Sample records for secure electronic transaction

  1. Data mining technique for a secure electronic payment transaction using MJk-RSA in mobile computing

    NASA Astrophysics Data System (ADS)

    G. V., Ramesh Babu; Narayana, G.; Sulaiman, A.; Padmavathamma, M.

    2012-04-01

    Due to the evolution of the Electronic Learning (E-Learning), one can easily get desired information on computer or mobile system connected through Internet. Currently E-Learning materials are easily accessible on the desktop computer system, but in future, most of the information shall also be available on small digital devices like Mobile, PDA, etc. Most of the E-Learning materials are paid and customer has to pay entire amount through credit/debit card system. Therefore, it is very important to study about the security of the credit/debit card numbers. The present paper is an attempt in this direction and a security technique is presented to secure the credit/debit card numbers supplied over the Internet to access the E-Learning materials or any kind of purchase through Internet. A well known method i.e. Data Cube Technique is used to design the security model of the credit/debit card system. The major objective of this paper is to design a practical electronic payment protocol which is the safest and most secured mode of transaction. This technique may reduce fake transactions which are above 20% at the global level.

  2. An Infrastructure for Multi-Level Secure Service-Oriented Architecture (MLS-SOA) Using the Multiple Single-Level Approach

    DTIC Science & Technology

    2009-12-17

    IEEE TDKE, 1996. 8( 1). 14. Garvey, T.D., The inference Problem for Computer Security. 1992, SRI International. 15. Chaum , D ., Blind Signatures for...Pervasive Computing Environments. IEEE Transactions on Vehicular Technology, 2006. 55(4). 17. Chaum , D ., Security without Identification: Transaction...Systems to make Big Brother Obsolete. Communications of the ACM 1985. 28(10). 18. Chaum , D ., Untraceable Electronic Mail, Return Addresses, and Digital

  3. Implementation of data security and data privacy provisions will bring sweeping changes to laboratory service providers.

    PubMed

    Boothe, J F

    2000-01-01

    The Health Insurance Portability and Accountability Act included substantial changes involving handling of health information by establishing national standards for electronic transactions, data privacy, and data security. The first final rule for electronic transaction standards was published August 17, 2000. The remaining final rules are expected to be published in Winter 2000. Providers, such as clinical laboratories, will have 26 months from the data of publication to comply. The civil monetary fines for noncompliance are substantial. This article will review the key provisions of the data security and data privacy proposed rules. These provisions will touch virtually every aspect of electronic claims submissions, electronic data transactions, and the electronic storage of medical information. The proposed rules will require a coordinated approach by providers to develop the policies and procedures, and the technical and physical infrastructure to protect health information. Moreover, providers will need to identify a privacy officer, to review existing privacy policies to compare the proposed rule with any existing state laws to determine which may be more stringent, and to develop new policies to address the particular requirements of the final rule.

  4. 76 FR 43477 - Debit Card Interchange Fees and Routing

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-20

    ...The Board is adopting an interim final rule and requesting comment on provisions in Regulation II (Debit Card Interchange Fees and Routing) adopted in accordance with Section 920(a)(5) of the Electronic Fund Transfer Act, which governs adjustments to debit interchange transaction fees for fraud-prevention costs. The provisions allow an issuer to receive an adjustment of 1 cent to its interchange transaction fee if the issuer develops, implements, and updates policies and procedures reasonably designed to identify and prevent fraudulent electronic debit transactions; monitor the incidence of, reimbursements received for, and losses incurred from fraudulent electronic debit transactions; respond appropriately to suspicious electronic debit transactions so as to limit the fraud losses that may occur and prevent the occurrence of future fraudulent electronic debit transactions; and secure debit card and cardholder data. If an issuer meets these standards and wishes to receive the adjustment, it must certify its eligibility to receive the fraud-prevention adjustment to the payment card networks in which the issuer participates.

  5. Secure Transaction Protocol for CEPS Compliant EPS in Limited Connectivity Environment

    NASA Astrophysics Data System (ADS)

    Devane, Satish; Phatak, Deepak

    Common Electronic Purse Specification (CEPS) used by European countries, elaborately defines the transaction between customer’s CEP card and merchant’s point of sales (POS) terminal. However it merely defines the specification to transfer the transactions between the Merchant and Merchant Acquirer (MA). This paper proposes a novel approach by introducing an entity, mobile merchant acquirer (MMA) which is a trusted agent of MA and principally works on man in middle concept, but facilitates remote two fold mutual authentication and secure transaction transfer between Merchant and MA through MMA. This approach removes the bottle-neck of connectivity issues between Merchant and MA in limited connectivity environment. The proposed protocol ensures the confidentiality, integrity and money atomicity of transaction batch. The proposed protocol has been verified for correctness by Spin, a model checker and security properties of the protocol have been verified by avispa.

  6. 31 CFR 321.25 - Payment and retention of definitive securities.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... prohibited from accepting an image, or other copy or reproduction of the definitive security, for redemption or processing. To ensure that all transactions processed by agents are properly validated, agents... converted to an electronic image. At a minimum, the agent must retain such securities for a period of thirty...

  7. 31 CFR 321.25 - Payment and retention of definitive securities.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... agent is prohibited from accepting an image, or other copy or reproduction of the definitive security, for redemption or processing. To ensure that all transactions processed by agents are properly... truncated and converted to an electronic image. At a minimum, the agent must retain such securities for a...

  8. 31 CFR 321.25 - Payment and retention of definitive securities.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... prohibited from accepting an image, or other copy or reproduction of the definitive security, for redemption or processing. To ensure that all transactions processed by agents are properly validated, agents... converted to an electronic image. At a minimum, the agent must retain such securities for a period of thirty...

  9. 12 CFR 551.130 - When must I settle a securities transaction?

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS Settlement of Securities Transactions § 551.130 When must I settle a securities transaction? (a) You may not effect or enter into a contract... 12 Banks and Banking 5 2010-01-01 2010-01-01 false When must I settle a securities transaction...

  10. 77 FR 71026 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-28

    ... charge (i.e., free) for a non- electronic agency transaction of a Floor broker that executes against the Book, both in a security priced $1 or above and in a security priced below $1; (3) no charge for a non... and sell an equivalent amount of the same security) in a security priced below $1. d-Quotes The...

  11. Systems and Methods for Secure Transaction Management and Electronic Rights Protection

    DTIC Science & Technology

    2002-07-30

    4305131 Dec., 1981 Best. 4306289 Dec., 1981 Lumley. 4309569 Jan., 1982 Merkle . 4319079 Mar., 1982 Best. 4323921 Apr., 1982 Guillou. 4328544 May...Operating System Security, (USC/Information Science Institute, Marina Del Rey, CA), Oct. 1973, pp. 666-675. Rolf Blom, Robert Forchheimer, et al

  12. 76 FR 31671 - Agency Information Collection Activities: Proposed Request and Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-01

    ... Credentialing and Authentication Process--20 CFR 401.45--0960-NEW. Social Security is introducing a stronger citizen authentication process that will enable a new user to experience and access more electronic services. Background: Authentication is the foundation for secure, online transactions. Identity...

  13. 31 CFR 370.45 - What is the status of a security if the remittance cannot be collected?

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... it has been legally transferred for value to a third person who had no knowledge of the improper debit entry at the time of the transfer. ... SERVICE ELECTRONIC TRANSACTIONS AND FUNDS TRANSFERS RELATING TO UNITED STATES SECURITIES Additional...

  14. Safeguarding Digital Library Contents: Charging for Online Content.

    ERIC Educational Resources Information Center

    Herzberg, Amir

    1998-01-01

    Investigates the need for mechanisms for charging by digital libraries and other providers of online content, in particular for micropayments, i.e., charging for small amounts. The SSL (Secure Socket Layer) and SET (Secure Electronic Transactions) protocols for charge card payments and the MiniPay micropayment mechanism for charging small amounts…

  15. 31 CFR 370.0 - What does this part cover?

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... RELATING TO UNITED STATES SECURITIES General Information § 370.0 What does this part cover? (a) Scope. This... does not apply to transactions for the sale of United States Savings Bonds accomplished through savings... connection with United States securities. This part also provides regulations for the electronic submission...

  16. 17 CFR 5.9 - Security deposits for retail forex transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Security deposits for retail forex transactions. 5.9 Section 5.9 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.9 Security deposits for retail forex transactions...

  17. 17 CFR 240.11a1-4(T) - Bond transactions on national securities exchanges.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Bond transactions on national securities exchanges. 240.11a1-4(T) Section 240.11a1-4(T) Commodity and Securities Exchanges SECURITIES AND....11a1-4(T) Bond transactions on national securities exchanges. A transaction in a bond, note, debenture...

  18. 17 CFR 240.11a1-4(T) - Bond transactions on national securities exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Bond transactions on national securities exchanges. 240.11a1-4(T) Section 240.11a1-4(T) Commodity and Securities Exchanges SECURITIES AND....11a1-4(T) Bond transactions on national securities exchanges. A transaction in a bond, note, debenture...

  19. 17 CFR 5.9 - Security deposits for retail forex transactions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... forex transactions. 5.9 Section 5.9 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.9 Security deposits for retail forex transactions. (a) Each futures commission merchant engaging, or offering to engage, in retail forex transactions...

  20. 17 CFR 5.9 - Security deposits for retail forex transactions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... forex transactions. 5.9 Section 5.9 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.9 Security deposits for retail forex transactions. (a) Each futures commission merchant engaging, or offering to engage, in retail forex transactions...

  1. 17 CFR 5.9 - Security deposits for retail forex transactions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... forex transactions. 5.9 Section 5.9 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.9 Security deposits for retail forex transactions. (a) Each futures commission merchant engaging, or offering to engage, in retail forex transactions...

  2. 17 CFR 200.735-5 - Securities transactions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Securities transactions. 200.735-5 Section 200.735-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Employees and Former Members and Employees of the Commission § 200.735-5 Securities transactions. Securities...

  3. 17 CFR 200.735-5 - Securities transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Securities transactions. 200.735-5 Section 200.735-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Employees and Former Members and Employees of the Commission § 200.735-5 Securities transactions. Securities...

  4. 17 CFR 200.735-5 - Securities transactions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Securities transactions. 200.735-5 Section 200.735-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Employees and Former Members and Employees of the Commission § 200.735-5 Securities transactions. Securities...

  5. Secure Distributed Human Computation

    NASA Astrophysics Data System (ADS)

    Gentry, Craig; Ramzan, Zulfikar; Stubblebine, Stuart

    In Peha’s Financial Cryptography 2004 invited talk, he described the Cyphermint PayCash system (see www.cyphermint.com), which allows people without bank accounts or credit cards (a sizeable segment of the U.S. population) to automatically and instantly cash checks, pay bills, or make Internet transactions through publicly-accessible kiosks. Since PayCash offers automated financial transactions and since the system uses (unprotected) kiosks, security is critical. The kiosk must decide whether a person cashing a check is really the person to whom the check was made out, so it takes a digital picture of the person cashing the check and transmits this picture electronically to a central office, where a human worker compares the kiosk’s picture to one that was taken when the person registered with Cyphermint. If both pictures are of the same person, then the human worker authorizes the transaction.

  6. 31 CFR 363.4 - How is TreasuryDirect® different from the Legacy Treasury Direct® system and the commercial book...

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... OF THE TREASURY BUREAU OF THE PUBLIC DEBT REGULATIONS GOVERNING SECURITIES HELD IN TREASURYDIRECT... Treasury for purchasing, holding and conducting permitted transactions in eligible Treasury securities in electronic form as a computer record on the books of Treasury. TreasuryDirect currently provides for the...

  7. 31 CFR 363.4 - How is TreasuryDirect ® different from the Legacy Treasury Direct system and the commercial book...

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... OF THE TREASURY BUREAU OF THE PUBLIC DEBT REGULATIONS GOVERNING SECURITIES HELD IN TREASURYDIRECT... Treasury for purchasing, holding and conducting permitted transactions in eligible Treasury securities in electronic form as a computer record on the books of Treasury. TreasuryDirect currently provides for the...

  8. 31 CFR 363.4 - How is TreasuryDirect® different from the Legacy Treasury Direct® system and the commercial book...

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... OF THE TREASURY BUREAU OF THE PUBLIC DEBT REGULATIONS GOVERNING SECURITIES HELD IN TREASURYDIRECT... Treasury for purchasing, holding and conducting permitted transactions in eligible Treasury securities in electronic form as a computer record on the books of Treasury. TreasuryDirect currently provides for the...

  9. 31 CFR 363.4 - How is TreasuryDirect® different from the Legacy Treasury Direct® system and the commercial book...

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ..., DEPARTMENT OF THE TREASURY BUREAU OF THE FISCAL SERVICE REGULATIONS GOVERNING SECURITIES HELD IN... Treasury for purchasing, holding and conducting permitted transactions in eligible Treasury securities in electronic form as a computer record on the books of Treasury. TreasuryDirect currently provides for the...

  10. 31 CFR 363.4 - How is TreasuryDirect® different from the Legacy Treasury Direct® system and the commercial book...

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... OF THE TREASURY BUREAU OF THE PUBLIC DEBT REGULATIONS GOVERNING SECURITIES HELD IN TREASURYDIRECT... Treasury for purchasing, holding and conducting permitted transactions in eligible Treasury securities in electronic form as a computer record on the books of Treasury. TreasuryDirect currently provides for the...

  11. 12 CFR 151.150 - How do my officers and employees file reports of personal securities trading transactions?

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... of personal securities trading transactions? 151.150 Section 151.150 Banks and Banking COMPTROLLER OF... TRANSACTIONS Securities Trading Policies and Procedures § 151.150 How do my officers and employees file reports of personal securities trading transactions? An officer or employee described in § 151.140(d) must...

  12. 12 CFR 551.150 - How do my officers and employees file reports of personal securities trading transactions?

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... of personal securities trading transactions? 551.150 Section 551.150 Banks and Banking OFFICE OF... TRANSACTIONS Securities Trading Policies and Procedures § 551.150 How do my officers and employees file reports of personal securities trading transactions? An officer or employee described in § 551.140(d) must...

  13. Proposal for an IT Security Standard for Preventing Tax Fraud in Cash Registers

    NASA Astrophysics Data System (ADS)

    Neuhaus, Mathias; Wolff, Jörg; Zisky, Norbert

    This paper describes a technology solution for preventing tax fraud in electronic cash registers (ECR) and point of sale (POS) systems. The solution is based on electronic signatures, and as a result, any alterations to protected data will be detected. The signed transaction data can be stored on various electronic memory devices. Technical provisions enable the estimation of transaction volumes, even after tampering or loss of data. In this way the solution presented here differs significantly from other fiscal solutions where a pattern of approvals for ECRs and permanent technical supervision of the market is necessary. This paper is focused on the architecture, the protocols and the usability of the proposed system.

  14. Satellite Anomalies: Benefits of a Centralized Anomaly Database and Methods for Securely Sharing Information Among Satellite Operators

    DTIC Science & Technology

    2014-01-01

    unprecedented efficiencies in global busi- ness collaboration through communication, information distribution, and fast electronic monetary transactions...tudes (which peaks in free electron density at 300–400 km but extends to just above 1,000 km). At GEO, surface charging occurs intermit - tently

  15. 31 CFR 306.106 - Requests for suspension of transactions in bearer securities.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... bearer securities, or registered securities so assigned as to become in effect payable to bearer, were... transactions in bearer securities. 306.106 Section 306.106 Money and Finance: Treasury Regulations Relating to... GENERAL REGULATIONS GOVERNING U.S. SECURITIES Requests for Suspension of Transactions § 306.106 Requests...

  16. Electronic Commerce--Would, Could and Should You Use Current Internet Payment Mechanisms?

    ERIC Educational Resources Information Center

    Buck, S. Peter

    1996-01-01

    Discussion of use of the Internet for online payments focuses on payment mechanisms for conducting transactions. Highlights include commercial requirements; security requirements; various proposed and currently used mechanisms; and future possibilities. (LRW)

  17. The complexities of HIPAA and administration simplification.

    PubMed

    Mozlin, R

    2000-11-01

    The Health Insurance Portability and Accessibility Act (HIPAA) was signed into law in 1996. Although focused on information technology issues, HIPAA will ultimately impact day-to-day operations at multiple levels within any clinical setting. Optometrists must begin to familiarize themselves with HIPAA in order to prepare themselves to practice in a technology-enriched environment. Title II of HIPAA, entitled "Administration Simplification," is intended to reduce the costs and administrative burden of healthcare by standardizing the electronic transmission of administrative and financial transactions. The Department of Health and Human Services is expected to publish the final rules and regulations that will govern HIPAA's implementation this year. The rules and regulations will cover three key aspects of healthcare delivery: electronic data interchange (EDI), security and privacy. EDI will standardize the format for healthcare transactions. Health plans must accept and respond to all transactions in the EDI format. Security refers to policies and procedures that protect the accuracy and integrity of information and limit access. Privacy focuses on how the information is used and disclosure of identifiable health information. Security and privacy regulations apply to all information that is maintained and transmitted in a digital format and require administrative, physical, and technical safeguards. HIPAA will force the healthcare industry to adopt an e-commerce paradigm and provide opportunities to improve patient care processes. Optometrists should take advantage of the opportunity to develop more efficient and profitable practices.

  18. 12 CFR 704.2 - Definitions.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    .... Adjusted trading means any method or transaction whereby a corporate credit union sells a security to a... securities, asset-backed securities, or corporate obligations in the form of loans or debt. Senior tranches... repurchase transaction means an integrated transaction in which a corporate credit union purchases a security...

  19. 76 FR 10947 - Registration and Regulation of Security-Based Swap Execution Facilities

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-28

    ... electronic media to execute transactions in SB swaps varies greatly across trading venues, with some venues... telephone. The reasons for use of, or lack of use of, electronic media vary from such factors as user... communications to contact directly a potential counterparty to negotiate a SB swap. Once the terms are agreed...

  20. 12 CFR 12.7 - Securities trading policies and procedures.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... has no direct or indirect influence or control over the transaction; (2) The transaction is in mutual fund shares; (3) The transaction is in government securities; or (4) The transactions involve an...

  1. Taiwan's perspective on electronic medical records' security and privacy protection: lessons learned from HIPAA.

    PubMed

    Yang, Che-Ming; Lin, Herng-Ching; Chang, Polun; Jian, Wen-Shan

    2006-06-01

    The protection of patients' health information is a very important concern in the information age. The purpose of this study is to ascertain what constitutes an effective legal framework in protecting both the security and privacy of health information, especially electronic medical records. All sorts of bills regarding electronic medical data protection have been proposed around the world including Health Insurance Portability and Accountability Act (HIPAA) of the U.S. The trend of a centralized bill that focuses on managing computerized health information is the part that needs our further attention. Under the sponsor of Taiwan's Department of Health (DOH), our expert panel drafted the "Medical Information Security and Privacy Protection Guidelines", which identifies nine principles and entails 12 articles, in the hope that medical organizations will have an effective reference in how to manage their medical information in a confidential and secured fashion especially in electronic transactions.

  2. 17 CFR 242.601 - Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Dissemination of transaction reports and last sale data with respect to transactions in NMS stocks. 242.601 Section 242.601 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS M, SHO, ATS, AC...

  3. 17 CFR 37.8 - Information relating to transactions on derivatives transaction execution facilities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Information relating to transactions on derivatives transaction execution facilities. 37.8 Section 37.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES TRANSACTION EXECUTION FACILITIES § 37.8...

  4. 78 FR 31578 - Agency Information Collection Activities; Submission for OMB Review; Comment Request; Prohibited...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-24

    ... for OMB Review; Comment Request; Prohibited Transaction Class Exemption 75-1, Security Transactions... request (ICR) titled, ``Prohibited Transaction Class Exemption 75-1, Security Transactions with Broker....gov . Authority: 44 U.S.C. 3507(a)(1)(D). SUPPLEMENTARY INFORMATION: The Prohibited Transaction Class...

  5. 31 CFR 306.105 - Requests for suspension of transactions in registered securities.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... assignment was affected by fraud, the transaction for which the security was received will be suspended. The... notifies the Bureau that the assignment was affected by fraud or that the security had been lost or stolen... transactions in registered securities. 306.105 Section 306.105 Money and Finance: Treasury Regulations Relating...

  6. 17 CFR 401.5 - Exemption for corporate credit unions transacting limited government securities business with...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption for corporate credit unions transacting limited government securities business with other credit unions. 401.5 Section 401.5... SECURITIES EXCHANGE ACT OF 1934 EXEMPTIONS § 401.5 Exemption for corporate credit unions transacting limited...

  7. 17 CFR 401.5 - Exemption for corporate credit unions transacting limited government securities business with...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Exemption for corporate credit unions transacting limited government securities business with other credit unions. 401.5 Section 401.5... SECURITIES EXCHANGE ACT OF 1934 EXEMPTIONS § 401.5 Exemption for corporate credit unions transacting limited...

  8. 17 CFR 401.5 - Exemption for corporate credit unions transacting limited government securities business with...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Exemption for corporate credit unions transacting limited government securities business with other credit unions. 401.5 Section 401.5... SECURITIES EXCHANGE ACT OF 1934 EXEMPTIONS § 401.5 Exemption for corporate credit unions transacting limited...

  9. 17 CFR 401.5 - Exemption for corporate credit unions transacting limited government securities business with...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Exemption for corporate credit unions transacting limited government securities business with other credit unions. 401.5 Section 401.5... SECURITIES EXCHANGE ACT OF 1934 EXEMPTIONS § 401.5 Exemption for corporate credit unions transacting limited...

  10. 17 CFR 401.5 - Exemption for corporate credit unions transacting limited government securities business with...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Exemption for corporate credit unions transacting limited government securities business with other credit unions. 401.5 Section 401.5... SECURITIES EXCHANGE ACT OF 1934 EXEMPTIONS § 401.5 Exemption for corporate credit unions transacting limited...

  11. 17 CFR 240.11a1-3(T) - Bona fide hedge transactions in certain securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Bona fide hedge transactions in certain securities. 240.11a1-3(T) Section 240.11a1-3(T) Commodity and Securities Exchanges... (rule 11a-1) § 240.11a1-3(T) Bona fide hedge transactions in certain securities. A bona fide hedge...

  12. 17 CFR 240.11a1-3(T) - Bona fide hedge transactions in certain securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Bona fide hedge transactions in certain securities. 240.11a1-3(T) Section 240.11a1-3(T) Commodity and Securities Exchanges... (rule 11a-1) § 240.11a1-3(T) Bona fide hedge transactions in certain securities. A bona fide hedge...

  13. 17 CFR 401.3 - Exemption for financial institutions that are engaged in limited government securities brokerage...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... services on or off the premises of the financial institution, provided that: (A) The transacting government... government securities broker or dealer; and (D) Such services are provided on a fully disclosed basis by the transacting government securities broker or dealer, i.e., the transacting government securities broker or...

  14. 17 CFR 401.3 - Exemption for financial institutions that are engaged in limited government securities brokerage...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... services on or off the premises of the financial institution, provided that: (A) The transacting government... government securities broker or dealer; and (D) Such services are provided on a fully disclosed basis by the transacting government securities broker or dealer, i.e., the transacting government securities broker or...

