PubMed

    Huot, Hermine; Faure, Pierre; Biache, Coralie; Lorgeoux, Catherine; Simonnot, Marie-Odile; Morel, Jean Louis

    2014-07-15

    To better understand formation, functioning and evolution of a Technosol developing on a former settling pond of iron industry under forest cover, organic matter (OM) of layers along the soil profile was investigated. Spectroscopic and molecular analyses of extractable OM gave information on OM origin and state of preservation. In the surface layer, OM fingerprints indicated fresh input from vegetation while they revealed well preserved anthropogenic compounds related to industrial processes in deeper layers. OM variability and distribution according to the layers recorded deposition cycles of industrial effluents into the pond. Thus, the Technosol can be considered as archives of past industrial activities. The preservation of anthropogenic OM could be connected with mineralogy, high metal contents and particular physical properties of the Technosol.

  6. Financial performance in the social health maintenance organization, 1985-88

    PubMed Central

    Leutz, Walter; Malone, Joelyn; Kistner, Marlin; O'Bar, Tim; Ripley, Jeanne M.; Sandhaus, Martin

    1990-01-01

    Since early 1985, four social health maintenance organizations have delivered integrated health and long-term care services to Medicare beneficiaries under congressionally mandated waivers that included shared public-program risk for losses. Three of four sites had substantial losses in the first 3 years, primarily because of slow enrollment and resultant high marketing and administrative costs. After assuming full risk, two of the three showed surpluses in 1988. Service and management costs for expanded long-term care were similar across sites and were affordable within the framework of Medicare and Medicaid reimbursement and private premiums. PMID:10113466

  7. 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.

  8. 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…

  9. Impact of a Computer System and the Encoding Staff Organization on the Encoding Stays and on Health Institution Financial Production in France.

    PubMed

    Sarazin, Marianne; El Merini, Amine; Staccini, Pascal

    2016-01-01

    In France, medicalization of information systems program (PMSI) is an essential tool for the management planning and funding of health. The performance of encoding data inherent to hospital stays has become a major challenge for health institutions. Some studies have highlighted the impact of organizations set up on encoding quality and financial production. The aim of this study is to evaluate a computerized information system and new staff organization impact for treatment of the encoded information. PMID:27577332

  10. 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.

  11. 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

  12. Analysis of the financial impacts to the industrial energy user of using coal or municipal solid waste in a new process-steam-generating plant

    SciTech Connect

    Not Available

    1983-10-01

    An analysis is presented of the financial impacts to the industrial energy user of using either coal or MSW in a new process-steam-generating plant. The results of the analysis indicate that the use of coal or solid waste, rather than oil, in a new energy production plant represents an attractive investment. The financial analysis is based on replacing an existing oil-fired plant with a new plant financed via 100-percent debt. The analysis was structured to cover a range of steam demands, different plant ownership and operating structures, and the tax benefits available to these types of plants. Information is also provided on the types of technologies that would be appropriate given the assumed steam demands. In addition, information is provided on available tax benefits in light of recent tax law changes. Nine options for new coal and MSW plants were analyzed, reflecting a matching of technology and energy output to various process steam demands, as well as different ownership and operating structures.

  13. 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.

  14. The new chimaera: the industrialization of organ transplantation. International Forum for Transplant Ethics.

    PubMed

    Tilney, N L; Guttmann, R D; Daar, A S; Hoffenberg, R; Kennedy, I; Lock, M; Radcliffe-Richards, J; Sells, R A

    2001-03-15

    Clinical organ transplantation has evolved through advances in patient care in parallel with investigations in associated biologies. It has developed from a cottage industry to an important medical specialty driven increasingly by the availability of newer and more effective immunosuppressive drugs, and dependent on consistently close collaborations between university-based clinical scientists and the pharmaceutical industry. Particularly during the past decade, however, this industry has undergone striking changes, consolidating into huge multi-national corporations, each competing for patients, their doctors, and for support of the allied hospitals. Because of the growth of "Big Pharma," the relationship between academia and industry has changed. There have been many advantages to such mutually dependent interactions. A combination of university-based expertise and the specialized knowledge and resources of industry have produced important scientific gains in drug development. Commercial sponsorship of applied research has been crucial. The orchestration of multicenter controlled clinical drug trials has provided invaluable information about the effectiveness of newer agents. But there are also disadvantages of increasing concern. Indeed, the power of "Big Pharma" in many medical fields including transplantation is such that presentation of data can be delayed, adverse results withheld, and individual investigations hampered. Clinical trials may be protracted to stifle competition. Monetary considerations may transcend common sense. Several measures to enhance the clinical relationship between the pharmaceutical industry and those involved with organ transplantation are suggested, particularly the use of third party advisors in the production of clinical trials, support for more basic research and in the dissemination of results. In this way, the increasingly problematic phenomenon of commercialization of the field of transplantation can be tempered and

  15. 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.

