Sample records for security financial

  1. 17 CFR 403.5 - Custody of securities held by financial institutions that are government securities brokers or...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... financial institutions that are government securities brokers or dealers. 403.5 Section 403.5 Commodity and... financial institutions that are government securities brokers or dealers. (a) A government securities broker or dealer that is a financial institution shall: (1) Comply with part 450 with respect to all...

  2. 17 CFR 210.3-17 - Financial statements of natural persons.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Financial statements of... COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES... Financial Statements § 210.3-17 Financial statements of natural persons. (a) In lieu of the financial...

  3. 17 CFR 210.3-10 - Financial statements of guarantors and issuers of guaranteed securities registered or being...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... than U.S. Generally Accepted Accounting Principles or International Financial Reporting Standards as... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Financial statements of... FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY...

  4. The existential cost of economic insecurity: Threatened financial security undercuts meaning.

    PubMed

    Abeyta, Andrew A; Routledge, Clay; Kersten, Michael; Cox, Cathy R

    2017-01-01

    Financial security (i.e., a person's sense that they can afford the things they need now and in the foreseeable future) contributes to psychological health and well-being. In the present research, we explored the implications of financial security for perceptions of meaning in life. In Study 1, we found that perceptions of financial insecurity predicted perceptions of meaning in life above and beyond income. Further, income only predicted perceptions of meaning to the extent that it was associated with reduced financial insecurity. In Studies 2 and 3, we found that financial security threats undermined perceptions of meaning in life. Taken together, these studies suggest that maintaining financial security is important for a sense of meaning in life.

  5. 17 CFR 210.8-02 - Annual financial statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Annual financial statements... AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE... ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Article 8 Financial Statements of...

  6. 17 CFR 210.8-08 - Age of financial statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Age of financial statements... AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE... ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Article 8 Financial Statements of...

  7. 17 CFR 210.8-08 - Age of financial statements.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Age of financial statements. 210.8-08 Section 210.8-08 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM... Smaller Reporting Companies § 210.8-08 Age of financial statements. At the date of filing, financial...

  8. 78 FR 54720 - Registration and Financial Security Requirements for Brokers of Property and Freight Forwarders

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-05

    ... Financial Security Requirements for Brokers of Property and Freight Forwarders AGENCY: Federal Motor Carrier... security requirements applicable to property brokers and created new requirements for freight forwarders...., Washington, DC 20590- 0001, (202) 385-2367/2405 regarding financial security requirements or Kenneth Rodgers...

  9. 12 CFR 615.5560 - Book-entry Procedure for Farm Credit System Financial Assistance Corporation Securities.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... OPERATIONS Farm Credit System Financial Assistance Corporation Securities § 615.5560 Book-entry Procedure for Farm Credit System Financial Assistance Corporation Securities. (a) The Farm Credit System Financial... 12 Banks and Banking 6 2010-01-01 2010-01-01 false Book-entry Procedure for Farm Credit System...

  10. 7 CFR 1421.404 - Financial security.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 7 Agriculture 10 2010-01-01 2010-01-01 false Financial security. 1421.404 Section 1421.404... Associations for Peanuts § 1421.404 Financial security. In order to be approved to handle loans and loan deficiency payments, the DMA must: (a) Have a current net worth ratio of at least 1:1. (b) Provide security...

  11. 7 CFR 1421.404 - Financial security.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 7 Agriculture 10 2011-01-01 2011-01-01 false Financial security. 1421.404 Section 1421.404... Associations for Peanuts § 1421.404 Financial security. In order to be approved to handle loans and loan deficiency payments, the DMA must: (a) Have a current net worth ratio of at least 1:1. (b) Provide security...

  12. 78 FR 73819 - Information Collection; Financial Information Security Request Form

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-09

    ... DEPARTMENT OF AGRICULTURE Forest Service Information Collection; Financial Information Security... individuals and organizations on the extension with revision of a currently approved information collection, Financial Information Security Request Form. DATES: Comments must be received in writing on or before...

  13. 17 CFR 210.11-03 - Presentation of financial forecast.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... required by generally accepted accounting principles. Form and Content of Schedules general ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Presentation of financial... FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES...

  14. 17 CFR 210.3-16 - Financial statements of affiliates whose securities collateralize an issue registered or being...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... POLICY AND CONSERVATION ACT OF 1975 General Instructions As to Financial Statements § 210.3-16 Financial... the securities as carried by the registrant, or the market value of such securities, whichever is the...