  15. 17 CFR 239.25 - Form S-4, for the registration of securities issued in business combination transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Form S-4, for the registration of securities issued in business combination transactions. 239.25 Section 239.25 Commodity and... business combination transactions. This form may be used for registration under the Securities Act of 1933...

  16. 12 CFR 390.214 - How do my officers and employees file reports of personal securities trading transactions?

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... of personal securities trading transactions? 390.214 Section 390.214 Banks and Banking FEDERAL... Transactions § 390.214 How do my officers and employees file reports of personal securities trading... person” personal securities trading report required by SEC Rule 17j-1(d), 17 CFR 270.17j-1(d). ...

  17. 12 CFR 208.35 - Qualification requirements for transactions in certain securities. [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... requirements for transactions in certain securities. [Reserved] ... 12 Banks and Banking 2 2010-01-01 2010-01-01 false Qualification requirements for transactions in certain securities. [Reserved] 208.35 Section 208.35 Banks and Banking FEDERAL RESERVE SYSTEM BOARD OF...

  18. 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

    ... the defined terms, ``TRACE-Eligible Security,'' ``Reportable TRACE Transaction,'' ``Agency Debt...'') for reporting Asset-Backed Securities transactions; (C) to consolidate reporting requirements for Asset-Backed Securities transactions that are executed other than during TRACE System Hours; (D) to...

  19. E-Commerce and Security Governance in Developing Countries

    NASA Astrophysics Data System (ADS)

    Sanayei, Ali.; Rajabion, Lila

    Security is very often mentioned as one of the preconditions for the faster growth of e-commerce. Without a secure and reliable internet, customer will continue to be reluctant to provide confidential information online, such as credit card number. Moreover, organizations of all types and sizes around the world rely heavily on technologies of electronic commerce (e-commerce) for conducting their day-to-day business transaction. Providing organizations with a secure e-commerce environment is a major issue and challenging one especially in Middle Eastern countries. Without secure e-commerce, it is almost impossible to take advantage of the opportunities offered by e-commerce technologies. E-commerce can create opportunities for small entrepreneurs in Middle Eastern countries. This requires removing infrastructure blockages in telecommunications and logistics alongside the governance of e-commerce with policies on consumer protection, security of transactions, privacy of records and intellectual property. In this paper, we will explore the legal implications of e-commerce security governance by establishing who is responsible for ensuring compliance with this discipline, demonstrating the value to be derived from information security governance, the methodology of applying information security governance, and liability for non-compliance with this discipline. Our main focus will be on analyzing the importance and implication of e-commerce security governance in developing countries.

  20. 12 CFR 218.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... banks engaging in securities lending transactions. 218.772 Section 218.772 Banks and Banking FEDERAL... OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R) § 218.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions. (a) A bank is exempt from the...

  1. 12 CFR 218.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... banks engaging in securities lending transactions. 218.772 Section 218.772 Banks and Banking FEDERAL... OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R) § 218.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions. (a) A bank is exempt from the...

  2. 12 CFR 218.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... banks engaging in securities lending transactions. 218.772 Section 218.772 Banks and Banking FEDERAL... OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R) § 218.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions. (a) A bank is exempt from the...

  3. 12 CFR 218.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... banks engaging in securities lending transactions. 218.772 Section 218.772 Banks and Banking FEDERAL... OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R) § 218.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions. (a) A bank is exempt from the...

  4. 12 CFR 218.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... banks engaging in securities lending transactions. 218.772 Section 218.772 Banks and Banking FEDERAL... OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R) § 218.772 Exemption from the definition of “broker” for banks engaging in securities lending transactions. (a) A bank is exempt from the...

  5. 7 CFR 274.3 - Retailer management.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... retailer, and it must include acceptable privacy and security features. Such systems shall only be... terminals that are capable of relaying electronic transactions to a central database computer for... specifications prior to implementation of the EBT system to enable third party processors to access the database...

  6. Cryptography: It’s Not Just For Electronic Mail Anymore

    DTIC Science & Technology

    1993-03-01

    David Chaum . Security without identification: Transaction systems to make big brother obsolete. Communications of the ACM, 28(10): 1030-1044, Oc- tober...Jeannette Wing, Maurice Herlihy, Stewart Clamen, David Detlefs, Karen Kietzke, Richard Lerner, and Su-Yuen Ling. The Avalon language: A tutorial

  7. 17 CFR 5.2 - Prohibited transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Prohibited transactions. 5.2 Section 5.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.2 Prohibited transactions. (a) Scope. The provisions of this section shall be...

  8. 31 CFR 800.302 - Transactions that are not covered transactions.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... (Continued) OFFICE OF INVESTMENT SECURITY, DEPARTMENT OF THE TREASURY REGULATIONS PERTAINING TO MERGERS... percent of the voting securities of Corporation X, which is a U.S. business. Assuming no other relevant facts, the acquisition of the securities is not a covered transaction. Example 2. Corporation A, a...

  9. 17 CFR 230.190 - Registration of underlying securities in asset-backed securities transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Registration of underlying securities in asset-backed securities transactions. 230.190 Section 230.190 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General...

  10. 78 FR 39023 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-28

    ... confirmations than larger firms because they effect fewer transactions. The Commission staff estimates the costs... regarding their securities transactions. This information includes: the date and time of the transaction... as well as mark-up and mark-down information. For transactions in debt securities, Rule 10b-10...

  11. 17 CFR 5.20 - Special calls for account and transaction information.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Special calls for account and transaction information. 5.20 Section 5.20 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.20 Special calls for account and transaction...

  12. 12 CFR 344.10 - Waivers.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... collective investment fund; (7) Interests in a variable amount (master) note of a borrower of prime credit... transaction for a customer shall give or send, by mail, facsimile or other means of electronic transmission... issuer thereof, with a variable interest payable thereon, or is an asset-backed security that represents...

  13. 31 CFR 357.29 - Time required for processing transaction request.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... Book-Entry Securities System (Legacy Treasury Direct) § 357.29 Time required for processing transaction request. For purposes of a transaction request affecting payment instructions with respect to a security...

  14. 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

    ... Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset- Backed Securities Transactions April 13, 2012. Pursuant to... dissemination of transactions in TRACE- Eligible Securities that are: (1) Agency Pass-Through Mortgage-Backed...

  15. 17 CFR 5.3 - Registration of persons engaged in retail forex transactions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... engaged in retail forex transactions. 5.3 Section 5.3 Commodity and Securities Exchanges COMMODITY FUTURES... retail forex transactions. (a) Subject to paragraph (b) of this section, each of the following is subject... any retail forex transaction; or (B) Accepts money, securities, or property (or extends credit in lieu...

  16. 17 CFR 5.3 - Registration of persons engaged in retail forex transactions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... engaged in retail forex transactions. 5.3 Section 5.3 Commodity and Securities Exchanges COMMODITY FUTURES... retail forex transactions. (a) Subject to paragraph (b) of this section, each of the following is subject... any retail forex transaction; or (B) Accepts money, securities, or property (or extends credit in lieu...

  17. 17 CFR 5.3 - Registration of persons engaged in retail forex transactions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... engaged in retail forex transactions. 5.3 Section 5.3 Commodity and Securities Exchanges COMMODITY FUTURES... retail forex transactions. (a) Subject to paragraph (b) of this section, each of the following is subject... any retail forex transaction; or (B) Accepts money, securities, or property (or extends credit in lieu...

  18. 17 CFR 155.6 - Trading standards for the transaction of business on registered derivatives transaction execution...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Trading standards for the transaction of business on registered derivatives transaction execution facilities. 155.6 Section 155.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION TRADING STANDARDS § 155.6 Trading...

  19. 17 CFR 155.6 - Trading standards for the transaction of business on registered derivatives transaction execution...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Trading standards for the transaction of business on registered derivatives transaction execution facilities. 155.6 Section 155.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION TRADING STANDARDS § 155.6 Trading...

  20. 17 CFR 155.6 - Trading standards for the transaction of business on registered derivatives transaction execution...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Trading standards for the transaction of business on registered derivatives transaction execution facilities. 155.6 Section 155.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION TRADING STANDARDS § 155.6 Trading...

  1. 17 CFR 270.17a-6 - Exemption for transactions with portfolio affiliates.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... with portfolio affiliates. 270.17a-6 Section 270.17a-6 Commodity and Securities Exchanges SECURITIES... Exemption for transactions with portfolio affiliates. (a) Exemption for transactions with portfolio affiliates. A transaction to which a fund, or a company controlled by a fund, and a portfolio affiliate of...

  2. 78 FR 5565 - Modifications to the HIPAA Privacy, Security, Enforcement, and Breach Notification Rules Under...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-25

    ... certain health information, such as standards for certain health care transactions conducted electronically and code sets and unique identifiers for health care providers and employers. The HIPAA... HIPAA apply to three types of entities, which are known as ``covered entities'': health care providers...

  3. 48 CFR 552.216-72 - Placement of Orders.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... Acquisition Service (FAS) will place all orders by EDI using computer-to-computer EDI. If computer-to-computer... EDI. (d) When computer-to-computer EDI procedures will be used to place orders, the Contractor shall... electronic orders are placed, the transaction sets used, security procedures, and guidelines for...

  4. 48 CFR 552.216-72 - Placement of Orders.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... Acquisition Service (FAS) will place all orders by EDI using computer-to-computer EDI. If computer-to-computer... EDI. (d) When computer-to-computer EDI procedures will be used to place orders, the Contractor shall... electronic orders are placed, the transaction sets used, security procedures, and guidelines for...

  5. 48 CFR 552.216-72 - Placement of Orders.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... Acquisition Service (FAS) will place all orders by EDI using computer-to-computer EDI. If computer-to-computer... EDI. (d) When computer-to-computer EDI procedures will be used to place orders, the Contractor shall... electronic orders are placed, the transaction sets used, security procedures, and guidelines for...

  6. 48 CFR 552.216-72 - Placement of Orders.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... Acquisition Service (FAS) will place all orders by EDI using computer-to-computer EDI. If computer-to-computer... EDI. (d) When computer-to-computer EDI procedures will be used to place orders, the Contractor shall... electronic orders are placed, the transaction sets used, security procedures, and guidelines for...

  7. 48 CFR 552.216-72 - Placement of Orders.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... Acquisition Service (FAS) will place all orders by EDI using computer-to-computer EDI. If computer-to-computer... EDI. (d) When computer-to-computer EDI procedures will be used to place orders, the Contractor shall... electronic orders are placed, the transaction sets used, security procedures, and guidelines for...

  8. Systems and methods for performing wireless financial transactions

    DOE Office of Scientific and Technical Information (OSTI.GOV)

    McCown, Steven Harvey

    2012-07-03

    A secure computing module (SCM) is configured for connection with a host device. The SCM includes a processor for performing secure processing operations, a host interface for coupling the processor to the host device, and a memory connected to the processor wherein the processor logically isolates at least some of the memory from access by the host device. The SCM also includes a proximate-field wireless communicator connected to the processor to communicate with another SCM associated with another host device. The SCM generates a secure digital signature for a financial transaction package and communicates the package and the signature tomore » the other SCM using the proximate-field wireless communicator. Financial transactions are performed from person to person using the secure digital signature of each person's SCM and possibly message encryption. The digital signatures and transaction details are communicated to appropriate financial organizations to authenticate the transaction parties and complete the transaction.« less

  9. 31 CFR 363.22 - Who has the right to conduct online transactions in book-entry securities?

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... 31 Money and Finance:Treasury 2 2011-07-01 2011-07-01 false Who has the right to conduct online transactions in book-entry securities? 363.22 Section 363.22 Money and Finance: Treasury Regulations Relating... TreasuryDirect § 363.22 Who has the right to conduct online transactions in book-entry securities? (a...

  10. 31 CFR 363.22 - Who has the right to conduct online transactions in book-entry securities?

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... 31 Money and Finance:Treasury 2 2012-07-01 2012-07-01 false Who has the right to conduct online transactions in book-entry securities? 363.22 Section 363.22 Money and Finance: Treasury Regulations Relating... TreasuryDirect § 363.22 Who has the right to conduct online transactions in book-entry securities? (a...

  11. 31 CFR 363.22 - Who has the right to conduct online transactions in book-entry securities?

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... 31 Money and Finance:Treasury 2 2013-07-01 2013-07-01 false Who has the right to conduct online transactions in book-entry securities? 363.22 Section 363.22 Money and Finance: Treasury Regulations Relating... TreasuryDirect § 363.22 Who has the right to conduct online transactions in book-entry securities? (a...

  12. 31 CFR 363.22 - Who has the right to conduct online transactions in book-entry securities?

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 31 Money and Finance: Treasury 2 2010-07-01 2010-07-01 false Who has the right to conduct online transactions in book-entry securities? 363.22 Section 363.22 Money and Finance: Treasury Regulations Relating... TreasuryDirect § 363.22 Who has the right to conduct online transactions in book-entry securities? (a...

  13. 31 CFR 363.210 - Is there any period of time during which I will be unable to process certain transactions...

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... certain transactions regarding my security? A closed book period will be in effect for four business days... which I will be unable to process certain transactions regarding my security? 363.210 Section 363.210..., DEPARTMENT OF THE TREASURY BUREAU OF THE PUBLIC DEBT REGULATIONS GOVERNING SECURITIES HELD IN TREASURYDIRECT...

  14. 12 CFR 551.150 - How do my officers and employees file reports of personal securities trading transactions?

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 12 Banks and Banking 5 2011-01-01 2011-01-01 false How do my officers and employees file reports of personal securities trading transactions? 551.150 Section 551.150 Banks and Banking OFFICE OF... TRANSACTIONS Securities Trading Policies and Procedures § 551.150 How do my officers and employees file reports...

  15. System and method for secure group transactions

    DOEpatents

    Goldsmith, Steven Y [Rochester, MN

    2006-04-25

    A method and a secure system, processing on one or more computers, provides a way to control a group transaction. The invention uses group consensus access control and multiple distributed secure agents in a network environment. Each secure agent can organize with the other secure agents to form a secure distributed agent collective.

  16. 17 CFR 37.2 - Exemption.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Exemption. 37.2 Section 37.2 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES TRANSACTION EXECUTION FACILITIES § 37.2 Exemption. Contracts, agreements or transactions traded on a derivatives transaction...

  17. 31 CFR 1023.314 - Structured transactions.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ...) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in Securities § 1023.314 Structured transactions. Refer... securities. ...

  18. 31 CFR 1023.314 - Structured transactions.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ...) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in Securities § 1023.314 Structured transactions. Refer... securities. ...

  19. 31 CFR 1023.314 - Structured transactions.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ...) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in Securities § 1023.314 Structured transactions. Refer... securities. ...

  20. 31 CFR 1023.314 - Structured transactions.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ...) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in Securities § 1023.314 Structured transactions. Refer... securities. ...

  1. 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

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

  2. 17 CFR 229.1014 - (Item 1014) Fairness of the going-private transaction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 1014) Fairness of the going-private transaction. 229.1014 Section 229.1014 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES...

  3. 17 CFR 229.1004 - (Item 1004) Terms of the transaction.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...

  4. 17 CFR 229.1004 - (Item 1004) Terms of the transaction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...

  5. 17 CFR 229.1004 - (Item 1004) Terms of the transaction.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...

  6. Secure HL7 transactions using Internet mail (Internet draft).

    PubMed

    Schadow, Gunther; Tucker, Mark; Rishel, Wes

    2002-01-01

    The document describes the applicability of the Internet standardisation efforts on secure electronic data interchange (EDI) transactions for Health Level-7 (HL7), an EDI standard for Healthcare used world-wide. The document heavily relies on the work in progress by the IETF EDIINT working group. It is in most parts a restatement of the EDIINTs requirements document and application statement 1 (AS#1) tailored to the needs of the HL7 audience. The authors tried to make the document as self consistent as possible. The goal is to give to the reader who is not a security or Internet standards expert enough foundational and detail information to enable him to build communication software that complies to the Internet standards. Even though the authors rely on and promote the respective Internet standards and drafts, they did not withstand from commenting on and criticising the work where they see upcoming problems in use with HL7 or other EDI protocols that have not been in the initial focus of the EDIINT working group. The authors make suggestions to add parameters to the specification of the MIME type for EDI messages in RFC 1767 in order to enhance functionality. The authors give use cases for a larger subset of disposition types and modifiers of message disposition notifications. One key issue where the document goes beyond the current EDIINT drafts is the concept of non-repudiation of commitment to an EDI transaction. Secure EDI transactions should be regarded as "distributed contracts," i.e. not only the sending and receiving of single messages should be non-refutable but also the connection between messages interchanges. In anticipation of this requirement HL7 usually requires a response message to be sent to acknowledge every transaction. The authors therefore have the requirement to securely couple an EDI response message to its request message. Given the current shape of RFC 1767 this is generally possible only if a response message is coupled with an MDN receipt and the combination of both signed by the responder. The document describes a protocol to bundle MDN and response that uses the MIME multi-part/related content type in RFC 2112.

  7. 31 CFR 357.28 - Transaction requests.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... BONDS, NOTES AND BILLS HELD IN LEGACY TREASURY DIRECT Legacy Treasury Direct Book-Entry Securities System (Legacy Treasury Direct) § 357.28 Transaction requests. (a) General. Unless otherwise authorized... owner of the security. In addition to any required certification, a transaction request form executed by...

  8. 31 CFR 363.25 - How do I conduct transactions in my account or in Treasury securities held in my account?

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... securities held in my account? We will provide online instructions for conducting transactions through your account. If you are unable to conduct a transaction online, you should contact us at the address provided...

  9. 31 CFR 363.25 - How do I conduct transactions in my account or in Treasury securities held in my account?

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... securities held in my account? We will provide online instructions for conducting transactions through your account. If you are unable to conduct a transaction online, you should contact us at the address provided...

  10. 31 CFR 363.25 - How do I conduct transactions in my account or in Treasury securities held in my account?

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... securities held in my account? We will provide online instructions for conducting transactions through your account. If you are unable to conduct a transaction online, you should contact us at the address provided...

  11. 31 CFR 363.25 - How do I conduct transactions in my account or in Treasury securities held in my account?

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... securities held in my account? We will provide online instructions for conducting transactions through your account. If you are unable to conduct a transaction online, you should contact us at the address provided...

  12. 31 CFR 363.25 - How do I conduct transactions in my account or in Treasury securities held in my account?

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... securities held in my account? We will provide online instructions for conducting transactions through your account. If you are unable to conduct a transaction online, you should contact us at the address provided...

  13. 17 CFR 242.102 - Activities by issuers and selling security holders during a distribution.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... communications network; or (4) Exercises of securities. The exercise of any option, warrant, right, or any... communications network; or (7) Transactions in Rule 144A securities. Transactions in securities eligible for... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Activities by issuers and...

  14. 17 CFR 242.102 - Activities by issuers and selling security holders during a distribution.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... communications network; or (4) Exercises of securities. The exercise of any option, warrant, right, or any... communications network; or (7) Transactions in Rule 144A securities. Transactions in securities eligible for... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Activities by issuers and...

  15. 17 CFR 242.102 - Activities by issuers and selling security holders during a distribution.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... communications network; or (4) Exercises of securities. The exercise of any option, warrant, right, or any... communications network; or (7) Transactions in Rule 144A securities. Transactions in securities eligible for... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Activities by issuers and...

  16. 17 CFR 242.102 - Activities by issuers and selling security holders during a distribution.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... communications network; or (4) Exercises of securities. The exercise of any option, warrant, right, or any... communications network; or (7) Transactions in Rule 144A securities. Transactions in securities eligible for... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Activities by issuers and...

  17. 17 CFR 249.11 - Form R31 for reporting covered sales and covered round turn transactions under section 31 of the...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... sales and covered round turn transactions under section 31 of the Act. 249.11 Section 249.11 Commodity... Securities Exchanges § 249.11 Form R31 for reporting covered sales and covered round turn transactions under... number of round turn transactions in security futures that occurred on the exchange, had a charge date in...

  18. 17 CFR 249.11 - Form R31 for reporting covered sales and covered round turn transactions under section 31 of the...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... sales and covered round turn transactions under section 31 of the Act. 249.11 Section 249.11 Commodity... Securities Exchanges § 249.11 Form R31 for reporting covered sales and covered round turn transactions under... number of round turn transactions in security futures that occurred on the exchange, had a charge date in...

  19. 17 CFR 249.11 - Form R31 for reporting covered sales and covered round turn transactions under section 31 of the...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... sales and covered round turn transactions under section 31 of the Act. 249.11 Section 249.11 Commodity... Securities Exchanges § 249.11 Form R31 for reporting covered sales and covered round turn transactions under... number of round turn transactions in security futures that occurred on the exchange, had a charge date in...

  20. 17 CFR 249.11 - Form R31 for reporting covered sales and covered round turn transactions under section 31 of the...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... sales and covered round turn transactions under section 31 of the Act. 249.11 Section 249.11 Commodity... Securities Exchanges § 249.11 Form R31 for reporting covered sales and covered round turn transactions under... number of round turn transactions in security futures that occurred on the exchange, had a charge date in...

  1. 17 CFR 249.11 - Form R31 for reporting covered sales and covered round turn transactions under section 31 of the...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... sales and covered round turn transactions under section 31 of the Act. 249.11 Section 249.11 Commodity... Securities Exchanges § 249.11 Form R31 for reporting covered sales and covered round turn transactions under... number of round turn transactions in security futures that occurred on the exchange, had a charge date in...

  2. 17 CFR 229.1119 - (Item 1119) Affiliations and certain relationships and related transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... certain relationships and related transactions. 229.1119 Section 229.1119 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF... Asset-Backed Securities (Regulation AB) § 229.1119 (Item 1119) Affiliations and certain relationships...

  3. 17 CFR 229.1119 - (Item 1119) Affiliations and certain relationships and related transactions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... certain relationships and related transactions. 229.1119 Section 229.1119 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF... Asset-Backed Securities (Regulation AB) § 229.1119 (Item 1119) Affiliations and certain relationships...

  4. 17 CFR 229.1119 - (Item 1119) Affiliations and certain relationships and related transactions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... certain relationships and related transactions. 229.1119 Section 229.1119 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF... Asset-Backed Securities (Regulation AB) § 229.1119 (Item 1119) Affiliations and certain relationships...

  5. 17 CFR 229.1119 - (Item 1119) Affiliations and certain relationships and related transactions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... certain relationships and related transactions. 229.1119 Section 229.1119 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF... Asset-Backed Securities (Regulation AB) § 229.1119 (Item 1119) Affiliations and certain relationships...

  6. 17 CFR 229.1119 - (Item 1119) Affiliations and certain relationships and related transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... certain relationships and related transactions. 229.1119 Section 229.1119 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF... Asset-Backed Securities (Regulation AB) § 229.1119 (Item 1119) Affiliations and certain relationships...

  7. 17 CFR 210.3A-04 - Intercompany items and transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Financial Statements § 210.3A-04 Intercompany items and transactions. In general, there shall be eliminated intercompany items and transactions between persons included in the (a) consolidated financial statements being... FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES...