  16. 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

  17. Membrane filtration of agro-industrial wastewaters and isolation of organic compounds with high added values.

    PubMed

    Zagklis, Dimitris P; Paraskeva, Christakis A

    2014-01-01

    The aim of the current study was the exploitation of agro-industrial wastes or by-products such as olive mill wastewater (OMW) and defective wines. A cost-effective system for their maximum exploitation is suggested, using a combined process of membrane filtration and other physicochemical processes. Wastewaters are first treated in a membrane system (prefiltration, ultrafiltration, nanofiltration, and reverse osmosis) where pure water and other organic fractions (by-products) are obtained. Organic fractions, called hereafter byproducts and not wastes, are further treated for the separation of organic compounds and isolation of high added value products. Experiments were performed with OMW and defective wines as characteristic agro-industrial wastewaters. Profit from the exploitation of agro-industrial wastewaters can readily help the depreciation of the indeed high cost process of membrane filtration. The simple phenolic fraction of the OMW was successfully isolated from the rest of the waste, and problems occurring during winemaking, such as high volatile acidity and odours, were tackled.

  18. Membrane filtration of agro-industrial wastewaters and isolation of organic compounds with high added values.

    PubMed

    Zagklis, Dimitris P; Paraskeva, Christakis A

    2014-01-01

    The aim of the current study was the exploitation of agro-industrial wastes or by-products such as olive mill wastewater (OMW) and defective wines. A cost-effective system for their maximum exploitation is suggested, using a combined process of membrane filtration and other physicochemical processes. Wastewaters are first treated in a membrane system (prefiltration, ultrafiltration, nanofiltration, and reverse osmosis) where pure water and other organic fractions (by-products) are obtained. Organic fractions, called hereafter byproducts and not wastes, are further treated for the separation of organic compounds and isolation of high added value products. Experiments were performed with OMW and defective wines as characteristic agro-industrial wastewaters. Profit from the exploitation of agro-industrial wastewaters can readily help the depreciation of the indeed high cost process of membrane filtration. The simple phenolic fraction of the OMW was successfully isolated from the rest of the waste, and problems occurring during winemaking, such as high volatile acidity and odours, were tackled. PMID:24434988

  19. Insights into the emission reductions of multiple unintentional persistent organic pollutants from industrial activities.

    PubMed

    Liu, Guorui; Zheng, Minghui; Jiang, Xiaoxu; Jin, Rong; Zhao, Yuyang; Zhan, Jiayu

    2016-02-01

    Industrial activities result in unintentional production of multiple types of persistent organic pollutants (POPs) at various concentrations. Because of the potential adverse effect of these POPs on the environment, biota and human health, methods for controlling emission of POPs are required. Development and application of techniques for controlling emissions of POPs can be a technical and economic burden for the industry involved. Therefore, from the point of view of cost-benefit analysis, reducing emissions of multiple pollutants at the same time is optimal for sustainable industrial development. Although techniques have been developed for reducing the emissions of individual POPs, such as dioxins, further work is required on multi-POP control emissions from industrial activities. This paper discusses three important aspects that need to be taken to achieve multi-POP control. These aspects include the establishment of a comprehensive system for evaluating the risk from emissions of multiple POPs, determination of indicators for total emissions of multiple POPs, and the preparation and application of functional materials to inhibit formation of multiple POPs. These discussion might be helpful for the future research on the multi-POP control in industry.

  20. Assessing the research and education needs of the organic dairy industry in the northeastern United States.

    PubMed

    Pereira, A B D; Brito, A F; Townson, L L; Townson, D H

    2013-01-01

    certification were more interested in field testing of new organic products. Opportunities for educational programs included learning about direct marketing possibilities (76% respondents) and providing training to regional veterinarians interested in organic remedies (91%). In conclusion, the information obtained from the current needs assessment provides a foundation for future research proposals and educational outreach programs, germane to stakeholder needs, which could benefit the organic dairy industry within the region and beyond.