  15. 17 CFR 210.3-12 - Age of financial statements at effective date of registration statement or at mailing date of...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Age of financial statements at... FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY... POLICY AND CONSERVATION ACT OF 1975 General Instructions As to Financial Statements § 210.3-12 Age of...

  16. 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...

  17. 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...

  18. 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...

  19. 24 CFR 320.10 - Financial reporting.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 24 Housing and Urban Development 2 2010-04-01 2010-04-01 false Financial reporting. 320.10 Section...-BACKED SECURITIES Pass-Through Type Securities § 320.10 Financial reporting. Issuers shall submit to the Association audited annual financial statements within 90 days of their fiscal year end. All financial...

  20. 17 CFR 230.170 - Prohibition of use of certain financial statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... financial statements. 230.170 Section 230.170 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... certain financial statements. Financial statements which purport to give effect to the receipt and.... The caption of any such financial statement shall clearly set forth the assumptions upon which such...

  1. 24 CFR 320.10 - Financial reporting.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 24 Housing and Urban Development 2 2011-04-01 2011-04-01 false Financial reporting. 320.10 Section...-BACKED SECURITIES Pass-Through Type Securities § 320.10 Financial reporting. Issuers shall submit to the Association audited annual financial statements within 90 days of their fiscal year end. All financial...

  2. 17 CFR 210.3A-02 - Consolidated financial statements of the registrant and its subsidiaries.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Consolidated financial... Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS... 1975 Consolidated and Combined Financial Statements § 210.3A-02 Consolidated financial statements of...

  3. 78 FR 20705 - Securities Act of 1933; Securities Exchange Act of 1934; Order Regarding Review of FASB...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-05

    ... accepted for purposes of the securities laws, any accounting principles established by a standard setting... Financial Accounting Standards Board (``FASB'') and its parent organization, the Financial Accounting... recognizing the FASB's financial accounting and reporting standards as ``generally accepted'' under Section...

  4. 75 FR 6231 - Securities Act of 1933; Securities Exchange Act of 1934; Order Regarding Review of FASB...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-08

    ... Financial Accounting Standards Board (``FASB'') and its parent organization, the Financial Accounting... recognizing the FASB's financial accounting and reporting standards as ``generally accepted'' under Section...; Securities Exchange Act of 1934; Order Regarding Review of FASB Accounting Support Fee for 2010 Under Section...

  5. 17 CFR 210.8-05 - Pro forma financial information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... information showing the effects of the acquisition shall be furnished if financial statements of a business... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Pro forma financial information. 210.8-05 Section 210.8-05 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION...

  6. 17 CFR 204.55 - Change in notification to Financial Management Service.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Change in notification to Financial Management Service. 204.55 Section 204.55 Commodity and Securities Exchanges SECURITIES AND... Financial Management Service. After the Commission sends FMS notification of an individual's liability for a...

  7. 17 CFR 210.3-20 - Currency for financial statements of foreign private issuers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... in the issuer's consolidated financial statements and not located in a hyperinflationary environment..., Oct. 5, 1999] Consolidated and Combined Financial Statements ... SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES...

  8. 17 CFR 38.605 - Requirements for financial surveillance program.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Requirements for financial surveillance program. 38.605 Section 38.605 Commodity and Securities Exchanges COMMODITY FUTURES TRADING... financial surveillance program. A designated contract market's financial surveillance program for futures...

  9. 17 CFR 38.604 - Financial surveillance.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Financial surveillance. 38.604 Section 38.604 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DESIGNATED CONTRACT MARKETS Financial Integrity of Transactions § 38.604 Financial surveillance. A designated contract market...

  10. 17 CFR 38.605 - Requirements for financial surveillance program.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Requirements for financial surveillance program. 38.605 Section 38.605 Commodity and Securities Exchanges COMMODITY FUTURES TRADING... financial surveillance program. A designated contract market's financial surveillance program for futures...

  11. 17 CFR 38.604 - Financial surveillance.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Financial surveillance. 38.604 Section 38.604 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION DESIGNATED CONTRACT MARKETS Financial Integrity of Transactions § 38.604 Financial surveillance. A designated contract market...

  12. 17 CFR 210.8-08 - Age of financial statements.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Age of financial statements. 210.8-08 Section 210.8-08 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM... CONSERVATION ACT OF 1975 Article 8 Financial Statements of Smaller Reporting Companies § 210.8-08 Age of...

  13. 17 CFR 210.8-08 - Age of financial statements.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Age of financial statements. 210.8-08 Section 210.8-08 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM... CONSERVATION ACT OF 1975 Article 8 Financial Statements of Smaller Reporting Companies § 210.8-08 Age of...