  8. The Health Insurance Portability and Accountability Act: security and privacy requirements.

    PubMed

    Tribble, D A

    2001-05-01

    The security and privacy requirements of the Health Insurance Portability and Accountability Act of 1996 (HIPAA) and their implications for pharmacy are discussed. HIPAA was enacted to improve the portability of health care insurance for persons leaving jobs. A section of the act encourages the use of electronic communications for health care claims adjudication, mandates the use of new standard code sets and transaction sets, and establishes the need for regulations to protect the security and privacy of individually identifiable health care information. Creating these regulations became the task of the Department of Health and Human Services. Regulations on security have been published for comment. Regulations on privacy and the definition of standard transaction sets and code sets are complete. National identifiers for patients, providers, and payers have not yet been established. The HIPAA regulations on security and privacy will require that pharmacies adopt policies and procedures that limit access to health care information. Existing pharmacy information systems may require upgrading or replacement. Costs of implementation nationwide are estimated to exceed $8 billion. The health care community has two years from the finalization of each regulation to comply with that regulation. The security and privacy requirements of HIPAA will require pharmacies to review their practices regarding the storage, use, and disclosure of protected health care information.

  9. A secured e-tendering modeling using misuse case approach

    NASA Astrophysics Data System (ADS)

    Mohd, Haslina; Robie, Muhammad Afdhal Muhammad; Baharom, Fauziah; Darus, Norida Muhd; Saip, Mohamed Ali; Yasin, Azman

    2016-08-01

    Major risk factors relating to electronic transactions may lead to destructive impacts on trust and transparency in the process of tendering. Currently, electronic tendering (e-tendering) systems still remain uncertain in issues relating to legal and security compliance and most importantly it has an unclear security framework. Particularly, the available systems are lacking in addressing integrity, confidentiality, authentication, and non-repudiation in e-tendering requirements. Thus, one of the challenges in developing an e-tendering system is to ensure the system requirements include the function for secured and trusted environment. Therefore, this paper aims to model a secured e-tendering system using misuse case approach. The modeling process begins with identifying the e-tendering process, which is based on the Australian Standard Code of Tendering (AS 4120-1994). It is followed by identifying security threats and their countermeasure. Then, the e-tendering was modelled using misuse case approach. The model can contribute to e-tendering developers and also to other researchers or experts in the e-tendering domain.

  10. Remote secure proof of identity using biometrics

    DOE Office of Scientific and Technical Information (OSTI.GOV)

    Sengupta, S. K.; Pearson, P.; Strait, R.S.

    1997-06-10

    Biometric measurements derived from finger- or voiceprints, hand geometry, retinal vessel pattern and iris texture characteristics etc. can be identifiers of individuals. In each case, the measurements can be coded into a statistically unique bit-string for each individual. While in electronic commerce and other electronic transactions the proof of identity of an individual is provided by the use of either public key cryptography or biometric data, more secure applications can be achieved by employing both. However the former requires the use of exact bit patterns. An error correction procedure allows us to successfully combine the use of both to providemore » a general procedure for remote secure proof of identity using a generic biometric device. One such procedure has been demonstrated using a device based on hand geometry.« less

  11. Electronic Commerce "in the dark"

    NASA Astrophysics Data System (ADS)

    Buzzi, Maria Claudia; Buzzi, Marina; Leporini, Barbara; Senette, Caterina

    The widespread diffusion of electronic commerce offers a great opportunity for blind people. We describe the results of an electronic survey carried out with 22 blind and 22 sighted users in order to understand the difficulties and obstacles they experience shopping on-line, and solicit their expectations and suggestions for making the interaction simpler and more satisfying. Results show that blind users shop on-line much less than their sighted counterparts, since they encounter more difficulties not only when making a purchase, but even in the navigation phase preceding the commercial transaction. Complex layouts and unstructured content can prevent an e-transaction from being successfully completed. Furthermore, security, privacy and trustiness, common concerns for all consumers, also impact on the fear of buying via Internet for the visually impaired. Poor usability leads to a potential loss of revenue for on-line companies and a lost opportunity to increase a blind person's independence. Providing simpler, more understandable UIs would benefit all users and fuel the expansion of electronic commerce.

  12. 17 CFR 247.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Exemption from the definition of âbrokerâ for banks engaging in securities lending transactions. 247.772 Section 247.772 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATION R-EXEMPTIONS AND...

  13. 17 CFR 247.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Exemption from the definition of âbrokerâ for banks engaging in securities lending transactions. 247.772 Section 247.772 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATION R-EXEMPTIONS AND...

  14. 17 CFR 247.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from the definition of âbrokerâ for banks engaging in securities lending transactions. 247.772 Section 247.772 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATION R-EXEMPTIONS AND...

  15. 17 CFR 247.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Exemption from the definition of âbrokerâ for banks engaging in securities lending transactions. 247.772 Section 247.772 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATION R-EXEMPTIONS AND...

  16. 17 CFR 247.772 - Exemption from the definition of “broker” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Exemption from the definition of âbrokerâ for banks engaging in securities lending transactions. 247.772 Section 247.772 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATION R-EXEMPTIONS AND...

  17. 17 CFR 240.3a44-1 - Proprietary government securities transactions incidental to the futures-related business of a...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Proprietary government securities transactions incidental to the futures-related business of a CFTC-regulated person. 240.3a44-1 Section 240.3a44-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED...

  18. 17 CFR 32.9 - Fraud in connection with commodity option transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Fraud in connection with commodity option transactions. 32.9 Section 32.9 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION TRANSACTIONS § 32.9 Fraud in connection with commodity...

  19. 17 CFR 33.10 - Fraud in connection with commodity option transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Fraud in connection with commodity option transactions. 33.10 Section 33.10 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS § 33.10 Fraud in...

  20. 77 FR 20692 - Agency Information Collection Activities: Proposed Information Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-05

    ... Transactions--12 CFR parts 12 and 151.'' DATES: You should submit comments by May 7, 2012. ADDRESSES... for Securities Transactions--12 CFR parts 12 and 151. OMB Number: 1557-0142. Description: This... and sell securities through banks. The transaction confirmation information provides customers with a...

  1. 17 CFR 5.3 - Registration of persons engaged in retail forex transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Registration of persons engaged in retail forex transactions. 5.3 Section 5.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.3 Registration of persons engaged in...

  2. 17 CFR 32.11 - Suspension of commodity option transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Suspension of commodity option... REGULATION OF COMMODITY OPTION TRANSACTIONS § 32.11 Suspension of commodity option transactions. (a... accept money, securities or property in connection with, the purchase or sale of any commodity option, or...

  3. 17 CFR 37.8 - Information relating to transactions on derivatives transaction execution facilities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... transactions on derivatives transaction execution facilities. 37.8 Section 37.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES TRANSACTION EXECUTION FACILITIES § 37.8 Information relating to transactions on derivatives transaction execution facilities. (a) Special calls for...

  4. Realization of Quantum Digital Signatures without the Requirement of Quantum Memory

    NASA Astrophysics Data System (ADS)

    Collins, Robert J.; Donaldson, Ross J.; Dunjko, Vedran; Wallden, Petros; Clarke, Patrick J.; Andersson, Erika; Jeffers, John; Buller, Gerald S.

    2014-07-01

    Digital signatures are widely used to provide security for electronic communications, for example, in financial transactions and electronic mail. Currently used classical digital signature schemes, however, only offer security relying on unproven computational assumptions. In contrast, quantum digital signatures offer information-theoretic security based on laws of quantum mechanics. Here, security against forging relies on the impossibility of perfectly distinguishing between nonorthogonal quantum states. A serious drawback of previous quantum digital signature schemes is that they require long-term quantum memory, making them impractical at present. We present the first realization of a scheme that does not need quantum memory and which also uses only standard linear optical components and photodetectors. In our realization, the recipients measure the distributed quantum signature states using a new type of quantum measurement, quantum state elimination. This significantly advances quantum digital signatures as a quantum technology with potential for real applications.

  5. Realization of quantum digital signatures without the requirement of quantum memory.

    PubMed

    Collins, Robert J; Donaldson, Ross J; Dunjko, Vedran; Wallden, Petros; Clarke, Patrick J; Andersson, Erika; Jeffers, John; Buller, Gerald S

    2014-07-25

    Digital signatures are widely used to provide security for electronic communications, for example, in financial transactions and electronic mail. Currently used classical digital signature schemes, however, only offer security relying on unproven computational assumptions. In contrast, quantum digital signatures offer information-theoretic security based on laws of quantum mechanics. Here, security against forging relies on the impossibility of perfectly distinguishing between nonorthogonal quantum states. A serious drawback of previous quantum digital signature schemes is that they require long-term quantum memory, making them impractical at present. We present the first realization of a scheme that does not need quantum memory and which also uses only standard linear optical components and photodetectors. In our realization, the recipients measure the distributed quantum signature states using a new type of quantum measurement, quantum state elimination. This significantly advances quantum digital signatures as a quantum technology with potential for real applications.

  6. 75 FR 34179 - Prohibited Transaction Exemptions: Morgan Stanley & Co., Inc. and Its Current and Future...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-16

    ... DEPARTMENT OF LABOR Employee Benefits Security Administration Prohibited Transaction Exemptions... Fund; Correction AGENCY: Employee Benefits Security Administration, Department of Labor (the Department... of Exemption Determinations, Employee Benefits Security Administration, U.S. Department of Labor...

  7. 17 CFR 239.23 - Form N-14, for the registration of securities issued in business combination transactions by...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... registration of securities issued in business combination transactions by investment companies and business development companies. 239.23 Section 239.23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... companies and business development companies. This form shall be used by a registered investment company or...

  8. 17 CFR 230.165 - Offers made in connection with a business combination transaction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Offers made in connection with a business combination transaction. 230.165 Section 230.165 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.165...

  9. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  10. 17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up...

  11. 17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up...

  12. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  13. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  14. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  15. 17 CFR 229.1013 - (Item 1013) Purposes, alternatives, reasons and effects in a going-private transaction.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...

  16. 17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up...

  17. 17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up...

  18. 17 CFR 240.31 - Section 31 transaction fees.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... of a security future settled by physical delivery) or covered round turn transaction that a covered... resulting from the maturation of a security future settled by physical delivery; and (iv) The trade date.... (6) Covered sale means a sale of a security, other than an exempt sale or a sale of a security future...

  19. 17 CFR 240.16a-3 - Reporting transactions and holdings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Act, except: (A) Exercises and conversions of derivative securities exempt under either § 240.16b-3 or... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Reporting transactions and holdings. 240.16a-3 Section 240.16a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  20. 17 CFR 240.19c-1 - Governing certain off-board agency transactions by members of national securities exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Governing certain off-board agency transactions by members of national securities exchanges. 240.19c-1 Section 240.19c-1 Commodity... members of national securities exchanges. The rules of each national securities exchange shall provide as...

  1. 17 CFR 247.741 - Exemption for banks effecting transactions in money market funds.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... transactions in money market funds. 247.741 Section 247.741 Commodity and Securities Exchanges SECURITIES AND... FROM THE DEFINITION OF BROKER § 247.741 Exemption for banks effecting transactions in money market... issued by a money market fund, provided that: (1) The bank either (i) Provides the customer, directly or...

  2. 17 CFR 247.741 - Exemption for banks effecting transactions in money market funds.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... transactions in money market funds. 247.741 Section 247.741 Commodity and Securities Exchanges SECURITIES AND... FROM THE DEFINITION OF BROKER § 247.741 Exemption for banks effecting transactions in money market... issued by a money market fund, provided that: (1) The bank either (i) Provides the customer, directly or...

  3. 17 CFR 240.16a-7 - Transactions effected in connection with a distribution.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... good faith in the distribution of such block of securities; or (ii) A security purchased in good faith... the transaction is engaged in the business of distributing securities and is participating in good faith, in the ordinary course of such business, in the distribution of such block of securities; and (2...

  4. 12 CFR 208.34 - Recordkeeping and confirmation of certain securities transactions effected by State member banks.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... reflect appropriate information and provide an adequate basis for an audit of the information. (b... when the bank transfers the security into the account of the customer; and (ii) For sale transactions, the time when the bank transfers the security out of the account of the customer or, if the security...

  5. 12 CFR 344.7 - Settlement of securities transactions.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... of securities transactions. (a) A bank shall not effect or enter into a contract for the purchase or... for payment of funds and delivery of securities later than the third business day after the date of... offering. A bank shall not effect or enter into a contract for the purchase or sale of the securities that...

  6. 75 FR 64372 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63095; File No. SR-MSRB-2010-10] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Consisting of Amendments to Rule A-13 To Increase Transaction Assessments for Certain Municipal Securities Transactions Reported to the Board and To...

  7. 78 FR 62788 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... fees for real- time and historic data sets of transactions in TRACE-Eligible Securities \\5\\ that are... data sets; and (3) make other technical amendments. \\5\\ The term TRACE-Eligible Security is defined in... transactions and to establish real-time and historic data sets for Rule 144A transactions. The effective date...

  8. 17 CFR 240.17a-8 - Financial recordkeeping and reporting of currency and foreign transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Financial recordkeeping and reporting of currency and foreign transactions. 240.17a-8 Section 240.17a-8 Commodity and Securities... currency and foreign transactions. Every registered broker or dealer who is subject to the requirements of...

  9. 17 CFR 240.17a-8 - Financial recordkeeping and reporting of currency and foreign transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Financial recordkeeping and reporting of currency and foreign transactions. 240.17a-8 Section 240.17a-8 Commodity and Securities... currency and foreign transactions. Every registered broker or dealer who is subject to the requirements of...

  10. 17 CFR 32.13 - Exemption from prohibition of commodity option transactions for trade options on certain...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Exemption from prohibition of commodity option transactions for trade options on certain agricultural commodities. 32.13 Section 32.13 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION TRANSACTIONS § 32.13 Exemption from...

  11. 26 CFR 53.4941(d)-4 - Transitional rules.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Transitional rules. (a) Certain transactions involving securities acquired by a foundation before May 27, 1969... of self-dealing if such transaction is pursuant to the terms of securities of such corporation, if such terms were in existence at the time such securities were acquired by the foundation, and if such...

  12. 17 CFR 405.4 - Financial recordkeeping and reporting of currency and foreign transactions by registered...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Financial recordkeeping and reporting of currency and foreign transactions by registered government securities brokers and dealers. 405.4 Section 405.4 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER...

  13. 17 CFR 405.4 - Financial recordkeeping and reporting of currency and foreign transactions by registered...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Financial recordkeeping and reporting of currency and foreign transactions by registered government securities brokers and dealers. 405.4 Section 405.4 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER...

  14. 31 CFR 1023.310 - Reports of transactions in currency.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in Securities § 1023.310 Reports of transactions... securities are located in subpart C of part 1010 of this chapter and this subpart. ...

  15. 31 CFR 1023.310 - Reports of transactions in currency.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in Securities § 1023.310 Reports of transactions... securities are located in subpart C of part 1010 of this chapter and this subpart. ...

  16. 31 CFR 1023.320 - Reports by brokers or dealers in securities of suspicious transactions.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... securities of suspicious transactions. 1023.320 Section 1023.320 Money and Finance: Treasury Regulations Relating to Money and Finance (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in...

  17. 31 CFR 1023.310 - Reports of transactions in currency.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in Securities § 1023.310 Reports of transactions... securities are located in subpart C of part 1010 of this chapter and this subpart. ...

  18. 31 CFR 1023.320 - Reports by brokers or dealers in securities of suspicious transactions.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... securities of suspicious transactions. 1023.320 Section 1023.320 Money and Finance: Treasury Regulations Relating to Money and Finance (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in...

  19. 31 CFR 1023.320 - Reports by brokers or dealers in securities of suspicious transactions.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... securities of suspicious transactions. 1023.320 Section 1023.320 Money and Finance: Treasury Regulations Relating to Money and Finance (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in...

  20. 31 CFR 1023.320 - Reports by brokers or dealers in securities of suspicious transactions.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... securities of suspicious transactions. 1023.320 Section 1023.320 Money and Finance: Treasury Regulations Relating to Money and Finance (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in...

  1. 31 CFR 1023.310 - Reports of transactions in currency.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in Securities § 1023.310 Reports of transactions... securities are located in subpart C of part 1010 of this chapter and this subpart. ...

  2. 17 CFR 37.2 - Exemption.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES TRANSACTION EXECUTION FACILITIES § 37.2 Exemption. Contracts, agreements or transactions traded on a derivatives transaction... derivatives transaction execution facilities. [71 FR 37822, July 3, 2006] ...

  3. 12 CFR 218.741 - Exemption for banks effecting transactions in money market funds.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... of deposit funds of, or collected by, the other bank; and (2)(i) The class or series of securities is no-load; or (ii) If the class or series of securities is not no-load (A) The bank or, if applicable... at the time the customer authorizes the securities transactions, a prospectus for the securities; and...

  4. 12 CFR 218.741 - Exemption for banks effecting transactions in money market funds.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... of deposit funds of, or collected by, the other bank; and (2)(i) The class or series of securities is no-load; or (ii) If the class or series of securities is not no-load (A) The bank or, if applicable... at the time the customer authorizes the securities transactions, a prospectus for the securities; and...

  5. 31 CFR 370.1 - What special terms do I need to know to understand this part?

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    .... 3101). Investor account is our record of your TreasuryDirect holdings, including a list of your total... ELECTRONIC TRANSACTIONS AND FUNDS TRANSFERS RELATING TO UNITED STATES SECURITIES General Information § 370.1... payment of money to a deposit account. Debit entry means an ACH entry for the collection of money from a...

  6. 31 CFR 363.22 - Who has the right to conduct online transactions in book-entry securities?

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 31 Money and Finance: Treasury 2 2014-07-01 2014-07-01 false Who has the right to conduct online transactions in book-entry securities? 363.22 Section 363.22 Money and Finance: Treasury Regulations Relating... Held in TreasuryDirect § 363.22 Who has the right to conduct online transactions in book-entry...

  7. The impact of transaction trust on consumers' intentions to adopt m-commerce: a cross-cultural investigation.

    PubMed

    Kao, Danny Tengti

    2009-04-01

    Mobile commerce (M-commerce) has been acknowledged as one of the most representative transaction types driving e-commerce worldwide; however, the potential security threats that keep consumers from M-commerce still confound the M-commerce industry. This research attempts to explore two questions: What are the dimensions of transaction trust that may significantly affect consumers' intentions to adopt M-commerce, and what are the cultural dimensions that may significantly moderate the impact of transaction trust on consumers' intentions to adopt M-commerce? A research framework based on the BATE model and Hofstede's cultural dimensions was established to identify how transaction trust and cultural value affect consumers' intentions to adopt M-commerce. Results revealed that transaction trust significantly affects consumers' intentions to adopt M-commerce. However, while uncertainty avoidance moderates the impacts of business trust and security on consumers' intentions of M-commerce adoption, both individualism/collectivism and long-term/short-term orientation moderate the relationship between security trust and consumers' intentions of M-commerce adoption.

  8. 18 CFR 33.1 - Applicability, definitions, and blanket authorizations.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... transactions between affiliated companies, value means market value if the securities are widely traded, in... securities are being traded at the time the transaction occurs; if the securities are not widely traded... Office of the Comptroller of the Currency, under the Bank Holding Company Act of 1956 as amended by the...

  9. 76 FR 33388 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-08

    ... rule change related to FINRA's Trading Activity Fee (``TAF'') for transactions in Covered Securities... Schedule A to the FINRA By-Laws to adjust the rate of FINRA's TAF for transactions in Covered Securities... subject to Municipal Securities Rulemaking Board reporting requirements. The rules governing the TAF also...

  10. 17 CFR 240.3a5-3 - Exemption from the definition of “dealer” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ..., corporate action, recordkeeping or other services incidental to the administration of the securities lending... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from the definition of âdealerâ for banks engaging in securities lending transactions. 240.3a5-3 Section 240.3a5-3...

  11. 17 CFR 240.3a5-3 - Exemption from the definition of “dealer” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ..., corporate action, recordkeeping or other services incidental to the administration of the securities lending... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Exemption from the definition of âdealerâ for banks engaging in securities lending transactions. 240.3a5-3 Section 240.3a5-3...

  12. 17 CFR 240.3a5-3 - Exemption from the definition of “dealer” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ..., corporate action, recordkeeping or other services incidental to the administration of the securities lending... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Exemption from the definition of âdealerâ for banks engaging in securities lending transactions. 240.3a5-3 Section 240.3a5-3...

  13. 17 CFR 240.3a5-3 - Exemption from the definition of “dealer” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ..., corporate action, recordkeeping or other services incidental to the administration of the securities lending... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Exemption from the definition of âdealerâ for banks engaging in securities lending transactions. 240.3a5-3 Section 240.3a5-3...

  14. 17 CFR 240.3a5-3 - Exemption from the definition of “dealer” for banks engaging in securities lending transactions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ..., corporate action, recordkeeping or other services incidental to the administration of the securities lending... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Exemption from the definition of âdealerâ for banks engaging in securities lending transactions. 240.3a5-3 Section 240.3a5-3...

  15. 17 CFR 240.11a2-2(T) - Transactions effected by exchange members through other members.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Transactions effected by exchange members through other members. 240.11a2-2(T) Section 240.11a2-2(T) Commodity and Securities... Regulation (rule 11a-1) § 240.11a2-2(T) Transactions effected by exchange members through other members. (a...

  16. 17 CFR 240.11a2-2(T) - Transactions effected by exchange members through other members.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Transactions effected by exchange members through other members. 240.11a2-2(T) Section 240.11a2-2(T) Commodity and Securities... Regulation (rule 11a-1) § 240.11a2-2(T) Transactions effected by exchange members through other members. (a...

  17. 17 CFR 240.11a1-6 - Transactions for certain accounts of OTC derivatives dealers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... accounts of OTC derivatives dealers. 240.11a1-6 Section 240.11a1-6 Commodity and Securities Exchanges... (rule 11a-1) § 240.11a1-6 Transactions for certain accounts of OTC derivatives dealers. A transaction effected by a member of a national securities exchange for the account of an OTC derivatives dealer that is...

  18. The research on electronic commerce security payment system based on set protocol

    NASA Astrophysics Data System (ADS)

    Guo, Hongliang

    2012-04-01

    With the rapid development of network technology, online transactions have become more and more common. In this paper, we firstly introduce the principle and the basic principal and technical foundation of SET, and then we analyze the progress of designing a system in the foundation of the procedure of the electronic business based on SET. On this basis, we design a system of the Payment System for Electronic Business. It will not only take on crucial realism signification for large-scale, medium-sized and mini-type corporations, but also provide guide meaning with programmer and design-developer to realize Electronic Commerce (EC).

  19. 75 FR 63883 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-18

    ... the MSRB's Real-time Transaction Reporting System (``RTRS''). The proposed rule change consists of fee changes to the MSRB's Real-Time Transaction Price Service and Comprehensive Transaction Price Service of... Consisting of Fee Changes to Its Real-Time Transaction Price Service and Comprehensive Transaction Price...