  14. 17 CFR 210.8-08 - Age of financial statements.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Age of financial statements. 210.8-08 Section 210.8-08 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM... CONSERVATION ACT OF 1975 Article 8 Financial Statements of Smaller Reporting Companies § 210.8-08 Age of...

  15. Securing your financial future.

    PubMed

    Kachalia, Parag R

    2009-04-01

    Securing one's financial future requires dedication and planning. A clear plan must be implemented and continually re-examined to assure an individual remains on track to achieve this security. True success of the plan will be dependent upon taking the appropriate steps to protecting one's assets against unfortunate events along with building assets with a clear end goal in mind. This article will cover the fundamental steps an individual can take to secure their financial future.

  16. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... over financial reporting. 229.308 Section 229.308 Commodity and Securities Exchanges SECURITIES AND... § 229.308 (Item 308) Internal control over financial reporting. (a) Management's annual report on internal control over financial reporting. Provide a report of management on the registrant's internal...

  17. Securing Healthcare’s Quantified-Self Data: A Comparative Analysis Versus Personal Financial Account Aggregators Based on Porter’s Five Forces Framework for Competitive Force

    DTIC Science & Technology

    2016-09-01

    HEALTHCARE’S QUANTIFIED-SELF DATA: A COMPARATIVE ANALYSIS VERSUS PERSONAL FINANCIAL ACCOUNT AGGREGATORS BASED ON PORTER’S FIVE FORCES FRAMEWORK FOR...TITLE AND SUBTITLE SECURING HEALTHCARE’S QUANTIFIED-SELF DATA: A COMPARATIVE ANALYSIS VERSUS PERSONAL FINANCIAL ACCOUNT AGGREGATORS BASED ON...Distribution is unlimited. SECURING HEALTHCARE’S QUANTIFIED-SELF DATA: A COMPARATIVE ANALYSIS VERSUS PERSONAL FINANCIAL ACCOUNT AGGREGATORS BASED ON

  18. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 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...

  19. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 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...

  20. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 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...

  1. 17 CFR 229.308 - (Item 308) Internal control over financial reporting.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 308) Internal control over financial reporting. 229.308 Section 229.308 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...

  2. 17 CFR 229.302 - (Item 302) Supplementary financial information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... paragraphs 9-34 of Statement of Financial Accounting Standards (“SFAS”) No. 69, “Disclosures about Oil and... financial information. 229.302 Section 229.302 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Financial Information § 229.302...

  3. 17 CFR 230.417 - Date of financial statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Date of financial statements... RULES AND REGULATIONS, SECURITIES ACT OF 1933 General Requirements § 230.417 Date of financial statements. Whenever financial statements of any person are required to be furnished as of a date within a...

  4. 17 CFR 240.15d-2 - Special financial report.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Special financial report. 240....15d-2 Special financial report. (a) If the registration statement under the Securities Act of 1933 did... registration statement, file a special report furnishing certified financial statements for such last full...

  5. 75 FR 78900 - Regulations Governing Book-Entry Treasury Bonds, Notes and Bills Held in Legacy Treasury Direct...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-17

    ... marketable security to a broker or financial institution in order to effect a sale of the security prior to... bypassing the need to transfer their securities to a broker or financial institution for sale. When Treasury...Direct, less than 1.5 percent of holdings. Alternative services by brokers or financial institutions are...

  6. 17 CFR 210.2-04 - Examination of financial statements of persons other than the registrant.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES... Qualifications and Reports of Accountants § 210.2-04 Examination of financial statements of persons other than the registrant. If a registrant is required to file financial statements of any other person, such...

  7. 17 CFR 210.3-20 - Currency for financial statements of foreign private issuers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Currency for financial statements of foreign private issuers. 210.3-20 Section 210.3-20 Commodity and Securities Exchanges... General Instructions As to Financial Statements § 210.3-20 Currency for financial statements of foreign...

  8. 17 CFR 210.9-06 - Condensed financial information of registrant.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933... be presented in a note to the financial statements when the restricted net assets (§ 210.4-08(e)(3... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Condensed financial...

  9. 17 CFR 210.3-17 - Financial statements of natural persons.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... natural persons. 210.3-17 Section 210.3-17 Commodity and Securities Exchanges SECURITIES AND EXCHANGE... Financial Statements § 210.3-17 Financial statements of natural persons. (a) In lieu of the financial statements otherwise required, a natural person may file an unaudited balance sheet as of a date within 90...