  20. Secure and Trustable Electronic Medical Records Sharing using Blockchain.

    PubMed

    Dubovitskaya, Alevtina; Xu, Zhigang; Ryu, Samuel; Schumacher, Michael; Wang, Fusheng

    2017-01-01

    Electronic medical records (EMRs) are critical, highly sensitive private information in healthcare, and need to be frequently shared among peers. Blockchain provides a shared, immutable and transparent history of all the transactions to build applications with trust, accountability and transparency. This provides a unique opportunity to develop a secure and trustable EMR data management and sharing system using blockchain. In this paper, we present our perspectives on blockchain based healthcare data management, in particular, for EMR data sharing between healthcare providers and for research studies. We propose a framework on managing and sharing EMR data for cancer patient care. In collaboration with Stony Brook University Hospital, we implemented our framework in a prototype that ensures privacy, security, availability, and fine-grained access control over EMR data. The proposed work can significantly reduce the turnaround time for EMR sharing, improve decision making for medical care, and reduce the overall cost.

  1. Secure and Trustable Electronic Medical Records Sharing using Blockchain

    PubMed Central

    Dubovitskaya, Alevtina; Xu, Zhigang; Ryu, Samuel; Schumacher, Michael; Wang, Fusheng

    2017-01-01

    Electronic medical records (EMRs) are critical, highly sensitive private information in healthcare, and need to be frequently shared among peers. Blockchain provides a shared, immutable and transparent history of all the transactions to build applications with trust, accountability and transparency. This provides a unique opportunity to develop a secure and trustable EMR data management and sharing system using blockchain. In this paper, we present our perspectives on blockchain based healthcare data management, in particular, for EMR data sharing between healthcare providers and for research studies. We propose a framework on managing and sharing EMR data for cancer patient care. In collaboration with Stony Brook University Hospital, we implemented our framework in a prototype that ensures privacy, security, availability, and fine-grained access control over EMR data. The proposed work can significantly reduce the turnaround time for EMR sharing, improve decision making for medical care, and reduce the overall cost. PMID:29854130

  2. Designing Secure Systems on Reconfigurable Hardware

    DTIC Science & Technology

    2008-07-01

    Jeff White Department of Electrical and Computer Engineering University of California, Santa Barbara Santa Barbara, CA 93106 {nick callegari,valamehr...ece.ucsb.edu, jdwhite08@engineering.ucsb.edu Ryan Kastner Department of Computer Science and Engineering University of California, San Diego La Jolla...Transactions on Design Automation of Electronic Systems (TODAES), Vol. 13, No. 3, July 2008, 1-24 14. ABSTRACT see report 15. SUBJECT TERMS 16

  3. 75 FR 22673 - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-29

    ... remove any potential cloud on the jurisdictional status of options or security futures on ETFS Palladium... that are affected by this approval order are essentially the same as the options and security futures... securities transactions and derivative transactions.\\6\\ By amending its By-Laws to help clarify that options...

  4. 12 CFR 16.32 - Fraudulent transactions and unsafe and unsound practices.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... operates as a fraud or deceit upon any person, in connection with the purchase or sale of any security of a... SECURITIES OFFERING DISCLOSURE RULES § 16.32 Fraudulent transactions and unsafe and unsound practices. (a) No person in the offer or sale of bank securities shall directly or indirectly: (1) Employ any device...

  5. Secured Transactions: An Integrated Classroom Approach Using Financial Statements and Acronyms

    ERIC Educational Resources Information Center

    Seganish, W. Michael

    2005-01-01

    Students struggle with the subject of secured transactions under the Uniform Commercial Code. In this article, the author presents a method that uses balance-sheet information to help students visualize the difference between secured and unsecured creditors. The balance sheet is also used in the Uniform Commercial Code process, in which one must…

  6. 17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... with their existing business plans, including the effects of such continuation and the material risks... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 908) Reasons for and alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES...

  7. Cryptographic framework for document-objects resulting from multiparty collaborative transactions.

    PubMed

    Goh, A

    2000-01-01

    Multiparty transactional frameworks--i.e. Electronic Data Interchange (EDI) or Health Level (HL) 7--often result in composite documents which can be accurately modelled using hyperlinked document-objects. The structural complexity arising from multiauthor involvement and transaction-specific sequencing would be poorly handled by conventional digital signature schemes based on a single evaluation of a one-way hash function and asymmetric cryptography. In this paper we outline the generation of structure-specific authentication hash-trees for the the authentication of transactional document-objects, followed by asymmetric signature generation on the hash-tree value. Server-side multi-client signature verification would probably constitute the single most compute-intensive task, hence the motivation for our usage of the Rabin signature protocol which results in significantly reduced verification workloads compared to the more commonly applied Rivest-Shamir-Adleman (RSA) protocol. Data privacy is handled via symmetric encryption of message traffic using session-specific keys obtained through key-negotiation mechanisms based on discrete-logarithm cryptography. Individual client-to-server channels can be secured using a double key-pair variation of Diffie-Hellman (DH) key negotiation, usage of which also enables bidirectional node authentication. The reciprocal server-to-client multicast channel is secured through Burmester-Desmedt (BD) key-negotiation which enjoys significant advantages over the usual multiparty extensions to the DH protocol. The implementation of hash-tree signatures and bi/multidirectional key negotiation results in a comprehensive cryptographic framework for multiparty document-objects satisfying both authentication and data privacy requirements.

  8. 17 CFR 37.9 - Enforceability.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Enforceability. 37.9 Section 37.9 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES TRANSACTION... pursuant to the rules of, a registered derivatives transaction execution facility shall not be void...

  9. 17 CFR 240.11a1-6 - Transactions for certain accounts of OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Transactions for certain accounts of OTC derivatives dealers. 240.11a1-6 Section 240.11a1-6 Commodity and Securities Exchanges... effected by a member of a national securities exchange for the account of an OTC derivatives dealer that is...

  10. 12 CFR 220.2 - Definitions.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... the United States, or money market mutual funds. Covered option transaction means any transaction... than brokers, dealers, and persons associated with a broker or dealer. Exempted securities mutual fund... mutual fund means any security issued by an investment company registered under section 8 of the...

  11. 17 CFR 240.11a1-1(T) - Transactions yielding priority, parity, and precedence.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ..., parity, and precedence. 240.11a1-1(T) Section 240.11a1-1(T) Commodity and Securities Exchanges SECURITIES... (rule 11a-1) § 240.11a1-1(T) Transactions yielding priority, parity, and precedence. (a) A transaction... section 11(a)(1) of the Act or specified in 17 CFR 240.11a1-4(T) shall be deemed to be revenue derived...

  12. 17 CFR 240.11a1-1(T) - Transactions yielding priority, parity, and precedence.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ..., parity, and precedence. 240.11a1-1(T) Section 240.11a1-1(T) Commodity and Securities Exchanges SECURITIES... (rule 11a-1) § 240.11a1-1(T) Transactions yielding priority, parity, and precedence. (a) A transaction... section 11(a)(1) of the Act or specified in 17 CFR 240.11a1-4(T) shall be deemed to be revenue derived...

  13. 17 CFR 31.17 - Records of leverage transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Records of leverage... LEVERAGE TRANSACTIONS § 31.17 Records of leverage transactions. (a) Each leverage transaction merchant receiving a leverage customer's order shall immediately upon receipt thereof prepare a written record of...

  14. AES Cardless Automatic Teller Machine (ATM) Biometric Security System Design Using FPGA Implementation

    NASA Astrophysics Data System (ADS)

    Ahmad, Nabihah; Rifen, A. Aminurdin M.; Helmy Abd Wahab, Mohd

    2016-11-01

    Automated Teller Machine (ATM) is an electronic banking outlet that allows bank customers to complete a banking transactions without the aid of any bank official or teller. Several problems are associated with the use of ATM card such card cloning, card damaging, card expiring, cast skimming, cost of issuance and maintenance and accessing customer account by third parties. The aim of this project is to give a freedom to the user by changing the card to biometric security system to access the bank account using Advanced Encryption Standard (AES) algorithm. The project is implemented using Field Programmable Gate Array (FPGA) DE2-115 board with Cyclone IV device, fingerprint scanner, and Multi-Touch Liquid Crystal Display (LCD) Second Edition (MTL2) using Very High Speed Integrated Circuit Hardware (VHSIC) Description Language (VHDL). This project used 128-bits AES for recommend the device with the throughput around 19.016Gbps and utilized around 520 slices. This design offers a secure banking transaction with a low rea and high performance and very suited for restricted space environments for small amounts of RAM or ROM where either encryption or decryption is performed.

  15. A Novel Image Steganography Technique for Secured Online Transaction Using DWT and Visual Cryptography

    NASA Astrophysics Data System (ADS)

    Anitha Devi, M. D.; ShivaKumar, K. B.

    2017-08-01

    Online payment eco system is the main target especially for cyber frauds. Therefore end to end encryption is very much needed in order to maintain the integrity of secret information related to transactions carried online. With access to payment related sensitive information, which enables lot of money transactions every day, the payment infrastructure is a major target for hackers. The proposed system highlights, an ideal approach for secure online transaction for fund transfer with a unique combination of visual cryptography and Haar based discrete wavelet transform steganography technique. This combination of data hiding technique reduces the amount of information shared between consumer and online merchant needed for successful online transaction along with providing enhanced security to customer’s account details and thereby increasing customer’s confidence preventing “Identity theft” and “Phishing”. To evaluate the effectiveness of proposed algorithm Root mean square error, Peak signal to noise ratio have been used as evaluation parameters

  16. 17 CFR 200.735-5 - Securities transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Service position in the Division of Investment Management or the Office of Compliance Inspections and... the Division of Investment Management and the Office of Compliance Inspections and Examinations, in... cause to be effected any transaction in a security except for bona fide investment purposes. Therefore...

  17. 76 FR 42769 - Recordkeeping and Confirmation Requirements for Securities Transactions

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-19

    ... DEPARTMENT OF THE TREASURY Office of Thrift Supervision Recordkeeping and Confirmation Requirements for Securities Transactions AGENCY: Office of Thrift Supervision (OTS), Treasury. ACTION: Notice... 1995, 44 U.S.C. 3507. The Office of Thrift Supervision within the Department of the Treasury will...

  18. Blockchain: A Path to Grid Modernization and Cyber Resiliency

    DOE Office of Scientific and Technical Information (OSTI.GOV)

    Mylrea, Michael E.; Gourisetti, Sri Nikhil G.

    Blockchain may help solve several complex problems related to integrity and trustworthiness of rapid, distributed, complex energy transactions and data exchanges. In a move towards resilience, blockchain commoditizes trust and enables automated smart contracts to support auditable multiparty transactions based on predefined rules between distributed energy providers and customers. Blockchain based smart contracts also help remove the need to interact with third-parties, facilitating the adoption and monetization of distributed energy transactions and exchanges, both energy flows as well as financial transactions. This may help reduce transactive energy costs and increase the security and sustainability of distributed energy resource (DER) integration,more » helping to remove barriers to a more decentralized and resilient power grid. This paper explores the application of blockchain and smart contracts to improve smart grid cyber resiliency and secure transactive energy applications.« less

  19. Defining ’Anonymity’ in Networked Communication, Version 1

    DTIC Science & Technology

    2011-12-01

    conference that features many current works on anonymity [5]. 7. References [1] D . Chaum , “Security without Identification: Transaction Systems...to make Big Brother Obsolete,” Communications of the ACM 28:10 (1985), pp. 1030-1044. [2] D . Chaum , “The Dining Cryptographers Problem: Unconditional...Sender and Recipient Untraceability,” Journal of Cryptology 1:1 (1988), pp. 65-75. [3] D . Chaum , “Untraceable Electronic Mail, Return Addresses

  20. 17 CFR 229.1005 - (Item 1005) Past contacts, transactions, negotiations and agreements.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ..., transactions, negotiations and agreements. 229.1005 Section 229.1005 Commodity and Securities Exchanges... Acquisitions (Regulation M-A) § 229.1005 (Item 1005) Past contacts, transactions, negotiations and agreements... events. Describe any negotiations, transactions or material contacts during the past two years between...

  1. 17 CFR 229.1005 - (Item 1005) Past contacts, transactions, negotiations and agreements.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ..., transactions, negotiations and agreements. 229.1005 Section 229.1005 Commodity and Securities Exchanges... Acquisitions (Regulation M-A) § 229.1005 (Item 1005) Past contacts, transactions, negotiations and agreements... events. Describe any negotiations, transactions or material contacts during the past two years between...

  2. 17 CFR 229.1005 - (Item 1005) Past contacts, transactions, negotiations and agreements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ..., transactions, negotiations and agreements. 229.1005 Section 229.1005 Commodity and Securities Exchanges... Acquisitions (Regulation M-A) § 229.1005 (Item 1005) Past contacts, transactions, negotiations and agreements... events. Describe any negotiations, transactions or material contacts during the past two years between...

  3. 17 CFR 229.1005 - (Item 1005) Past contacts, transactions, negotiations and agreements.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ..., transactions, negotiations and agreements. 229.1005 Section 229.1005 Commodity and Securities Exchanges... Acquisitions (Regulation M-A) § 229.1005 (Item 1005) Past contacts, transactions, negotiations and agreements... events. Describe any negotiations, transactions or material contacts during the past two years between...

  4. 17 CFR 229.1005 - (Item 1005) Past contacts, transactions, negotiations and agreements.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ..., transactions, negotiations and agreements. 229.1005 Section 229.1005 Commodity and Securities Exchanges... Acquisitions (Regulation M-A) § 229.1005 (Item 1005) Past contacts, transactions, negotiations and agreements... events. Describe any negotiations, transactions or material contacts during the past two years between...

  5. 17 CFR 30.9 - Fraudulent transactions prohibited.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... prohibited. 30.9 Section 30.9 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS § 30.9 Fraudulent transactions prohibited. It shall be unlawful... foreign futures contract or foreign options transaction: (a) To cheat or defraud or attempt to cheat or...

  6. Blockchain for Smart Grid Resilience: Exchanging Distributed Energy at Speed, Scale and Security

    DOE Office of Scientific and Technical Information (OSTI.GOV)

    Mylrea, Michael E.; Gourisetti, Sri Nikhil Gup

    Blockchain may help solve several complex problems related to integrity and trustworthiness of rapid, distributed, complex energy transactions and data exchanges. In a move towards resilience, blockchain commoditizes trust and enables automated smart contracts to support auditable multiparty transactions based on predefined rules between distributed energy providers and customers. Blockchain based smart contracts also help remove the need to interact with third-parties, facilitating the adoption and monetization of distributed energy transactions and exchanges, both energy flows as well as financial transactions. This may help reduce transactive energy costs and increase the security and sustainability of distributed energy resource (DER) integration,more » helping to remove barriers to a more decentralized and resilient power grid.« less

  7. HIPAA brings new requirements, new opportunities.

    PubMed

    Moynihan, J J; McLure, M L

    2000-03-01

    The passage of the Health Insurance Portability and Accountability Act of 1996 (HIPAA) brought with it the need for Federal rules to implement the act's simplification and cost-reduction efforts. HHS has published proposed rules related to security for the electronic transmission of health information, privacy of individually identifiable health information, transactions and code sets, and national provider and employer identifiers. Additional proposed rules will be published this year for claims attachments and health plan identifiers. Although HIPAA does not require providers to conduct business electronically, the new standards give providers the opportunity to reduce healthcare administrative costs significantly and undertake electronic commerce efficiently and cost-effectively.

  8. 75 FR 59751 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-28

    ... entitled ``Brokerage Transactions on a Securities Exchange.'' The rule governs the remuneration that a... securities transactions by the fund. The rule requires a fund's board of directors to establish, and review as necessary, procedures reasonably designed to provide that the remuneration to an affiliated broker...

  9. 77 FR 6615 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-08

    ... reporting requirements. Thus, concurrently with the elimination of the intermediate dealer reporting...-Time Transaction Reporting System February 2, 2012. Pursuant to Section 19(b)(1) of the Securities... the Real-Time Transaction Reporting System (``RTRS'') information system and subscription service (the...

  10. 12 CFR 555.310 - How do I notify OTS?

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ...) Describe the transactional web site. (2) Indicate the date the transactional web site will become operational. (3) List a contact familiar with the deployment, operation, and security of the transactional web site. (b) Transition provision. If you established a transactional web site after the date of your last...

  11. 75 FR 72850 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-26

    ... relating to the MSRB's Real-time Transaction Reporting System (``RTRS''). The proposed rule change was... Change Consisting of Fee Changes to Its Real-Time Transaction Price Service and Comprehensive Transaction... change consists of fee changes to the MSRB's Real-Time Transaction Price Service and Comprehensive...

  12. 12 CFR 155.310 - How do I notify the OCC?

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... least 30 days before you establish a transactional Web site. The notice must do three things: (a) Describe the transactional web site. (b) Indicate the date the transactional web site will become operational. (c) List a contact familiar with the deployment, operation, and security of the transactional web...

  13. 12 CFR 390.222 - How do I notify FDIC?

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 30 days before you establish a transactional Web site. The notice must do three things: (1) Describe the transactional Web site. (2) Indicate the date the transactional Web site will become operational. (3) List a contact familiar with the deployment, operation, and security of the transactional Web...

  14. 12 CFR 555.310 - How do I notify OTS?

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ...) Describe the transactional web site. (2) Indicate the date the transactional web site will become operational. (3) List a contact familiar with the deployment, operation, and security of the transactional web site. (b) Transition provision. If you established a transactional web site after the date of your last...

  15. 12 CFR 390.222 - How do I notify FDIC?

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 30 days before you establish a transactional Web site. The notice must do three things: (1) Describe the transactional Web site. (2) Indicate the date the transactional Web site will become operational. (3) List a contact familiar with the deployment, operation, and security of the transactional Web...

  16. 12 CFR 555.310 - How do I notify OTS?

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ...) Describe the transactional web site. (2) Indicate the date the transactional web site will become operational. (3) List a contact familiar with the deployment, operation, and security of the transactional web site. (b) Transition provision. If you established a transactional web site after the date of your last...

  17. 12 CFR 155.310 - How do I notify the OCC?

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... least 30 days before you establish a transactional Web site. The notice must do three things: (a) Describe the transactional web site. (b) Indicate the date the transactional web site will become operational. (c) List a contact familiar with the deployment, operation, and security of the transactional web...

  18. 12 CFR 555.310 - How do I notify OTS?

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ...) Describe the transactional web site. (2) Indicate the date the transactional web site will become operational. (3) List a contact familiar with the deployment, operation, and security of the transactional web site. (b) Transition provision. If you established a transactional web site after the date of your last...

  19. 12 CFR 390.222 - How do I notify FDIC?

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 30 days before you establish a transactional Web site. The notice must do three things: (1) Describe the transactional Web site. (2) Indicate the date the transactional Web site will become operational. (3) List a contact familiar with the deployment, operation, and security of the transactional Web...

  20. 12 CFR 155.310 - How do I notify the OCC?

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... least 30 days before you establish a transactional Web site. The notice must do three things: (a) Describe the transactional web site. (b) Indicate the date the transactional web site will become operational. (c) List a contact familiar with the deployment, operation, and security of the transactional web...

  1. 76 FR 67519 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-01

    ... Expand the Applicability of the Fails Charge to Agency Debt Securities Transactions October 26, 2011... the fails charge to Agency debt securities transactions. II. Self-Regulatory Organization's Statement... Federal Reserve Bank of New York (the ``FRBNY''), has been addressing the persistent settlement fails in...

  2. 17 CFR 4.32 - Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Trading on a Registered... Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS Commodity Trading Advisors § 4.32 Trading on a Registered Derivatives Transaction Execution...

  3. 17 CFR 4.32 - Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Trading on a Registered... Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS Commodity Trading Advisors § 4.32 Trading on a Registered Derivatives Transaction Execution...

  4. Design and Analysis of A Multi-Backend Database System for Performance Improvement, Functionality Expansion and Capacity Growth. Part II.

    DTIC Science & Technology

    1981-08-01

    of Transactions ..... . 29 5.5.2 Attached Execution of Transactions ........ ... 29 5.5.3 The Choice of Transaction Execution for Access Control...basic access control mech- anism for statistical security and value-dependent security. In Section 5.5, * we describe the process of execution of ...the process of request execution with access control for in- sert and non-insert requests in MDBS. We recall again (see Chapter 4) that the process

  5. 76 FR 18255 - Amendment to Prohibited Transaction Exemption (PTE) 96-23 for Plan Asset Transactions Determined...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-01

    ... Determined by In-House Asset Managers Agency: Employee Benefits Security Administration, Labor. Action... various transactions involving employee benefit plans whose assets are managed by in-house asset managers... Asset Transactions Determined by In-House Asset Managers to OMB for review and clearance at the time the...

  6. 31 CFR 800.220 - Party or parties to a transaction.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... (Continued) OFFICE OF INVESTMENT SECURITY, DEPARTMENT OF THE TREASURY REGULATIONS PERTAINING TO MERGERS, ACQUISITIONS, AND TAKEOVERS BY FOREIGN PERSONS Definitions § 800.220 Party or parties to a transaction. The terms party to a transaction and parties to a transaction mean: (a) In the case of an acquisition of an...

  7. 75 FR 37406 - Order Exempting the Trading and Clearing of Certain Products Related to ETFS Physical Swiss Gold...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-29

    ... to security futures), and in either case cleared through the Options Clearing Corporation (``OCC... contract market or derivatives transaction execution facility for transactions for future delivery in any... of the Options and Security Futures on Gold and Silver Products. In enacting Section 4(c), Congress...

  8. 75 FR 60831 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-01

    ..., Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy... Advisers Act of 1940.'' (15 U.S.C. 80b-1 et seq.) Rule 204A-1, the Code of Ethics Rule, requires investment... securities transactions, including transactions in any mutual fund managed by the adviser. The code of ethics...

  9. 5 CFR 4401.102 - Prohibited and restricted financial interests and transactions.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... COMMISSION SUPPLEMENTAL STANDARDS OF ETHICAL CONDUCT FOR MEMBERS AND EMPLOYEES OF THE SECURITIES AND EXCHANGE... regarding that security; or (ii) That the member or employee could not purchase or sell because of the... clearing the transaction in the manner required by the Designated Agency Ethics Official (“DAEO”). A member...

  10. 76 FR 14074 - Notice of Proposed Amendment to Prohibited Transaction Exemption (PTE) 2010-08 Involving Ford...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-15

    ... DEPARTMENT OF LABOR Employee Benefits Security Administration [Application No. L-11641] Notice of Proposed Amendment to Prohibited Transaction Exemption (PTE) 2010-08 Involving Ford Motor Company, Located in Detroit, MI AGENCY: Employee Benefits Security Administration, U.S. Department of Labor. ACTION: Notice of proposed amendment. This documen...

  11. 17 CFR 275.206(3)-2 - Agency cross transactions for advisory clients.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... advisory clients. 275.206(3)-2 Section 275.206(3)-2 Commodity and Securities Exchanges SECURITIES AND... Agency cross transactions for advisory clients. (a) An investment adviser, or a person registered as a... advisory client, if: (1) The advisory client has executed a written consent prospectively authorizing the...

  12. 17 CFR 229.1103 - (Item 1103) Transaction summary and risk factors.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... summary and risk factors. 229.1103 Section 229.1103 Commodity and Securities Exchanges SECURITIES AND... (Regulation AB) § 229.1103 (Item 1103) Transaction summary and risk factors. (a) Prospectus summary. In... be assigned. (b) Risk factors. In providing the information required by Item 503(c) of Regulation S-K...

  13. 17 CFR 229.1103 - (Item 1103) Transaction summary and risk factors.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... summary and risk factors. 229.1103 Section 229.1103 Commodity and Securities Exchanges SECURITIES AND... (Regulation AB) § 229.1103 (Item 1103) Transaction summary and risk factors. (a) Prospectus summary. In... be assigned. (b) Risk factors. In providing the information required by Item 503(c) of Regulation S-K...

  14. 17 CFR 5.7 - Minimum financial requirements for retail foreign exchange dealers and futures commission...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Minimum financial requirements... forex transactions. 5.7 Section 5.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.7 Minimum financial requirements for retail foreign...

  15. 17 CFR 5.6 - Maintenance of minimum financial requirements by retail foreign exchange dealers and futures...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Maintenance of minimum... engaging in retail forex transactions. 5.6 Section 5.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.6 Maintenance of minimum financial...

  16. 17 CFR 5.5 - Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Distribution of âRisk... brokers regarding retail forex transactions. 5.5 Section 5.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.5 Distribution of “Risk...

  17. Enabling a Secure Environment for Vehicle-to-Vehicle (V2V) and Vehicle-to-Infrastructure (V2I) Transactions : April 2012 Public Workshop Proceedings

    DOT National Transportation Integrated Search

    2012-06-08

    This report provides a summary and overview of the Public Workshop entitled, Enabling a Secure Environment for Vehicle-to-Vehicle and Vehicle-to-Infrastructure Transactions, presented by USDOT. The workshop took place on April 19-20, 2012 at th...

  18. 77 FR 38690 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-28

    ... rule change relating to FINRA's Trading Activity Fee (``TAF'') rate for transactions in covered equity... the FINRA By-Laws to adjust the rate of FINRA's TAF for transactions in Covered Securities that are equity securities.\\6\\ The TAF, along with the Personnel Assessment and the Gross Income Assessment fees...

  19. 31 CFR 103.19 - Reports by brokers or dealers in securities of suspicious transactions.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... require immediate attention, such as terrorist financing or ongoing money laundering schemes, the broker... 31 Money and Finance: Treasury 1 2010-07-01 2010-07-01 false Reports by brokers or dealers in securities of suspicious transactions. 103.19 Section 103.19 Money and Finance: Treasury Regulations Relating...

  20. 78 FR 60002 - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-30

    ...-balance order, destined to- be announced (``TBA'') transactions; (ii) trade-for-trade TBA transactions... safeguarding of securities and funds which are in the custody or control of the clearing agency, or for which... helps protect the securities and funds in FICC's control, not only by encouraging members' timely...

  1. 17 CFR 4.32 - Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers. 4.32 Section 4.32 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION COMMODITY POOL OPERATORS AND COMMODITY TRADING...

  2. 78 FR 34133 - Agency Information Collection Activities; Submission for OMB Review; Comment Request; Prohibited...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-06

    ... for OMB Review; Comment Request; Prohibited Transaction Class Exemption 80-83, Sale of Securities to...) titled, ``Prohibited Transaction Class Exemption 80-83, Sale of Securities to Reduce Indebtedness of Party in Interest,'' to the Office of Management and Budget (OMB) for review and approval for continued...

  3. 76 FR 51431 - Prohibited Transaction Exemptions and Grant of Individual Exemptions

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-18

    ... DEPARTMENT OF LABOR Employee Benefits Security Administration Prohibited Transaction Exemptions and Grant of Individual Exemptions Notice of Technical Correction Prohibited Transaction Exemptions and Grant of Individual Exemptions Involving D-11468 and D-11469, The Krispy Kreme Doughnut...

  4. An Improved and Secure Anonymous Biometric-Based User Authentication with Key Agreement Scheme for the Integrated EPR Information System.

    PubMed

    Jung, Jaewook; Kang, Dongwoo; Lee, Donghoon; Won, Dongho

    2017-01-01

    Nowadays, many hospitals and medical institutes employ an authentication protocol within electronic patient records (EPR) services in order to provide protected electronic transactions in e-medicine systems. In order to establish efficient and robust health care services, numerous studies have been carried out on authentication protocols. Recently, Li et al. proposed a user authenticated key agreement scheme according to EPR information systems, arguing that their scheme is able to resist various types of attacks and preserve diverse security properties. However, this scheme possesses critical vulnerabilities. First, the scheme cannot prevent off-line password guessing attacks and server spoofing attack, and cannot preserve user identity. Second, there is no password verification process with the failure to identify the correct password at the beginning of the login phase. Third, the mechanism of password change is incompetent, in that it induces inefficient communication in communicating with the server to change a user password. Therefore, we suggest an upgraded version of the user authenticated key agreement scheme that provides enhanced security. Our security and performance analysis shows that compared to other related schemes, our scheme not only improves the security level, but also ensures efficiency.

  5. An Improved and Secure Anonymous Biometric-Based User Authentication with Key Agreement Scheme for the Integrated EPR Information System

    PubMed Central

    Kang, Dongwoo; Lee, Donghoon; Won, Dongho

    2017-01-01

    Nowadays, many hospitals and medical institutes employ an authentication protocol within electronic patient records (EPR) services in order to provide protected electronic transactions in e-medicine systems. In order to establish efficient and robust health care services, numerous studies have been carried out on authentication protocols. Recently, Li et al. proposed a user authenticated key agreement scheme according to EPR information systems, arguing that their scheme is able to resist various types of attacks and preserve diverse security properties. However, this scheme possesses critical vulnerabilities. First, the scheme cannot prevent off-line password guessing attacks and server spoofing attack, and cannot preserve user identity. Second, there is no password verification process with the failure to identify the correct password at the beginning of the login phase. Third, the mechanism of password change is incompetent, in that it induces inefficient communication in communicating with the server to change a user password. Therefore, we suggest an upgraded version of the user authenticated key agreement scheme that provides enhanced security. Our security and performance analysis shows that compared to other related schemes, our scheme not only improves the security level, but also ensures efficiency. PMID:28046075

  6. 78 FR 66796 - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-06

    ... transaction fee for executions in standard option contracts and $0.008 transaction fee for Mini Option... Exchange for purposes of the transaction fee and Section 1(a)(i) of the Fee Schedule include: (i... (``DPLMM''). See MIAX Options Fee Schedule, Section 1(a)(i)--Market Maker Transaction Fees. The current...

  7. Sequential mathematical solution for authentication and authorization technique implementing encryption methodology creating secure transaction using various methods also at quantum level

    NASA Astrophysics Data System (ADS)

    Gharami, Snigdha; Dinakaran, M.

    2017-11-01

    We see challenges in authenticating each aspect of electronic usage, starting from transaction to social interaction the authenticity and availability of correct information is guided in various ways. Authentication and authorization follow one another; a process of authentication is calculated on multiple layers of steps. In this paper we discuss various possibilities of modifying and using ways to deal with authentication and authorization mechanism. Idea is to work through authentication with mathematical calculations. We will go through various scenarios and find out the system of information that fits best at the moment of need. We will take account of new approaches of authentication and authorization while working on mathematical paradigm of information. The paper also takes an eye on quantum cryptography and discusses on how it could help one in the present scenario. This paper is divided into sections discussing on various paradigm of authentication and how one can achieve it in secure way, this paper is part of research work where analysis of various constraints are to be followed in the extended research work.

  8. 78 FR 23962 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-23

    ... transactions. The Commission staff estimates the costs of producing and sending a paper confirmation, including... broker-dealers to convey basic trade information to customers regarding their securities transactions. This information includes: the date and time of the transaction, the identity and number of shares...

  9. 17 CFR 240.10b-10 - Confirmation of transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... transaction in any NMS stock as defined in § 242.600 of this chapter or a security authorized for quotation on... as defined by § 242.600 of this chapter, or an equity security that is traded on a national... may be extended by the issuer thereof, with a variable interest payable thereon; or (B) Is an asset...

  10. 75 FR 81977 - Order Exempting the Trading and Clearing of Certain Products Related to the CBOE Gold ETF...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-29

    ... derivatives transaction execution facility for transactions for future delivery in any commodity under section... categorical Section 4(c) exemption to permit options and futures on shares of all or some precious metal commodity-based ETFs to be traded and cleared as options on securities and security futures, respectively...

  11. 17 CFR 39.7 - Fraud in connection with the clearing of transactions on a derivatives clearing organization.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Fraud in connection with the clearing of transactions on a derivatives clearing organization. 39.7 Section 39.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES CLEARING ORGANIZATIONS § 39.7 Fraud in connection...

  12. 77 FR 5613 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-03

    ... proposed rule change to increase FINRA's Trading Activity Fee (``TAF'') rate for transactions in covered... would amend Section 1 of Schedule A to the FINRA By-Laws to adjust the rate of FINRA's TAF for transactions in Covered Securities that are equity securities.\\4\\ The rules governing the TAF also include a...

  13. Network security vulnerabilities and personal privacy issues in Healthcare Information Systems: a case study in a private hospital in Turkey.

    PubMed

    Namoğlu, Nihan; Ulgen, Yekta

    2013-01-01

    Healthcare industry has become widely dependent on information technology and internet as it moves from paper to electronic records. Healthcare Information System has to provide a high quality service to patients and a productive knowledge share between healthcare staff by means of patient data. With the internet being commonly used across hospitals, healthcare industry got its own share from cyber threats like other industries in the world. The challenge is allowing knowledge transfer to hospital staff while still ensuring compliance with security mandates. Working in collaboration with a private hospital in Turkey; this study aims to reveal the essential elements of a 21st century business continuity plan for hospitals while presenting the security vulnerabilities in the current hospital information systems and personal privacy auditing standards proposed by regulations and laws. We will survey the accreditation criteria in Turkey and counterparts in US and EU. We will also interview with medical staff in the hospital to understand the needs for personal privacy and the technical staff to perceive the technical requirements in terms of network security configuration and deployment. As hospitals are adopting electronic transactions, it should be considered a must to protect these electronic health records in terms of personal privacy aspects.

  14. 17 CFR 37.7 - Additional requirements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Section 37.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES... transaction execution facility insofar as transactions in futures or option contracts of foreign traders are... of section 5c(c) of the Act and § 40.2 of this chapter, derivatives transaction execution facilities...

  15. Security Enhanced EMV-Based Mobile Payment Protocol

    PubMed Central

    2014-01-01

    Near field communication has enabled customers to put their credit cards into a smartphone and use the phone for credit card transaction. But EMV contactless payment allows unauthorized readers to access credit cards. Besides, in offline transaction, a merchant's reader cannot verify whether a card has been revoked. Therefore, we propose an EMV-compatible payment protocol to mitigate the transaction risk. And our modifications to the EMV standard are transparent to merchants and users. We also encrypt the communications between a card and a reader to prevent eavesdropping on sensitive data. The protocol is able to resist impersonation attacks and to avoid the security threats in EMV. In offline transactions, our scheme requires a user to apply for a temporary offline certificate in advance. With the certificate, banks no longer need to lower customer's credits for risk control, and users can have online-equivalent credits in offline transactions. PMID:25302334

  16. Security enhanced EMV-based mobile payment protocol.

    PubMed

    Yang, Ming-Hour

    2014-01-01

    Near field communication has enabled customers to put their credit cards into a smartphone and use the phone for credit card transaction. But EMV contactless payment allows unauthorized readers to access credit cards. Besides, in offline transaction, a merchant's reader cannot verify whether a card has been revoked. Therefore, we propose an EMV-compatible payment protocol to mitigate the transaction risk. And our modifications to the EMV standard are transparent to merchants and users. We also encrypt the communications between a card and a reader to prevent eavesdropping on sensitive data. The protocol is able to resist impersonation attacks and to avoid the security threats in EMV. In offline transactions, our scheme requires a user to apply for a temporary offline certificate in advance. With the certificate, banks no longer need to lower customer's credits for risk control, and users can have online-equivalent credits in offline transactions.

  17. 17 CFR 33.3 - Unlawful commodity option transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Unlawful commodity option... REGULATION OF DOMESTIC EXCHANGE-TRADED COMMODITY OPTION TRANSACTIONS § 33.3 Unlawful commodity option... of, or maintain a position in, any commodity option transaction subject to the provisions of this...

  18. 75 FR 39707 - Prohibited Transaction Exemptions and Grant of Individual Exemptions Involving D-11448, The PNC...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-12

    ... DEPARTMENT OF LABOR Employee Benefits Security Administration Prohibited Transaction Exemptions and Grant of Individual Exemptions Involving D-11448, The PNC Financial Services Group, Inc., 2010-19... Financial Services Group, Inc. Located in Pittsburgh, Pennsylvania [Prohibited Transaction Exemption 2010-19...

  19. 75 FR 54196 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-03

    ... Combination Transactions by Investment Companies and Business Development Companies. Form N-14 is used by... Act'') to be issued in business combination transactions specified in rule 145(a) under the Securities... business combination transactions. The Commission staff reviews registration statements on Form N-14 for...

  20. 31 CFR 535.202 - Transactions with respect to securities registered or inscribed in the name of Iran.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... 31 Money and Finance:Treasury 3 2013-07-01 2013-07-01 false Transactions with respect to securities registered or inscribed in the name of Iran. 535.202 Section 535.202 Money and Finance: Treasury... registered or inscribed in the name of Iran. Unless authorized by a license expressly referring to this...

  1. 31 CFR 535.202 - Transactions with respect to securities registered or inscribed in the name of Iran.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... 31 Money and Finance:Treasury 3 2012-07-01 2012-07-01 false Transactions with respect to securities registered or inscribed in the name of Iran. 535.202 Section 535.202 Money and Finance: Treasury... registered or inscribed in the name of Iran. Unless authorized by a license expressly referring to this...

  2. 31 CFR 535.202 - Transactions with respect to securities registered or inscribed in the name of Iran.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 31 Money and Finance:Treasury 3 2014-07-01 2014-07-01 false Transactions with respect to securities registered or inscribed in the name of Iran. 535.202 Section 535.202 Money and Finance: Treasury... registered or inscribed in the name of Iran. Unless authorized by a license expressly referring to this...

  3. 31 CFR 535.202 - Transactions with respect to securities registered or inscribed in the name of Iran.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... 31 Money and Finance:Treasury 3 2011-07-01 2011-07-01 false Transactions with respect to securities registered or inscribed in the name of Iran. 535.202 Section 535.202 Money and Finance: Treasury... registered or inscribed in the name of Iran. Unless authorized by a license expressly referring to this...

  4. 31 CFR 535.202 - Transactions with respect to securities registered or inscribed in the name of Iran.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 31 Money and Finance: Treasury 3 2010-07-01 2010-07-01 false Transactions with respect to securities registered or inscribed in the name of Iran. 535.202 Section 535.202 Money and Finance: Treasury... registered or inscribed in the name of Iran. Unless authorized by a license expressly referring to this...

  5. 77 FR 58431 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-20

    ... that will allow CBSX Traders to send silent orders, silent-mid orders, silent-post-mid orders, and... Taker fees for transactions in securities priced $1 or greater relating to these new order types. For transactions in securities priced less than $1, these new order types will be subject to the same Maker and...

  6. 17 CFR 1.1 - Fraud in or in connection with transactions in foreign currency subject to the Commodity Exchange...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Fraud in or in connection with... Securities Exchanges COMMODITY FUTURES TRADING COMMISSION GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Definitions § 1.1 Fraud in or in connection with transactions in foreign currency subject to the...

  7. 49 CFR Appendix C to Part 599 - Electronic Transaction Screen

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 49 Transportation 7 2010-10-01 2010-10-01 false Electronic Transaction Screen C Appendix C to Part 599 Transportation Other Regulations Relating to Transportation (Continued) NATIONAL HIGHWAY TRAFFIC... ASSISTANCE TO RECYCLE AND SAVE ACT PROGRAM Pt. 599, App. C Appendix C to Part 599—Electronic Transaction...

  8. 49 CFR Appendix C to Part 599 - Electronic Transaction Screen

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... 49 Transportation 7 2012-10-01 2012-10-01 false Electronic Transaction Screen C Appendix C to Part 599 Transportation Other Regulations Relating to Transportation (Continued) NATIONAL HIGHWAY TRAFFIC... ASSISTANCE TO RECYCLE AND SAVE ACT PROGRAM Pt. 599, App. C Appendix C to Part 599—Electronic Transaction...

  9. 49 CFR Appendix C to Part 599 - Electronic Transaction Screen

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... 49 Transportation 7 2013-10-01 2013-10-01 false Electronic Transaction Screen C Appendix C to Part 599 Transportation Other Regulations Relating to Transportation (Continued) NATIONAL HIGHWAY TRAFFIC... ASSISTANCE TO RECYCLE AND SAVE ACT PROGRAM Pt. 599, App. C Appendix C to Part 599—Electronic Transaction...

  10. 49 CFR Appendix C to Part 599 - Electronic Transaction Screen

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 49 Transportation 7 2014-10-01 2014-10-01 false Electronic Transaction Screen C Appendix C to Part 599 Transportation Other Regulations Relating to Transportation (Continued) NATIONAL HIGHWAY TRAFFIC... ASSISTANCE TO RECYCLE AND SAVE ACT PROGRAM Pt. 599, App. C Appendix C to Part 599—Electronic Transaction...

  11. 49 CFR Appendix C to Part 599 - Electronic Transaction Screen

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... 49 Transportation 7 2011-10-01 2011-10-01 false Electronic Transaction Screen C Appendix C to Part 599 Transportation Other Regulations Relating to Transportation (Continued) NATIONAL HIGHWAY TRAFFIC... ASSISTANCE TO RECYCLE AND SAVE ACT PROGRAM Pt. 599, App. C Appendix C to Part 599—Electronic Transaction...

  12. 31 CFR 800.303 - Lending transactions.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... INVESTMENT SECURITY, DEPARTMENT OF THE TREASURY REGULATIONS PERTAINING TO MERGERS, ACQUISITIONS, AND... a typical loan may constitute a covered transaction. (c) An acquisition of voting interest or assets...

  13. 17 CFR 5.7 - Minimum financial requirements for retail foreign exchange dealers and futures commission...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... forex transactions. 5.7 Section 5.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING... exchange dealers and futures commission merchants offering or engaging in retail forex transactions. (a)(1)(i) Each futures commission merchant offering or engaging in retail forex transactions and each...

  14. 17 CFR 5.7 - Minimum financial requirements for retail foreign exchange dealers and futures commission...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... forex transactions. 5.7 Section 5.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING... exchange dealers and futures commission merchants offering or engaging in retail forex transactions. (a)(1)(i) Each futures commission merchant offering or engaging in retail forex transactions and each...

  15. 17 CFR 5.7 - Minimum financial requirements for retail foreign exchange dealers and futures commission...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... forex transactions. 5.7 Section 5.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING... exchange dealers and futures commission merchants offering or engaging in retail forex transactions. (a)(1)(i) Each futures commission merchant offering or engaging in retail forex transactions and each...

  16. 77 FR 3034 - Agency Information Collection Activities: Proposed Information Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-20

    ... Transactions--12 CFR parts 12 and 151.'' DATES: You should submit comments by March 20, 2012. ADDRESSES... Transactions--12 CFR parts 12 and 151. OMB Number: 1557-0142. Description: This submission covers an existing... securities through these financial institutions. The transaction confirmation information provides customers...

  17. 17 CFR 32.3 - Unlawful commodity option transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Unlawful commodity option... REGULATION OF COMMODITY OPTION TRANSACTIONS § 32.3 Unlawful commodity option transactions. (a) On and after... extend credit in lieu thereof) from an option customer as payment of the purchase price in connection...

  18. 31 CFR 800.214 - Foreign government-controlled transaction.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... (Continued) OFFICE OF INVESTMENT SECURITY, DEPARTMENT OF THE TREASURY REGULATIONS PERTAINING TO MERGERS, ACQUISITIONS, AND TAKEOVERS BY FOREIGN PERSONS Definitions § 800.214 Foreign government-controlled transaction...

  19. 78 FR 46256 - Security Program, Report of Suspected Crimes, Suspicious Transactions, Catastrophic Acts and Bank...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-31

    ... NATIONAL CREDIT UNION ADMINISTRATION 12 CFR Part 748 Security Program, Report of Suspected Crimes, Suspicious Transactions, Catastrophic Acts and Bank Secrecy Act Compliance CFR Correction In Title 12 of the Code of Federal Regulations, Parts 600 to 899, revised as of January 1, 2013, on page 963, in Sec. 748.2, the second paragraph (b)(2) is...

  20. 17 CFR 5.6 - Maintenance of minimum financial requirements by retail foreign exchange dealers and futures...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... engaging in retail forex transactions. 5.6 Section 5.6 Commodity and Securities Exchanges COMMODITY FUTURES... forex transactions. (a) Each futures commission merchant offering or engaging in retail forex... engage in retail forex transactions and each person registered as a retail foreign exchange dealer or who...

  1. 17 CFR 4.13 - Exemption from registration as a commodity pool operator.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ...) The aggregate initial margin, premiums, and required minimum security deposit for retail forex... specified in the contract), by the strike price per unit, and for each such retail forex transaction, by... retail forex transaction, by calculating the value in U.S. Dollars of such transaction, at the time the...

  2. 17 CFR 5.6 - Maintenance of minimum financial requirements by retail foreign exchange dealers and futures...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... engaging in retail forex transactions. 5.6 Section 5.6 Commodity and Securities Exchanges COMMODITY FUTURES... forex transactions. (a) Each futures commission merchant offering or engaging in retail forex... engage in retail forex transactions and each person registered as a retail foreign exchange dealer or who...

  3. 17 CFR 5.6 - Maintenance of minimum financial requirements by retail foreign exchange dealers and futures...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... engaging in retail forex transactions. 5.6 Section 5.6 Commodity and Securities Exchanges COMMODITY FUTURES... forex transactions. (a) Each futures commission merchant offering or engaging in retail forex... engage in retail forex transactions and each person registered as a retail foreign exchange dealer or who...

  4. 17 CFR 39.7 - Fraud in connection with the clearing of transactions on a derivatives clearing organization.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... clearing of transactions on a derivatives clearing organization. 39.7 Section 39.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DERIVATIVES CLEARING ORGANIZATIONS § 39.7 Fraud in connection with the clearing of transactions on a derivatives clearing organization. It shall be unlawful for any...

  5. 17 CFR 230.236 - Exemption of shares offered in connection with certain transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Exemptions § 230.236 Exemption of shares offered in connection with certain transactions. Shares of stock or... securities in lieu of issuing fractional shares, script certificates or order forms, in connection with a stock dividend, stock split, reverse stock split, conversion, merger or similar transaction, shall be...

  6. 31 CFR 800.104 - Transactions or devices for avoidance.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... (Continued) OFFICE OF INVESTMENT SECURITY, DEPARTMENT OF THE TREASURY REGULATIONS PERTAINING TO MERGERS, ACQUISITIONS, AND TAKEOVERS BY FOREIGN PERSONS General § 800.104 Transactions or devices for avoidance. Any...

  7. 25 CFR 141.34 - Pawnbroker records.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... a written record of the following information: (a) Transaction number. (b) Name of pledgor. (c) Address of pledgor. (d) Census number or social security number of pledgor. (e) Date of transaction. (f...

  8. 12 CFR 12.7 - Securities trading policies and procedures.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 12 Banks and Banking 1 2014-01-01 2014-01-01 false Securities trading policies and procedures. 12... RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS § 12.7 Securities trading policies and procedures. (a) Policies and procedures; reports of securities trading. A national bank effecting securities...

  9. 12 CFR 12.7 - Securities trading policies and procedures.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 12 Banks and Banking 1 2013-01-01 2013-01-01 false Securities trading policies and procedures. 12... RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS § 12.7 Securities trading policies and procedures. (a) Policies and procedures; reports of securities trading. A national bank effecting securities...

  10. 12 CFR 12.7 - Securities trading policies and procedures.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 12 Banks and Banking 1 2012-01-01 2012-01-01 false Securities trading policies and procedures. 12... RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS § 12.7 Securities trading policies and procedures. (a) Policies and procedures; reports of securities trading. A national bank effecting securities...

  11. 17 CFR 5.5 - Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... brokers regarding retail forex transactions. 5.5 Section 5.5 Commodity and Securities Exchanges COMMODITY... brokers regarding retail forex transactions. (a) Except as provided in § 5.23 of this part, no retail... introducing broker, may open an account that will engage in retail forex transactions for a retail forex...

  12. 17 CFR 5.5 - Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... brokers regarding retail forex transactions. 5.5 Section 5.5 Commodity and Securities Exchanges COMMODITY... brokers regarding retail forex transactions. (a) Except as provided in § 5.23 of this part, no retail... introducing broker, may open an account that will engage in retail forex transactions for a retail forex...

  13. 17 CFR 5.5 - Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... brokers regarding retail forex transactions. 5.5 Section 5.5 Commodity and Securities Exchanges COMMODITY... brokers regarding retail forex transactions. (a) Except as provided in § 5.23 of this part, no retail... introducing broker, may open an account that will engage in retail forex transactions for a retail forex...

  14. 12 CFR 223.14 - What are the collateral requirements for a credit transaction with an affiliate?

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... credit transaction with an affiliate? 223.14 Section 223.14 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM TRANSACTIONS BETWEEN MEMBER BANKS AND THEIR... affiliate is secured by the amount of collateral required by paragraph (b) of this section at the time of...

  15. 78 FR 41158 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-09

    ... separate fees structure for transactions in AMD, BAC, MU, NOK and SIRI (the ``Select Symbols'') that is different than the fees for transactions in all other symbols (all fees discussed in this proposed rule change apply to transactions in securities priced $1 or greater; CBSX does not propose to amend any fees...

  16. 78 FR 15790 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-12

    ... Security ``(ABS'') (except ABS traded To Be Announced (``TBA'')), in the limited instances when members... Factor in the limited instances when the member effects a transaction in an ABS (except a TBA transaction...-conforming Factor'').\\13\\ As a result of the proposed rule change, when an ABS transaction (except for a TBA...

  17. 76 FR 27110 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-10

    ... even at the $1 cabinet price (e.g., the series might be quoted no bid).\\7\\ \\5\\ See Securities Exchange..., the transactions are exempt from the Consolidated Options Audit Trail (``COATS'') requirements of... transaction information for the transactions in the same format as the COATS data is maintained. In this...

  18. 76 FR 48937 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-09

    ... Trading Activity Fee (``TAF''). Certain transactions and transfers of securities are not required to be... transaction fees under Section 3 or the TAF.\\6\\ \\6\\ FINRA explained that this exception was adopted to align... regulatory transaction fees under Section 3 or the TAF. \\9\\ Rule 5190 imposes certain notice requirements on...

  19. 17 CFR 300.503 - Voidable securities transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Rules Relating to... right of the Securities Investor Protection Corporation, in a direct payment procedure under section 10... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Voidable securities...

  20. An ANFIS-based on B2C electronic commerce transaction

    DOE Office of Scientific and Technical Information (OSTI.GOV)

    Lin, Juan, E-mail: linjuanliucaihong@qq.com; Liu, Chenlian, E-mail: chenglian.liu@gmail.com; Guo, Yongning, E-mail: guoyn@163.com

    2014-10-06

    The purpose of this study is to use an adaptive-network-based fuzzy inference system to model a fuzzy logic-based system (FIS) for supporting decision-making process in B2C electronic commerce transaction. Firstly we introduce FIS in B2C electronic commerce transaction and ANFIS. Then we use ANFIS to model FIS with different membership functions(MF). Lastly we give a conclusion.

  1. An ANFIS-based on B2C electronic commerce transaction

    NASA Astrophysics Data System (ADS)

    Lin, Juan; Liu, Chenlian; Guo, Yongning

    2014-10-01

    The purpose of this study is to use an adaptive-network-based fuzzy inference system to model a fuzzy logic-based system (FIS) for supporting decision-making process in B2C electronic commerce transaction. Firstly we introduce FIS in B2C electronic commerce transaction and ANFIS. Then we use ANFIS to model FIS with different membership functions(MF). Lastly we give a conclusion.

  2. High-end clinical domain information systems for effective healthcare delivery.

    PubMed

    Mangalampalli, Ashish; Rama, Chakravarthy; Muthiyalian, Raja; Jain, Ajeet K

    2007-01-01

    The Electronic Health Record (EHR) provides doctors with a quick, reliable, secure, real-time and user-friendly source of all relevant patient data. The latest information system technologies, such as Clinical Data Warehouses (CDW), Clinical Decision-Support (CDS) systems and data-mining techniques (Online Analytical Processing (OLAP) and Online Transactional Processing (OLTP)), are used to maintain and utilise patient data intelligently, based on the users' requirements. Moreover, clinical trial reports for new drug approvals are now being submitted electronically for faster and easier processing. Also, information systems are used in educating patients about the latest developments in medical science through the internet and specially configured kiosks in hospitals and clinics.

  3. Towards Dynamic Authentication in the Grid — Secure and Mobile Business Workflows Using GSet

    NASA Astrophysics Data System (ADS)

    Mangler, Jürgen; Schikuta, Erich; Witzany, Christoph; Jorns, Oliver; Ul Haq, Irfan; Wanek, Helmut

    Until now, the research community mainly focused on the technical aspects of Grid computing and neglected commercial issues. However, recently the community tends to accept that the success of the Grid is crucially based on commercial exploitation. In our vision Foster's and Kesselman's statement "The Grid is all about sharing." has to be extended by "... and making money out of it!". To allow for the realization of this vision the trust-worthyness of the underlying technology needs to be ensured. This can be achieved by the use of gSET (Gridified Secure Electronic Transaction) as a basic technology for trust management and secure accounting in the presented Grid based workflow. We present a framework, conceptually and technically, from the area of the Mobile-Grid, which justifies the Grid infrastructure as a viable platform to enable commercially successful business workflows.

  4. 75 FR 33374 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-11

    ... proposes to amend its Fees Schedule to establish fees for transactions in all S&P 500 Dividend Index... transactions in DVS options to all options on the S&P 500 Dividend Index, regardless of the specified accrual period.\\6\\ Currently the established transaction fees for DVS options are as follows: \\6\\ See Securities...

  5. 46 CFR 67.81 - Passage of title in conjunction with a corporate merger or similar transaction.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 46 Shipping 2 2010-10-01 2010-10-01 false Passage of title in conjunction with a corporate merger or similar transaction. 67.81 Section 67.81 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY...; Waiver § 67.81 Passage of title in conjunction with a corporate merger or similar transaction. When the...

  6. 77 FR 12900 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-02

    ... erroneous sell transaction, and last offer price with respect to an erroneous buy transaction, just prior to... (with respect to an erroneous buy transaction), just prior to the trade in question. The proposed new... Section 6(b)(5) of the Exchange Act,\\5\\ in particular, in that it is designed to promote just and...

  7. 46 CFR 67.81 - Passage of title in conjunction with a corporate merger or similar transaction.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... 46 Shipping 2 2011-10-01 2011-10-01 false Passage of title in conjunction with a corporate merger or similar transaction. 67.81 Section 67.81 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY...; Waiver § 67.81 Passage of title in conjunction with a corporate merger or similar transaction. When the...

  8. 46 CFR 67.81 - Passage of title in conjunction with a corporate merger or similar transaction.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... 46 Shipping 2 2013-10-01 2013-10-01 false Passage of title in conjunction with a corporate merger or similar transaction. 67.81 Section 67.81 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY...; Waiver § 67.81 Passage of title in conjunction with a corporate merger or similar transaction. When the...

  9. 46 CFR 67.81 - Passage of title in conjunction with a corporate merger or similar transaction.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 46 Shipping 2 2014-10-01 2014-10-01 false Passage of title in conjunction with a corporate merger or similar transaction. 67.81 Section 67.81 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY...; Waiver § 67.81 Passage of title in conjunction with a corporate merger or similar transaction. When the...

  10. 46 CFR 67.81 - Passage of title in conjunction with a corporate merger or similar transaction.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... 46 Shipping 2 2012-10-01 2012-10-01 false Passage of title in conjunction with a corporate merger or similar transaction. 67.81 Section 67.81 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY...; Waiver § 67.81 Passage of title in conjunction with a corporate merger or similar transaction. When the...

  11. 75 FR 9272 - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-01

    ... Transaction Exceeds 99,999,999 Shares February 22, 2010. Pursuant to Section 19(b)(1) \\1\\ of the Securities... Tape when a closing transaction exceeds 99,999,999 shares. The text of the proposed rule change is... report multiple closing prints to the Consolidated Tape when a closing transaction exceeds 99,999,999...

  12. 7 CFR 772.6 - Subordination of security.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... AGRICULTURE SPECIAL PROGRAMS SERVICING MINOR PROGRAM LOANS § 772.6 Subordination of security. (a) Eligibility. The Agency shall grant a subordination of Minor Program loan security when the transaction will... still be adequately secured after the subordination, or the value of the loan security will be increased...

  13. 17 CFR 41.24 - Rule amendments to security futures products.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... rule amendment relating to a security futures product if the registered derivatives transaction... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Rule amendments to security futures products. 41.24 Section 41.24 Commodity and Securities Exchanges COMMODITY FUTURES TRADING...

  14. 31 CFR 1023.100 - Definitions.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Definitions § 1023... transactions in securities, including, but not limited to, the purchase or sale of securities and securities loaned and borrowed activity, and to hold securities or other assets for safekeeping or as collateral. (2...

  15. 31 CFR 1023.100 - Definitions.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Definitions § 1023... transactions in securities, including, but not limited to, the purchase or sale of securities and securities loaned and borrowed activity, and to hold securities or other assets for safekeeping or as collateral. (2...

  16. 31 CFR 1023.100 - Definitions.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Definitions § 1023... transactions in securities, including, but not limited to, the purchase or sale of securities and securities loaned and borrowed activity, and to hold securities or other assets for safekeeping or as collateral. (2...

  17. 31 CFR 1023.100 - Definitions.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Definitions § 1023... transactions in securities, including, but not limited to, the purchase or sale of securities and securities loaned and borrowed activity, and to hold securities or other assets for safekeeping or as collateral. (2...

  18. 17 CFR 38.552 - Elements of an acceptable audit trail program.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... of the order shall also be captured. (b) Transaction history database. A designated contract market's audit trail program must include an electronic transaction history database. An adequate transaction history database includes a history of all trades executed via open outcry or via entry into an electronic...

  19. 17 CFR 38.552 - Elements of an acceptable audit trail program.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... of the order shall also be captured. (b) Transaction history database. A designated contract market's audit trail program must include an electronic transaction history database. An adequate transaction history database includes a history of all trades executed via open outcry or via entry into an electronic...

  20. 17 CFR 242.600 - NMS security designation and definitions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ...) Interrogation device means any securities information retrieval system capable of displaying transaction reports... with respect to such order; and (v) Immediately and automatically displays information that updates the... security; and (ii) Consolidated last sale information for a security. (14) Consolidated last sale...

  1. 17 CFR 242.600 - NMS security designation and definitions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ...) Interrogation device means any securities information retrieval system capable of displaying transaction reports... with respect to such order; and (v) Immediately and automatically displays information that updates the... security; and (ii) Consolidated last sale information for a security. (14) Consolidated last sale...

  2. 17 CFR 242.600 - NMS security designation and definitions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ...) Interrogation device means any securities information retrieval system capable of displaying transaction reports... with respect to such order; and (v) Immediately and automatically displays information that updates the... security; and (ii) Consolidated last sale information for a security. (14) Consolidated last sale...

  3. 17 CFR 242.600 - NMS security designation and definitions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ...) Interrogation device means any securities information retrieval system capable of displaying transaction reports... with respect to such order; and (v) Immediately and automatically displays information that updates the... security; and (ii) Consolidated last sale information for a security. (14) Consolidated last sale...

  4. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED... Exchange Act of 1934 Exemption of Certain Transactions from Section 16(c) § 240.16c-4 Derivative securities...

  5. 75 FR 64643 - Reporting of Security-Based Swap Transaction Data

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-20

    ... information relating to pre-enactment security-based swaps to a registered security-based swap data repository... within 60 days after a registered security- based swap data repository commences operations to receive... repository,\\8\\ and security- based swap execution facility.\\9\\ The Commission has issued an advance notice of...

  6. 17 CFR 41.23 - Listing of security futures products for trading.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... security futures products for trading, a designated contract market or registered derivatives transaction... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Listing of security futures products for trading. 41.23 Section 41.23 Commodity and Securities Exchanges COMMODITY FUTURES TRADING...

  7. 78 FR 28687 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-15

    ... (Front Running of Block Transactions) May 9, 2013. Pursuant to Section 19(b)(1) of the Securities... of FINRA Rule 5270 (Front Running of Block Transactions) that the Commission approved on September 4...

  8. An in fiber experimental approach to photonic quantum digital signatures that does not require quantum memory

    NASA Astrophysics Data System (ADS)

    Collins, Robert J.; Donaldon, Ross J.; Dunjko, Vedran; Wallden, Petros; Clarke, Patrick J.; Andersson, Erika; Jeffers, John; Buller, Gerald S.

    2014-10-01

    Classical digital signatures are commonly used in e-mail, electronic financial transactions and other forms of electronic communications to ensure that messages have not been tampered with in transit, and that messages are transferrable. The security of commonly used classical digital signature schemes relies on the computational difficulty of inverting certain mathematical functions. However, at present, there are no such one-way functions which have been proven to be hard to invert. With enough computational resources certain implementations of classical public key cryptosystems can be, and have been, broken with current technology. It is nevertheless possible to construct information-theoretically secure signature schemes, including quantum digital signature schemes. Quantum signature schemes can be made information theoretically secure based on the laws of quantum mechanics, while classical comparable protocols require additional resources such as secret communication and a trusted authority. Early demonstrations of quantum digital signatures required quantum memory, rendering them impractical at present. Our present implementation is based on a protocol that does not require quantum memory. It also uses the new technique of unambiguous quantum state elimination, Here we report experimental results for a test-bed system, recorded with a variety of different operating parameters, along with a discussion of aspects of the system security.

  9. 12 CFR 223.16 - What transactions by a member bank with any person are treated as transactions with an affiliate?

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... securities from or through an affiliate of the member bank. (4) General purpose credit card transactions. (i... imposed in, a general purpose credit card issued by the member bank to the nonaffiliate. (ii) Definition. “General purpose credit card” means a credit card issued by a member bank that is widely accepted by...

  10. 12 CFR 223.16 - What transactions by a member bank with any person are treated as transactions with an affiliate?

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... securities from or through an affiliate of the member bank. (4) General purpose credit card transactions. (i... imposed in, a general purpose credit card issued by the member bank to the nonaffiliate. (ii) Definition. “General purpose credit card” means a credit card issued by a member bank that is widely accepted by...

  11. 12 CFR 223.16 - What transactions by a member bank with any person are treated as transactions with an affiliate?

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... securities from or through an affiliate of the member bank. (4) General purpose credit card transactions. (i... imposed in, a general purpose credit card issued by the member bank to the nonaffiliate. (ii) Definition. “General purpose credit card” means a credit card issued by a member bank that is widely accepted by...

  12. 12 CFR 223.16 - What transactions by a member bank with any person are treated as transactions with an affiliate?

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... securities from or through an affiliate of the member bank. (4) General purpose credit card transactions. (i... imposed in, a general purpose credit card issued by the member bank to the nonaffiliate. (ii) Definition. “General purpose credit card” means a credit card issued by a member bank that is widely accepted by...

  13. 12 CFR 223.16 - What transactions by a member bank with any person are treated as transactions with an affiliate?

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... securities from or through an affiliate of the member bank. (4) General purpose credit card transactions. (i... imposed in, a general purpose credit card issued by the member bank to the nonaffiliate. (ii) Definition. “General purpose credit card” means a credit card issued by a member bank that is widely accepted by...

  14. 15 CFR 701.1 - Purpose.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... AND SECURITY, DEPARTMENT OF COMMERCE NATIONAL SECURITY INDUSTRIAL BASE REGULATIONS REPORTING OF... designated the Bureau of Industry and Security as the organization responsible for implementing this... offset transactions on the defense preparedness, industrial competitiveness, employment, and trade of the...

  15. Use of electronic fare transaction data for corridor planning.

    DOT National Transportation Integrated Search

    2017-06-01

    This report documents the initial phase of a project that developed, tested, and used a methodology and tool set for converting electronic transit agency fare card transaction data, the Puget Sound regions ORCA electronic fare card, into informati...

  16. 12 CFR 609.950 - Electronic communications.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... with E-SIGN, System institutions may communicate electronically in business, consumer, or commercial transactions. E-commerce transactions require the agreement of all parties when you do business. (b....950 Banks and Banking FARM CREDIT ADMINISTRATION FARM CREDIT SYSTEM ELECTRONIC COMMERCE General...

  17. 12 CFR 609.950 - Electronic communications.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... with E-SIGN, System institutions may communicate electronically in business, consumer, or commercial transactions. E-commerce transactions require the agreement of all parties when you do business. (b....950 Banks and Banking FARM CREDIT ADMINISTRATION FARM CREDIT SYSTEM ELECTRONIC COMMERCE General...

  18. 12 CFR 609.950 - Electronic communications.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... with E-SIGN, System institutions may communicate electronically in business, consumer, or commercial transactions. E-commerce transactions require the agreement of all parties when you do business. (b....950 Banks and Banking FARM CREDIT ADMINISTRATION FARM CREDIT SYSTEM ELECTRONIC COMMERCE General...

  19. 12 CFR 609.950 - Electronic communications.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... with E-SIGN, System institutions may communicate electronically in business, consumer, or commercial transactions. E-commerce transactions require the agreement of all parties when you do business. (b....950 Banks and Banking FARM CREDIT ADMINISTRATION FARM CREDIT SYSTEM ELECTRONIC COMMERCE General...

  20. 12 CFR 609.950 - Electronic communications.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... with E-SIGN, System institutions may communicate electronically in business, consumer, or commercial transactions. E-commerce transactions require the agreement of all parties when you do business. (b....950 Banks and Banking FARM CREDIT ADMINISTRATION FARM CREDIT SYSTEM ELECTRONIC COMMERCE General...

  1. 77 FR 76770 - Proposed Exemptions From Certain Prohibited Transaction Restrictions

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-28

    ...This document contains notices of pendency before the Department of Labor (the Department) of proposed exemptions from certain of the prohibited transaction restrictions of the Employee Retirement Income Security Act of 1974 (ERISA or the Act) and/or the Internal Revenue Code of 1986 (the Code). This notice includes the following proposed exemptions: D-11664, Atlas Energy, Inc. Employee Stock Ownership Plan (the Plan); D-11718, Notice of Proposed Amendment to Prohibited Transaction Exemption (PTE) 2007-05, Involving Prudential Securities Incorporated; L-11720, The Mo-Kan Teamsters Apprenticeship and Training Fund (the Fund); L-11738, The Coca-Cola Company (TCCC) and Red Re, Inc. (Red Re) (together, the Applicants); and D-11671, Silchester International Investors LLP (Silchester or the Applicant).

  2. 76 FR 27671 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-12

    ... limit their business to the sale and redemption of securities of registered investment companies and... required to register only because they effect transactions in securities futures products. The information... securities business or do not hold inventories of securities. For these reasons, the staff estimates that the...

  3. 76 FR 43376 - Order Granting Temporary Exemptions From Certain Government Securities Act Provisions and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-20

    ... DEPARTMENT OF THE TREASURY Order Granting Temporary Exemptions From Certain Government Securities... temporary exemptions from certain Government Securities Act of 1986 provisions and regulations regarding transactions in credit default swaps that reference government securities. ICE Clear Credit LLC requested these...

  4. 17 CFR 41.25 - Additional conditions for trading for security futures products.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... security outstanding, the designated contract market or registered derivatives transaction execution... securities. (3) Notwithstanding paragraphs (b)(1) or (b)(2) of this section, if a derivatives clearing... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Additional conditions for...

  5. 17 CFR 240.16b-6 - Derivative securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Derivative securities. 240.16b... Exchange Act of 1934 Exemption of Certain Transactions from Section 16(b) § 240.16b-6 Derivative securities...). Note to paragraph (b): The exercise or conversion of a derivative security that does not satisfy the...

  6. 17 CFR 242.401 - Definitions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... of whose business consists of transactions in securities, commodity futures, or commodity options... securities, commodity futures, or commodity options with persons other than brokers, dealers, persons... M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES Customer Margin...

  7. 17 CFR 41.22 - Required certifications.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Section 41.22 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION SECURITY FUTURES PRODUCTS Requirements and Standards for Listing Security Futures Products § 41.22 Required certifications. It shall be unlawful for a designated contract market or registered derivatives transaction execution...

  8. 31 CFR 800.207 - Covered transaction.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 31 Money and Finance: Treasury 3 2010-07-01 2010-07-01 false Covered transaction. 800.207 Section 800.207 Money and Finance: Treasury Regulations Relating to Money and Finance (Continued) OFFICE OF INVESTMENT SECURITY, DEPARTMENT OF THE TREASURY REGULATIONS PERTAINING TO MERGERS, ACQUISITIONS, AND...

  9. 17 CFR 240.13e-3 - Going private transactions by certain issuers or their affiliates.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... or the context otherwise requires, all terms used in this section and in Schedule 13E-3 [§ 240.13e... securities in connection with the transaction, the acquiror must furnish an English translation of that...

  10. 78 FR 10639 - Proposed Amendment to Prohibited Transaction Exemption 2006-06 (PTE 2006-06) for Services...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-14

    ...The Department of Labor (the Department) is extending the comment period for a proposed amendment to PTE 2006-06, a prohibited transaction class exemption issued under the Employee Retirement Income Security Act of 1974 (ERISA). PTE 2006-06 provides an exemption for certain transactions entered into on behalf of individual account pension plans that have been abandoned by their sponsors.

  11. High Throughput via Cross-Layer Interference Alignment for Mobile Ad Hoc Networks

    DTIC Science & Technology

    2013-08-26

    MIMO zero-forcing receiver in the presence of channel estimation error,” IEEE Transactions on Wireless Communications , vol. 6 , no. 3, pp. 805–810, Mar...Robert W. Heath, Nachiappan Valliappan. Antenna Subset Modulation for Secure Millimeter-Wave Wireless Communication , IEEE Transactions on...in MIMO Interference Alignment Networks, IEEE Transactions on Wireless Communications , (02 2012): 0. doi: 10.1109/TWC.2011.120511.111088 TOTAL: 2

  12. Development of protected endorsement for online banking using mobile phones

    NASA Astrophysics Data System (ADS)

    Narayana, Galla; Venkateswarlu, Tammineni; Kumar, G. S. P.; Padmavathamma, Mokkala; Sreekanth, G.; Delhibabu, K.; Prasad, A. R.

    2013-03-01

    Securing Online Banking transactions for customer is the primary goal of financial institutions that provides Internet banking facility. Mobile phones play an important role in our society as more and more functions having been integrated within mobile phones, such as Internet browsing, mobile banking, and shopping. Mobiles phones can be used to secure ATM card pins by sending to the customer directly rather than in emails or by other means which has a possibility of hacking. In this paper we have proposed method of generating a Private Key Security Token by bank authentication servers which uses IMSI registers and IMEI number of client's mobile registered. The key is generated by implementing RIPE MD160 and Hex Encode Algorithm. Token received is valid only for that client mobile only and can be generated upon request by customer dynamically. The client is given a PIN and a Master Key when registered to the Online Banking Services. If in case a client's mobile is lost, authentication is done using Unique Master Key, else the Private Key Token is used there by making transactions secured and simple without the need of carrying any USB Tokens. The additional functionality provides the client more security on their transactions. Due to this Phishing attacks by the hackers is avoided.

  13. 17 CFR 41.23 - Listing of security futures products for trading.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... products for trading. 41.23 Section 41.23 Commodity and Securities Exchanges COMMODITY FUTURES TRADING... Listing of security futures products for trading. (a) Initial listing of products for trading. To list new security futures products for trading, a designated contract market or registered derivatives transaction...

  14. 12 CFR 704.2 - Definitions.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    .... Adjusted trading means any method or transaction whereby a corporate credit union sells a security to a... securities, asset-backed securities, or corporate obligations in the form of loans or debt. Senior tranches... repurchase the same security at a specified time in the future. The corporate credit union then sells that...

  15. 12 CFR 151.40 - What definitions apply to this part?

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS § 151.40 What definitions apply to this part? Asset-backed security means a security that is primarily serviced by the cash flows of a discrete pool of... a finite time period. Asset-backed security includes any rights or other assets designed to ensure...

  16. 17 CFR 41.23 - Listing of security futures products for trading.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... products for trading. 41.23 Section 41.23 Commodity and Securities Exchanges COMMODITY FUTURES TRADING... Listing of security futures products for trading. (a) Initial listing of products for trading. To list new security futures products for trading, a designated contract market or registered derivatives transaction...

  17. 26 CFR 1.503(b)-1 - Prohibited transactions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... capable of meeting the indebtedness, it may be adequately secured. However, subordinated debentures bonds... borrowing corporation is not adequate security. Likewise, debenture bonds which are convertible on default...

  18. 26 CFR 1.503(b)-1 - Prohibited transactions.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... capable of meeting the indebtedness, it may be adequately secured. However, subordinated debentures bonds... borrowing corporation is not adequate security. Likewise, debenture bonds which are convertible on default...

  19. 26 CFR 1.503(b)-1 - Prohibited transactions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... capable of meeting the indebtedness, it may be adequately secured. However, subordinated debentures bonds... borrowing corporation is not adequate security. Likewise, debenture bonds which are convertible on default...

  20. 26 CFR 1.503(b)-1 - Prohibited transactions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... capable of meeting the indebtedness, it may be adequately secured. However, subordinated debentures bonds... borrowing corporation is not adequate security. Likewise, debenture bonds which are convertible on default...

  1. 75 FR 75207 - Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-02

    ...In accordance with Section 763 (``Section 763'') and Section 766 (``Section 766'') of Title VII (``Title VII'') of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act''), the Securities and Exchange Commission (``SEC'' or ``Commission'') is proposing Regulation SBSR--Reporting and Dissemination of Security-Based Swap Information (``Regulation SBSR'') under the Securities Exchange Act of 1934 (``Exchange Act'').\\1\\ Proposed Regulation SBSR would provide for the reporting of security- based swap information to registered security-based swap data repositories or the Commission and the public dissemination of security-based swap transaction, volume, and pricing information. Registered security-based swap data repositories would be required to establish and maintain certain policies and procedures regarding how transaction data are reported and disseminated, and participants of registered security-based swap data repositories that are security- based swap dealers or major security-based swap participants would be required to establish and maintain policies and procedures that are reasonably designed to ensure that they comply with applicable reporting obligations. Finally, proposed Regulation SBSR also would require a registered SDR to register with the Commission as a securities information processor on existing Form SIP. ---------------------------------------------------------------------------

  2. 78 FR 73885 - Agency Information Collection Activities; Submission for OMB Review; Comment Request; Prohibited...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-09

    ... for OMB Review; Comment Request; Prohibited Transaction Class Exemption 1985-68 to Permit Employee... (DOL) is submitting the Employee Benefits Security Administration (EBSA) sponsored information collection request (ICR) titled, ``Prohibited Transaction Class Exemption 1985-68 to Permit Employee Benefit...

  3. Transactional sex as a form of child sexual exploitation and abuse in Rwanda: implications for child security and protection.

    PubMed

    Williams, Timothy P; Binagwaho, Agnes; Betancourt, Theresa S

    2012-04-01

    To illuminate the different manifestations of transactional sexual exploitation and abuse among Rwanda's children in order to inform effective responses by policies, programs, and communities. Qualitative data was collected during April and May 2010. One-hundred and thirty-nine adults (56% female) and 52 children (60% female) participated in focus groups across three geographic locations in Rwanda. Eleven interviews were held with child protection stakeholders. Interview and focus group participants reported how children, primarily girls, engaged in transactional sex as a survival strategy in response to situations of adversity including economic deprivation, difficulty accessing school, and social pressure. Policy and programs should work to address the underlying social and economic determinants of transactional sexual exploitation through structural interventions that reduce gender inequalities to accessing school and securing basic needs. Further quantitative and qualitative research to better understand the complexities of this issue is warranted. Copyright © 2012 Elsevier Ltd. All rights reserved.

  4. 17 CFR 239.34 - Form F-4, for registration of securities of foreign private issuers issued in certain business...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Form F-4, for registration of securities of foreign private issuers issued in certain business combination transactions. 239.34 Section 239.34 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORMS PRESCRIBED UNDER THE...

  5. Analysis of Counterfactual Quantum Certificate Authorization

    NASA Astrophysics Data System (ADS)

    Wang, Tian-Yin; Li, Yan-Ping; Zhang, Rui-Ling

    2016-12-01

    A counterfactual quantum certificate authorization protocol was proposed recently (Shenoy et al., Phys. Rev. A 89, 052307 (20)), in which a trusted third party, Alice, authenticates an entity Bob (e.g., a bank) that a client Charlie wishes to securely transact with. However, this protocol requires a classical authenticated channel between Bob and Charlie to prevent possible attacks from the third party Alice, which is in conflict with the task of certificate authorization in the sense that Bob and Charlie can establish an unconditionally-secure key by a quantum key distribution protocol if there is a classical authenticated channel between them and hence securely transact with each other even without the assistance of the third party Alice.

  6. 17 CFR 5.8 - Aggregate retail forex assets.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Aggregate retail forex assets... FOREIGN CURRENCY TRANSACTIONS § 5.8 Aggregate retail forex assets. (a) Each retail foreign exchange dealer and futures commission merchant offering or engaging in retail forex transactions shall calculate its...

  7. 17 CFR 5.8 - Aggregate retail forex assets.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Aggregate retail forex assets... FOREIGN CURRENCY TRANSACTIONS § 5.8 Aggregate retail forex assets. (a) Each retail foreign exchange dealer and futures commission merchant offering or engaging in retail forex transactions shall calculate its...

  8. 17 CFR 5.8 - Aggregate retail forex assets.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Aggregate retail forex assets... FOREIGN CURRENCY TRANSACTIONS § 5.8 Aggregate retail forex assets. (a) Each retail foreign exchange dealer and futures commission merchant offering or engaging in retail forex transactions shall calculate its...

  9. 78 FR 42439 - Retail Foreign Exchange Transactions

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-16

    ... a retail forex business, provided that the broker-dealer complies with the Securities Exchange Act...) of which the broker-dealer is a member insofar as they are applicable to retail forex transactions... Exchange Act, to permit a registered broker or dealer (``broker-dealer'') to engage in retail forex...

  10. 17 CFR 3.10 - Registration of futures commission merchants, retail foreign exchange dealers, introducing...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ..., commodity pool operators and leverage transaction merchants. 3.10 Section 3.10 Commodity and Securities..., commodity pool operators and leverage transaction merchants. (a) Application for registration. (1)(i) Except... merchant, retail foreign exchange dealers, introducing broker, commodity trading advisor, commodity pool...

  11. 15 CFR 748.5 - Parties to the transaction.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 15 Commerce and Foreign Trade 2 2010-01-01 2010-01-01 false Parties to the transaction. 748.5 Section 748.5 Commerce and Foreign Trade Regulations Relating to Commerce and Foreign Trade (Continued) BUREAU OF INDUSTRY AND SECURITY, DEPARTMENT OF COMMERCE EXPORT ADMINISTRATION REGULATIONS APPLICATIONS...

  12. 75 FR 54542 - Prohibited Transaction Exemption Procedures; Employee Benefit Plans

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-08

    ... DEPARTMENT OF LABOR Employee Benefits Security Administration 29 CFR Part 2570 RIN 1210-AA98 Prohibited Transaction Exemption Procedures; Employee Benefit Plans Correction In proposed rule document 2010-21073 beginning on page 53172 in the issue of Monday, August 30, 2010, make the following correction...

  13. CICS Region Virtualization for Cost Effective Application Development

    ERIC Educational Resources Information Center

    Khan, Kamal Waris

    2012-01-01

    Mainframe is used for hosting large commercial databases, transaction servers and applications that require a greater degree of reliability, scalability and security. Customer Information Control System (CICS) is a mainframe software framework for implementing transaction services. It is designed for rapid, high-volume online processing. In order…

  14. 17 CFR 240.17f-1 - Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... securities exchange who effects securities transactions through the trading facilities of the exchange and... can obtain a negotiable securities certificate; or (3) A reporting institution whose business... the securities certificate has been missing or lost for a period of two business days. Such report...

  15. 12 CFR 12.9 - Settlement of securities transactions.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... national bank shall not effect or enter into a contract for the purchase or sale of a security (other than... of securities later than the third business day after the date of the contract, unless otherwise... bank shall not effect or enter into a contract for the purchase or sale of the securities that provides...

  16. 12 CFR 551.40 - What definitions apply to this part?

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS § 551.40 What definitions apply to this part? Asset-backed security means a security that is primarily serviced by the cash flows of a discrete pool... cash within a finite time period. Asset-backed security includes any rights or other assets designed to...

  17. 12 CFR 551.40 - What definitions apply to this part?

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS § 551.40 What definitions apply to this part? Asset-backed security means a security that is primarily serviced by the cash flows of a discrete pool... cash within a finite time period. Asset-backed security includes any rights or other assets designed to...

  18. 12 CFR 551.40 - What definitions apply to this part?

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS § 551.40 What definitions apply to this part? Asset-backed security means a security that is primarily serviced by the cash flows of a discrete pool... cash within a finite time period. Asset-backed security includes any rights or other assets designed to...

  19. 17 CFR 230.488 - Effective date of registration statements relating to securities to be issued in certain business...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... statements relating to securities to be issued in certain business combination transactions. 230.488 Section... REGULATIONS, SECURITIES ACT OF 1933 Investment Companies; Business Development Companies § 230.488 Effective date of registration statements relating to securities to be issued in certain business combination...

  20. 75 FR 75518 - Order Extending Temporary Conditional Exemptions Under the Securities Exchange Act of 1934 in...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-03

    ... things, that transactions in security-based swaps be cleared through a clearing agency that is registered... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63390; File No. S7-17-09] Order Extending Temporary Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on...

  1. 75 FR 75520 - Order Extending Temporary Conditional Exemptions Under The Securities Exchange Act of 1934 in...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-03

    ... other things, that transactions in security-based swaps be cleared through a clearing agency that is... Reserve System, shall, among other things, jointly further define the terms ``swap'' and ``security- based... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63389; File No. S7-16-09] Order Extending...

  2. 76 FR 3165 - Proposed Exemptions From Certain Prohibited Transaction Restrictions

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-19

    ...This document contains notices of pendency before the Department of Labor (the Department) of proposed exemptions from certain of the prohibited transaction restrictions of the Employee Retirement Income Security Act of 1974 (ERISA or the Act) and/or the Internal Revenue Code of 1986 (the Code). This notice includes the following proposed exemptions: D-11580, Robert W. Baird & Co. Incorporated and its Current and Future Affiliates and subsidiaries (collectively, Baird); and D-11611, Security Benefit Mutual Holding Company (MHC) Benefit Life Insurance Company (SBL, and together with the Applicants), et al.

  3. 78 FR 77173 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-20

    ... because they effect transactions in securities futures products. The information obtained from Rule 17a-13... time complying with the rule, given that they do not do a public securities business or do not hold... SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request...

  4. 17 CFR 32.6 - Segregation.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Segregation. 32.6 Section 32.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION TRANSACTIONS § 32.6 Segregation. (a) Any person which accepts money, securities, or property from an option...

  5. 17 CFR 32.6 - Segregation.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Segregation. 32.6 Section 32.6 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION REGULATION OF COMMODITY OPTION TRANSACTIONS § 32.6 Segregation. (a) Any person which accepts money, securities, or property from an option...

  6. The provision and impact of online patient access to their electronic health records (EHR) and transactional services on the quality and safety of health care: systematic review protocol.

    PubMed

    Mold, Freda; Ellis, Beverley; de Lusignan, Simon; Sheikh, Aziz; Wyatt, Jeremy C; Cavill, Mary; Michalakidis, Georgios; Barker, Fiona; Majeed, Azeem; Quinn, Tom; Koczan, Phil; Avanitis, Theo; Gronlund, Toto Anne; Franco, Christina; McCarthy, Mary; Renton, Zoë; Chauhan, Umesh; Blakey, Hannah; Kataria, Neha; Jones, Simon; Rafi, Imran

    2012-01-01

    Innovators have piloted improvements in communication, changed patterns of practice and patient empowerment from online access to electronic health records (EHR). International studies of online services, such as prescription ordering, online appointment booking and secure communications with primary care, show good uptake of email consultations, accessing test results and booking appointments; when technologies and business process are in place. Online access and transactional services are due to be rolled out across England by 2015; this review seeks to explore the impact of online access to health records and other online services on the quality and safety of primary health care. To assess the factors that may affect the provision of online patient access to their EHR and transactional services, and the impact of such access on the quality and safety of health care. Two reviewers independently searched 11 international databases during the period 1999-2012. A range of papers including descriptive studies using qualitative or quantitative methods, hypothesis-testing studies and systematic reviews were included. A detailed eligibility criterion will be used to shape study inclusion. A team of experts will review these papers for eligibility, extract data using a customised extraction form and use the Grading of Recommendations Assessment, Development and Evaluation (GRADE) instrument to determine the quality of the evidence and the strengths of any recommendation. Data will then be descriptively summarised and thematically synthesised. Where feasible, we will perform a quantitative meta-analysis. Prospero (International Prospective Register of Systematic Reviews) registration number: crd42012003091.

  7. 76 FR 2049 - Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(d...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-12

    ... securities of the class sold in a registered transaction held by non-affiliates of the depositor. We are also... that for issuers without a class of securities registered under the Exchange Act the duty to file... the registration statement for the securities became effective, if the securities of each class to...

  8. SEADE: Countering the Futility of Network Security

    DTIC Science & Technology

    2015-10-01

    guards, and computer cages) and logical security measures (network firewall and intrusion detection). However, no matter how many layers of network...security built-in and with minimal security dependence on network security appliances (e.g., firewalls ). As Secretary of Defense Ashton Carter...based analysis that assumes nothing bad will happen to applications/data if those defenses prevent malware transactions at the entrance. The

  9. Transaction-based building controls framework, Volume 2: Platform descriptive model and requirements

    DOE Office of Scientific and Technical Information (OSTI.GOV)

    Akyol, Bora A.; Haack, Jereme N.; Carpenter, Brandon J.

    Transaction-based Building Controls (TBC) offer a control systems platform that provides an agent execution environment that meets the growing requirements for security, resource utilization, and reliability. This report outlines the requirements for a platform to meet these needs and describes an illustrative/exemplary implementation.

  10. 12 CFR 226.23 - Right of rescission.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... TRUTH IN LENDING (REGULATION Z) Closed-End Credit § 226.23 Right of rescission. (a) Consumer's right to... consumer's principal dwelling, each consumer whose ownership interest is or will be subject to the security interest shall have the right to rescind the transaction, except for transactions described in paragraph (f...

  11. 17 CFR 37.6 - Compliance with core principles.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Compliance with core... DERIVATIVES TRANSACTION EXECUTION FACILITIES § 37.6 Compliance with core principles. (a) In general. To... transaction execution facility must have the capacity to be, and be, in compliance with the core principles of...

  12. 17 CFR 242.100 - Preliminary note; definitions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... (CONTINUED) REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES Regulation M § 242.100 Preliminary note; definitions. (a) Preliminary note: Any transaction or series of transactions, whether or not effected pursuant to the provisions of Regulation M (§§ 242.100-242.105 of this...

  13. 17 CFR 229.1001 - (Item 1001) Summary term sheet.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... sheet that is written in plain English. The summary term sheet must briefly describe in bullet point format the most material terms of the proposed transaction. The summary term sheet must provide security... transaction. The bullet points must cross-reference a more detailed discussion contained in the disclosure...

  14. 17 CFR 37.6 - Compliance with core principles.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Compliance with core... DERIVATIVES TRANSACTION EXECUTION FACILITIES § 37.6 Compliance with core principles. (a) In general. To... transaction execution facility must have the capacity to be, and be, in compliance with the core principles of...

  15. Security and confidentiality of health information systems: implications for physicians.

    PubMed

    Dorodny, V S

    1998-01-01

    Adopting and developing the new generation of information systems will be essential to remain competitive in a quality conscious health care environment. These systems enable physicians to document patient encounters and aggregate the information from the population they treat, while capturing detailed data on chronic medical conditions, medications, treatment plans, risk factors, severity of conditions, and health care resource utilization and management. Today, the knowledge-based information systems should offer instant, around-the-clock access for the provider, support simple order entry, facilitate data capture and retrieval, and provide eligibility verification, electronic authentication, prescription writing, security, and reporting that benchmarks outcomes management based upon clinical/financial decisions and treatment plans. It is an integral part of any information system to incorporate and integrate transactional (financial/administrative) information, as well as analytical (clinical/medical) data in a user-friendly, readily accessible, and secure form. This article explores the technical, financial, logistical, and behavioral obstacles on the way to the Promised Land.

  16. Electronic Business Transaction Infrastructure Analysis Using Petri Nets and Simulation

    ERIC Educational Resources Information Center

    Feller, Andrew Lee

    2010-01-01

    Rapid growth in eBusiness has made industry and commerce increasingly dependent on the hardware and software infrastructure that enables high-volume transaction processing across the Internet. Large transaction volumes at major industrial-firm data centers rely on robust transaction protocols and adequately provisioned hardware capacity to ensure…

  17. 17 CFR 240.16b-3 - Transactions between an issuer and its officers or directors.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... respect to a derivative security if at least six months elapse from the date of acquisition of the derivative security to the date of disposition of the derivative security (other than upon exercise or... of a derivative security that does not satisfy the conditions of this section is eligible for...

  18. 75 FR 15479 - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-29

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61762; File No. SR-NSCC-2010-02] Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Aggregate Obligations in Certain Securities Transactions Designated for Settlement on a Trade-for-Trade Basis Marc...

  19. 17 CFR 247.776 - Exemption from the definition of “broker” for banks effecting certain excepted or exempted...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... for its employee benefit plans. 247.776 Section 247.776 Commodity and Securities Exchanges SECURITIES... effecting certain excepted or exempted transactions in a company's securities for its employee benefit plans... benefit of an employee benefit plan account; (3) Any such security is obtained directly from: (i) The...

  20. HIPAA is larger and more complex than Y2K.

    PubMed

    Tempesco, J W

    2000-07-01

    The Health Insurance Portability and Accountability Act of 1996 (HIPAA) is a larger and more complex problem than Y2K ever was. According to the author, the costs associated with a project of such unending scope and in support of intrusion into both information and operational systems of every health care transaction will be incalculable. Some estimate that the administrative simplification policies implemented through HIPAA will save billions of dollars annually, but it remains to be seen whether the savings will outweigh implementation and ongoing expenses associated with systemwide application of the regulations. This article addresses the rules established for electronic data interchange, data set standards for diagnostic and procedure codes, unique identifiers, coordination of benefits, privacy of individual health care information, electronic signatures, and security requirements.

  1. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... otherwise benefiting from any transaction in securities or money market instruments when the person is aware... services that affects the securities or money market instruments; and (3) The inappropriate dissemination...

  2. 17 CFR 30.7 - Treatment of foreign futures or foreign options secured amount.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... FUTURES TRADING COMMISSION FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS § 30.7 Treatment of foreign futures or foreign options secured amount. (a) Except as provided in this section, a futures commission... options customers denominated as the foreign futures or foreign options secured amount. Such money...

  3. 7 CFR 772.8 - Sale or exchange of security property.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ..., DEPARTMENT OF AGRICULTURE SPECIAL PROGRAMS SERVICING MINOR PROGRAM LOANS § 772.8 Sale or exchange of security..., or sex in programs or activities receiving Federal financial assistance. Such provisions apply for as... security for the loan is adequate or will not change after the transaction. (iv) Sale proceeds remaining...

  4. 7 CFR 772.8 - Sale or exchange of security property.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ..., DEPARTMENT OF AGRICULTURE SPECIAL PROGRAMS SERVICING MINOR PROGRAM LOANS § 772.8 Sale or exchange of security..., or sex in programs or activities receiving Federal financial assistance. Such provisions apply for as... security for the loan is adequate or will not change after the transaction. (iv) Sale proceeds remaining...

  5. 7 CFR 772.8 - Sale or exchange of security property.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ..., DEPARTMENT OF AGRICULTURE SPECIAL PROGRAMS SERVICING MINOR PROGRAM LOANS § 772.8 Sale or exchange of security..., or sex in programs or activities receiving Federal financial assistance. Such provisions apply for as... security for the loan is adequate or will not change after the transaction. (iv) Sale proceeds remaining...

  6. 7 CFR 772.8 - Sale or exchange of security property.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ..., DEPARTMENT OF AGRICULTURE SPECIAL PROGRAMS SERVICING MINOR PROGRAM LOANS § 772.8 Sale or exchange of security..., or sex in programs or activities receiving Federal financial assistance. Such provisions apply for as... security for the loan is adequate or will not change after the transaction. (iv) Sale proceeds remaining...

  7. 75 FR 4626 - Order Granting a Temporary Exemption From Certain Government Securities Act Provisions and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-28

    ... accommodate customer clearing of credit default swaps that reference government securities. Treasury is also... regulations impose obligations concerning financial responsibility, protection of customer securities and... clearance of credit default swaps (CDS)\\8\\ transactions on behalf of customers of ICE Trust clearing members...

  8. 12 CFR 563b.530 - What other requirements apply after I convert?

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... quotations for the security in a recognized inter-dealer quotation system; (2) Furnishes bona fide competitive bid and offer quotations for the security on request; or (3) May effect transactions for the... Securities Dealers Automated Quotation system. (d) File all post-conversion reports that OTS requires...

  9. 31 CFR 344.3 - What provisions apply to the SLGSafe Service?

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... to the SLGSafe Service? (a) What is the SLGSafe Service? SLGSafe is a secure Internet site on the World Wide Web through which subscribers submit SLGS securities transactions. SLGSafe Internet... (Continued) FISCAL SERVICE, DEPARTMENT OF THE TREASURY BUREAU OF THE PUBLIC DEBT U.S. TREASURY SECURITIES...

  10. 31 CFR 344.3 - What provisions apply to the SLGSafe Service?

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... to the SLGSafe Service? (a) What is the SLGSafe Service? SLGSafe is a secure Internet site on the World Wide Web through which subscribers submit SLGS securities transactions. SLGSafe Internet... (Continued) FISCAL SERVICE, DEPARTMENT OF THE TREASURY BUREAU OF THE FISCAL SERVICE U.S. TREASURY SECURITIES...

  11. 31 CFR 344.3 - What provisions apply to the SLGSafe Service?

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... to the SLGSafe Service? (a) What is the SLGSafe Service? SLGSafe is a secure Internet site on the World Wide Web through which subscribers submit SLGS securities transactions. SLGSafe Internet... (Continued) FISCAL SERVICE, DEPARTMENT OF THE TREASURY BUREAU OF THE PUBLIC DEBT U.S. TREASURY SECURITIES...

  12. 17 CFR 242.103 - Nasdaq passive market making.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...

  13. 17 CFR 242.103 - Nasdaq passive market making.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...

  14. 17 CFR 242.103 - Nasdaq passive market making.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...

  15. 17 CFR 242.103 - Nasdaq passive market making.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of Section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...

  16. 17 CFR 242.103 - Nasdaq passive market making.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Nasdaq passive market making... Regulation M § 242.103 Nasdaq passive market making. (a) Scope of Section. This section permits broker-dealers to engage in market making transactions in covered securities that are Nasdaq securities without...

  17. 75 FR 78768 - Proposed Exemptions From Certain Prohibited Transaction Restrictions

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-16

    ... Securities, as discussed herein. 2. The Applicant describes Auction Rate Securities (or ARS) and the arrangement by which ARS are bought and sold as follows. Auction Rate Securities are preferred stock or bonds... to perpetuity. ARS interest rates or dividend yields are determined and periodically reset at...

  18. 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

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70793; File No. S7-24-89] Joint Industry Plan..., Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on... Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC...

  19. 12 CFR 704.2 - Definitions.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    .... Adjusted trading means any method or transaction whereby a corporate credit union sells a security to a... corporate credit union purchases a security from one of its member credit unions under agreement by that member credit union to repurchase the same security at a specified time in the future. The corporate...

  20. 17 CFR Appendix B to Part 420 - Sample Large Position Report

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ..., and as collateral for financial derivatives and other securities transactions $ Total Memorandum 1... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Sample Large Position Report B Appendix B to Part 420 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER...

  1. 17 CFR 229.1103 - (Item 1103) Transaction summary and risk factors.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... if doing so will aid understanding. Consider using diagrams to illustrate the relationships among the parties, the structure of the securities offered (including, for example, the flow of funds or any... securities may be issued. (v) Identify the distribution frequency on the securities. (vi) Summarize the flow...

  2. 17 CFR 229.1103 - (Item 1103) Transaction summary and risk factors.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... if doing so will aid understanding. Consider using diagrams to illustrate the relationships among the parties, the structure of the securities offered (including, for example, the flow of funds or any... securities may be issued. (v) Identify the distribution frequency on the securities. (vi) Summarize the flow...

  3. 17 CFR 229.1103 - (Item 1103) Transaction summary and risk factors.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... if doing so will aid understanding. Consider using diagrams to illustrate the relationships among the parties, the structure of the securities offered (including, for example, the flow of funds or any... securities may be issued. (v) Identify the distribution frequency on the securities. (vi) Summarize the flow...

  4. 75 FR 58444 - Technical Correction of the Caption for Prohibited Transaction Exemption (PTE) 2010-27, Involving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-24

    ... DEPARTMENT OF LABOR Employee Benefits Security Administration Technical Correction of the Caption... Mid-Atlantic Region (the Plan) AGENCY: Employee Benefits Security Administration, Department of Labor..., Employee Benefits Security Administration, U.S. Department of Labor. [FR Doc. 2010-23931 Filed 9-23-10; 8...

  5. 17 CFR 260.11b-4 - Definition of “cash transaction” in section 311(b)(4).

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Definition of âcash transactionâ in section 311(b)(4). 260.11b-4 Section 260.11b-4 Commodity and Securities Exchanges SECURITIES... securities sold is made within 7 days after delivery of the goods or securities in currency or in checks or...

  6. 77 FR 17557 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-26

    ... contain such an intermediate dealer and, since the November 2009 enhancement to transaction reporting to... elimination of the intermediate dealer reporting requirement, the RTRS Users Manual would be revised to delete... the Real-Time Transaction Reporting System March 20, 2012. I. Introduction On January 20, 2012, the...

  7. 76 FR 28249 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-16

    ... of Rule Change Consisting of Fee Changes to Its Historical Transaction Data Reports May 10, 2011... (``MSRB'' or ``Board'') has filed with the SEC a proposed rule change relating to the MSRB's Historical Transaction Data Reports (the MSRB ``Historical Data Product''). The proposed rule change would increase the...

  8. 12 CFR 344.5 - Content and time of notification.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... transaction; or (C) In the case of open end investment company securities, the bank has provided the customer... remuneration from the customer or any other source in connection with the transaction, a statement of the source and amount of any remuneration to be received if such would be required under paragraph (b)(6) of...

  9. 12 CFR 551.90 - How do I provide a written notice?

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... case. This does not apply to a transaction in shares of a registered open-end investment company or... securities directly from, the registered open-end investment company or unit investment trust, its transfer... agreement, other than on a transaction basis. (f) The source and amount of any other remuneration you have...

  10. 78 FR 8205 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-05

    ... transaction fees for Broker-Dealers and Firms. NASDAQ OMX BX, Inc., (``BX''), International Securities Exchange, LLC (``ISE'') and NYSE Arca, Inc. (``NYSE Arca'') also charge Broker-Dealer transactions at the... to the market and regulatory requirements\\7\\ which normally do not apply to other market participants...

  11. 31 CFR 363.145 - May I delete a pending transaction involving a zero-percent certificate of indebtedness?

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... involving a zero-percent certificate of indebtedness? 363.145 Section 363.145 Money and Finance: Treasury... PUBLIC DEBT REGULATIONS GOVERNING SECURITIES HELD IN TREASURYDIRECT Zero-Percent Certificate of Indebtedness Zero-Percent Certificate of Indebtedness § 363.145 May I delete a pending transaction involving a...

  12. 31 CFR 363.145 - May I delete a pending transaction involving a zero-percent certificate of indebtedness?

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... involving a zero-percent certificate of indebtedness? 363.145 Section 363.145 Money and Finance: Treasury... PUBLIC DEBT REGULATIONS GOVERNING SECURITIES HELD IN TREASURYDIRECT Zero-Percent Certificate of Indebtedness Zero-Percent Certificate of Indebtedness § 363.145 May I delete a pending transaction involving a...

  13. 31 CFR 363.145 - May I delete a pending transaction involving a zero-percent certificate of indebtedness?

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... involving a zero-percent certificate of indebtedness? 363.145 Section 363.145 Money and Finance: Treasury... FISCAL SERVICE REGULATIONS GOVERNING SECURITIES HELD IN TREASURYDIRECT Zero-Percent Certificate of Indebtedness Zero-Percent Certificate of Indebtedness § 363.145 May I delete a pending transaction involving a...

  14. 31 CFR 363.145 - May I delete a pending transaction involving a zero-percent certificate of indebtedness?

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... involving a zero-percent certificate of indebtedness? 363.145 Section 363.145 Money and Finance: Treasury... PUBLIC DEBT REGULATIONS GOVERNING SECURITIES HELD IN TREASURYDIRECT Zero-Percent Certificate of Indebtedness Zero-Percent Certificate of Indebtedness § 363.145 May I delete a pending transaction involving a...

  15. 31 CFR 585.201 - Prohibited transactions involving blocked property; transactions with respect to securities.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... existence of any rights or obligations conferred or imposed by any international agreement or any contract... rights or obligations conferred or imposed by any international agreementor any contract entered into or... authorized, and notwithstanding the existence of any rights or obligations conferred or imposed by any...

  16. 76 FR 13248 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-10

    ... rule change to provide a new method of calculating the Trading Activity Fee (``TAF'') for transactions... calculating the TAF \\4\\ for transactions in Asset-Backed Securities.\\5\\ The TAF is one of the member... monitoring; and FINRA's policymaking, rulemaking, and enforcement activities.\\6\\ Generally, the TAF is...

  17. 77 FR 53893 - Privacy Act of 1974; Department of Homeland Security U.S. Immigration and Customs Enforcement-005...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-04

    ... to identify statistically anomalous transactions that may warrant investigation for money laundering... identify anomalies in patterns of trade. Such anomalies can indicate trade-based money laundering or other... transactions that may warrant investigation for money laundering or other import-export crimes. DARTTS is...

  18. A Mechanism for Anonymous Credit Card Systems

    NASA Astrophysics Data System (ADS)

    Tamura, Shinsuke; Yanase, Tatsuro

    This paper proposes a mechanism for anonymous credit card systems, in which each credit card holder can conceal individual transactions from the credit card company, while enabling the credit card company to calculate the total expenditures of transactions of individual card holders during specified periods, and to identify card holders who executed dishonest transactions. Based on three existing mechanisms, i.e. anonymous authentication, blind signature and secure statistical data gathering, together with implicit transaction links proposed here, the proposed mechanism enables development of anonymous credit card systems without assuming any absolutely trustworthy entity like tamper resistant devices or organizations faithful both to the credit card company and card holders.

  19. 7 CFR 772.8 - Sale or exchange of security property.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... property. (a) For AMP loans. (1) Sale of all or a portion of the security property may be approved when all... according to lien priority. (2) Exchange of all or a portion of security property for an AMP loan may be... exchange; (iii) The AMP loan will be as adequately secured after the transaction as before; and (iv) It is...

  20. 12 CFR 344.9 - Personal securities trading reporting by bank officers and employees.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 12 Banks and Banking 4 2011-01-01 2011-01-01 false Personal securities trading reporting by bank... TRANSACTIONS § 344.9 Personal securities trading reporting by bank officers and employees. (a) Officers and... “access persons” personal securities trading report required by (SEC) Rule 17j-1, 17 CFR 270.17j-1. [62 FR...

  1. 12 CFR 208.34 - Recordkeeping and confirmation of certain securities transactions effected by State member banks.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... primarily by the cash flows of a discrete pool of receivables or other financial assets, either fixed or... security that represents an interest in or is secured by a pool of receivables or other financial assets... interest in or is secured by a pool of receivables or other financial assets that are subject to continuous...

  2. 12 CFR 208.34 - Recordkeeping and confirmation of certain securities transactions effected by State member banks.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... primarily by the cash flows of a discrete pool of receivables or other financial assets, either fixed or... security that represents an interest in or is secured by a pool of receivables or other financial assets... interest in or is secured by a pool of receivables or other financial assets that are subject to continuous...

  3. 12 CFR 208.34 - Recordkeeping and confirmation of certain securities transactions effected by State member banks.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... primarily by the cash flows of a discrete pool of receivables or other financial assets, either fixed or... security that represents an interest in or is secured by a pool of receivables or other financial assets... interest in or is secured by a pool of receivables or other financial assets that are subject to continuous...

  4. 12 CFR 344.9 - Personal securities trading reporting by bank officers and employees.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 12 Banks and Banking 5 2012-01-01 2012-01-01 false Personal securities trading reporting by bank... TRANSACTIONS § 344.9 Personal securities trading reporting by bank officers and employees. (a) Officers and... “access persons” personal securities trading report required by (SEC) Rule 17j-1, 17 CFR 270.17j-1. [62 FR...

  5. 12 CFR 344.9 - Personal securities trading reporting by bank officers and employees.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 12 Banks and Banking 5 2013-01-01 2013-01-01 false Personal securities trading reporting by bank... TRANSACTIONS § 344.9 Personal securities trading reporting by bank officers and employees. (a) Officers and... “access persons” personal securities trading report required by (SEC) Rule 17j-1, 17 CFR 270.17j-1. [62 FR...

  6. 12 CFR 344.9 - Personal securities trading reporting by bank officers and employees.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 12 Banks and Banking 5 2014-01-01 2014-01-01 false Personal securities trading reporting by bank... TRANSACTIONS § 344.9 Personal securities trading reporting by bank officers and employees. (a) Officers and... “access persons” personal securities trading report required by (SEC) Rule 17j-1, 17 CFR 270.17j-1. [62 FR...

  7. 17 CFR 1.36 - Record of securities and property received from customers and option customers.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... of all securities and property received from customers, retail forex customers or option customers in lieu of money to margin, purchase, guarantee, or secure the commodity, retail forex or commodity option transactions of such customers, retail forex customers or option customers. Such record shall show separately...

  8. 17 CFR 1.36 - Record of securities and property received from customers and option customers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... of all securities and property received from customers, retail forex customers or option customers in lieu of money to margin, purchase, guarantee, or secure the commodity, retail forex or commodity option transactions of such customers, retail forex customers or option customers. Such record shall show separately...

  9. 76 FR 9366 - Proposed Exemptions From Certain Prohibited Transaction Restrictions

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-17

    ... Security'' or ``ARS'' means a security: (1) That is either a debt instrument (generally with a long-term... purchase of an ARS by Wachovia from a Plan. DATES: Effective Date: If granted, this proposed exemption will... describes Auction Rate Securities and the arrangement by which ARS are bought and sold as follows. Auction...

  10. 17 CFR 41.27 - Prohibition of dual trading in security futures products by floor brokers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... predetermined algorithm, a transaction for the same security futures product on the same designated contract... place advantage or the ability to override a predetermined algorithm must submit an appropriate rule... predetermined algorithm from trading a security futures product for accounts in which these same participants...

  11. 17 CFR 41.27 - Prohibition of dual trading in security futures products by floor brokers.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... predetermined algorithm, a transaction for the same security futures product on the same designated contract... place advantage or the ability to override a predetermined algorithm must submit an appropriate rule... predetermined algorithm from trading a security futures product for accounts in which these same participants...

  12. 17 CFR 230.166 - Exemption from section 5(c) for certain communications in connection with business combination...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Exemption from section 5(c) for certain communications in connection with business combination transactions. 230.166 Section 230.166 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND...

  13. 17 CFR 229.911 - (Item 911) Reports, opinions and appraisals.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false (Item 911) Reports, opinions and appraisals. 229.911 Section 229.911 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up Transactions § 229.911 (Item...

  14. 17 CFR 229.911 - (Item 911) Reports, opinions and appraisals.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false (Item 911) Reports, opinions and appraisals. 229.911 Section 229.911 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up Transactions § 229.911 (Item...

  15. 17 CFR 229.911 - (Item 911) Reports, opinions and appraisals.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 911) Reports, opinions and appraisals. 229.911 Section 229.911 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up Transactions § 229.911 (Item...

  16. 17 CFR 229.911 - (Item 911) Reports, opinions and appraisals.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 911) Reports, opinions and appraisals. 229.911 Section 229.911 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up Transactions § 229.911 (Item...

  17. 17 CFR 41.27 - Prohibition of dual trading in security futures products by floor brokers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... predetermined algorithm, a transaction for the same security futures product on the same designated contract... place advantage or the ability to override a predetermined algorithm must submit an appropriate rule... predetermined algorithm from trading a security futures product for accounts in which these same participants...

  18. 31 CFR 132.2 - Definitions.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... transaction provider, or any interactive computer service or telecommunications service); and (5) Does not include— (i) Any activity governed by the securities laws (as that term is defined in section 3(a)(47) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(47)) for the purchase or sale of securities (as...

  19. 12 CFR 233.2 - Definitions.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... transaction provider, or any interactive computer service or telecommunications service); and (5) Does not include— (i) Any activity governed by the securities laws (as that term is defined in section 3(a)(47) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(47)) for the purchase or sale of securities (as...

  20. 12 CFR 233.2 - Definitions.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... transaction provider, or any interactive computer service or telecommunications service); and (5) Does not include— (i) Any activity governed by the securities laws (as that term is defined in section 3(a)(47) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(47)) for the purchase or sale of securities (as...

  1. 31 CFR 132.2 - Definitions.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... transaction provider, or any interactive computer service or telecommunications service); and (5) Does not include— (i) Any activity governed by the securities laws (as that term is defined in section 3(a)(47) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(47)) for the purchase or sale of securities (as...

  2. 12 CFR 233.2 - Definitions.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... transaction provider, or any interactive computer service or telecommunications service); and (5) Does not include— (i) Any activity governed by the securities laws (as that term is defined in section 3(a)(47) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(47)) for the purchase or sale of securities (as...

  3. Security Considerations of Doing Business via the Internet: Cautions To Be Considered.

    ERIC Educational Resources Information Center

    Aldridge, Alicia; White, Michele; Forcht, Karen

    1997-01-01

    Lack of security is perceived as a major roadblock to doing business online. This article examines system, user, and commercial transaction privacy on the World Wide Web and discusses methods of protection: operating systems security, file and data protection, user education, access restrictions, data authentication, perimeter and transaction…

  4. 12 CFR 233.2 - Definitions.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... transaction provider, or any interactive computer service or telecommunications service); and (5) Does not include— (i) Any activity governed by the securities laws (as that term is defined in section 3(a)(47) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(47)) for the purchase or sale of securities (as...

  5. Security for Web-Based Tests.

    ERIC Educational Resources Information Center

    Shermis, Mark D.; Averitt, Jason

    The purpose of this paper is to enumerate a series of security steps that might be taken by those researchers or organizations that are contemplating Web-based tests and performance assessments. From a security viewpoint, much of what goes on with Web-based transactions is similar to other general computer activity, but the recommendations here…

  6. 76 FR 20744 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ...-Transaction Fees for Executions Against a Public Quotation in an OTC Equity Security April 8, 2011. On... disclose on its website any fees imposed against its published quotation in any OTC Equity Security...

  7. 31 CFR 363.33 - Can an attorney-in-fact conduct transactions in my TreasuryDirect ® account?

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... DEBT REGULATIONS GOVERNING SECURITIES HELD IN TREASURYDIRECT General Provisions Governing Securities... online. (b) An attorney-in-fact who provides a copy of a limited power of attorney may only conduct...

  8. 31 CFR 363.0 - What is the TreasuryDirect ® system?

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ...) FISCAL SERVICE, DEPARTMENT OF THE TREASURY BUREAU OF THE PUBLIC DEBT REGULATIONS GOVERNING SECURITIES... (TreasuryDirect) is an online account system in which you may hold and conduct transactions in eligible book-entry Treasury securities. ...

  9. 78 FR 66790 - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-06

    ... Transactions and Block Trades October 31, 2013. Pursuant to Section 19(b)(7) of the Securities Exchange Act of... contained in CFE Rules 414 (Exchange of Contract for Related Position) (``ECRP'') and 415 (Block Trading... requirements relating to ECRP transactions) and CFE Rule 415 (which sets forth requirements relating to Block...

  10. 78 FR 6155 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-29

    ... directed order flow to the Exchange. RMMs are not eligible to receive Directed Orders and therefore will... Priority Customer Accounts There will be no transaction fees assessed to EEMs entering orders for the account(s) of Priority Customers.\\10\\ Similarly, NYSEAmex and PHLX do not charge transaction fees for non...

  11. 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

    ... historic Rule 144A transaction data, to amend the definition of Historic TRACE Data to reference the three... dissemination of Rule 144A transactions. Nine commenters supported such dissemination and three commenters were... addition, transparency in this sector may improve the quality of the valuation of securities and derivative...

  12. 17 CFR 229.904 - (Item 904) Risk factors and other considerations.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up Transactions § 229.904 (Item... successor received by investors in the roll-up transaction will trade in the securities markets at a price... assets of the successor, and the effects on investors of such a trading market discount. (b) Quantify...

  13. 75 FR 31828 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-04

    ... the $1 cabinet price (e.g., the series might be quoted no bid).\\7\\ \\5\\ See Securities Exchange Act... Trail (``COATS'') requirements of Exchange Rule 6.24, Required Order Information. However, the Exchange maintains quotation, order and transaction information for the transactions in the same format as the COATS...

  14. 78 FR 40539 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-05

    ... even at the $1 cabinet price (e.g., the series might be quoted no bid).\\7\\ \\5\\ See Securities Exchange... Trail (``COATS'') requirements of Exchange Rule 6.24, Required Order Information. However, the Exchange maintains quotation, order and transaction information for the transactions in the same format as the COATS...

  15. 12 CFR 223.56 - What transactions are exempt from the market-terms requirement of section 23B?

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ...-terms requirement of section 23B? 223.56 Section 223.56 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM TRANSACTIONS BETWEEN MEMBER BANKS AND THEIR... paper to a Federal Reserve Bank to secure financing from the asset-backed commercial paper lending...

  16. 12 CFR 223.56 - What transactions are exempt from the market-terms requirement of section 23B?

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ...-terms requirement of section 23B? 223.56 Section 223.56 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM TRANSACTIONS BETWEEN MEMBER BANKS AND THEIR... paper to a Federal Reserve Bank to secure financing from the asset-backed commercial paper lending...

  17. 12 CFR 223.56 - What transactions are exempt from the market-terms requirement of section 23B?

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ...-terms requirement of section 23B? 223.56 Section 223.56 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (CONTINUED) TRANSACTIONS BETWEEN MEMBER BANKS...-backed commercial paper to a Federal Reserve Bank to secure financing from the asset-backed commercial...

  18. 26 CFR 301.6323(c)-1 - Protection for commercial transactions financing agreements.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... agreement entered into by a person in the course of his trade or business— (1) To make loans to the taxpayer... financing security acquired by the taxpayer in the ordinary course of his trade or business, or (2) To... course of his trade or business. Such an agreement qualifies as a commercial transactions financing...

  19. 26 CFR 301.6323(c)-1 - Protection for commercial transactions financing agreements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... agreement entered into by a person in the course of his trade or business— (1) To make loans to the taxpayer... financing security acquired by the taxpayer in the ordinary course of his trade or business, or (2) To... course of his trade or business. Such an agreement qualifies as a commercial transactions financing...

  20. 17 CFR 230.418 - Supplemental information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... offer or similar transaction, any feasibility studies, management analyses, fairness opinions or similar....405), of the securities being registered except for: (i) Reports solely comprised of recommendations to buy, sell or hold the securities of the registrant, unless such recommendations have changed...

Some links on this page may take you to non-federal websites. Their policies may differ from this site.
Top