  10. Unjust Desserts: Financial Realities of Older Women.

    ERIC Educational Resources Information Center

    Estrine, Judith

    This brochure presents the facts about the financial situation of older women. It explains the vital role of Social Security (SS) for women and offers suggestions to improve their financial outlook. A true/false checklist tests knowledge about women growing older and remaining financially secure. These reasons for poorer older women are outlined:…

  11. 17 CFR 229.308T - (Item 308T) Internal control over financial reporting.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... over financial reporting. 229.308T Section 229.308T Commodity and Securities Exchanges SECURITIES AND... § 229.308T (Item 308T) Internal control over financial reporting. Note to Item 308T: This is a special... internal control over financial reporting. Provide a report of management on the registrant's internal...

  12. 78 FR 29399 - ERNY Financial ETF Trust and ERNY Financial Advisors, LLC; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-20

    ... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30514; 812-14146] ERNY Financial ETF Trust and ERNY Financial Advisors, LLC; Notice of Application May 13, 2013. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application for an order under section 6(c) of the Investment Company Act of 1940...

  13. Financial management practices and attitudes of dental hygienists: a descriptive study.

    PubMed

    Russell, Katherine; Stramoski, Sandra

    2011-01-01

    The purpose of this study was to determine the financial management goals and practices of registered dental hygienists, their satisfaction with their current financial situations and their attitudes about savings, investments and retirement. A 40 question electronic survey was completed by 388 registered dental hygienists. The descriptive instrument assessed financial practices, attitudes, goals and beliefs, retirement mindset, savings habits, debt tendencies and demographic characteristics of respondents. Statistical analyses compared respondents' beliefs about their financial independence and security with their current financial practices. Analyses included: independent samples t-tests, chi-square analysis and ANOVA. Most dental hygienists believed themselves to be financially independent and reported satisfaction with their current financial situation. Significant relationships existed between respondents' satisfaction with their current financial situations and their financial attitudes and practices (saving regularly and having limited debt). Those who indicated they had personally saved for retirement were more likely to view these savings as their largest source of income during retirement, as opposed to Social Security benefits. A majority agreed that financial management education should be included in the dental hygiene curriculum, and that they would attend a continuing education course on the subject if offered. The results of this study suggest that hygienists have confidence in their ability to provide secure financial futures for themselves. Hygienists who practiced sound financial planning, such as adhering to monthly budgets, having wills, lowering debt and saving regularly, reported a higher level of financial security than those who did not. Most respondents expressed interest in receiving education about financial management through the dental hygiene curriculum and continuing education courses.

  14. 17 CFR 210.11-01 - Presentation requirements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... registrant's most recent annual consolidated financial statements filed at or prior to the date of... AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE... fully reflected in the financial statements of the registrant included in the filing; (5) During the...

  15. 17 CFR 210.12-18 - Supplemental information (for property-casualty insurance underwriters).

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... consolidated financial statements. 2 Present combined or consolidated amounts, as appropriate for each category... SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES... 1 Information included in audited financial statements, including other schedules, need not be...

  16. 17 CFR 210.2-02T - Accountants' reports and attestation reports on internal control over financial reporting.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... attestation reports on internal control over financial reporting. 210.2-02T Section 210.2-02T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL... attestation reports on internal control over financial reporting. (a) The requirements of § 210.2-02(f) shall...

  17. 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...

  18. 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...

  19. 45 CFR 702.53 - Closed meetings.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... currencies, securities, commodities, or financial institutions, be likely to: (A) Lead to significant financial speculation in currencies, securities, or commodities, or (B) Significantly endanger the stability...

  20. 45 CFR 702.53 - Closed meetings.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... currencies, securities, commodities, or financial institutions, be likely to: (A) Lead to significant financial speculation in currencies, securities, or commodities, or (B) Significantly endanger the stability...

  1. 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...

  2. 76 FR 54717 - Supervised Securities Holding Companies Registration

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-02

    ... other financial statements submitted to the securities holding company's current consolidated supervisor... Y-9ES), The Supplement to the Consolidated Financial Statements for Bank Holding Companies (FR Y-9CS... Companies (FR Y-6), The Report of Foreign Banking Organizations (FR Y-7), The Consolidated Financial...

  3. 18 CFR 1301.46 - Criteria for closing meetings.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... which regulates currencies, securities, commodities, or financial institutions, be likely to (i) lead to significant financial speculation in currencies, securities, or commodities, or (ii) significantly endanger...

  4. 18 CFR 1301.46 - Criteria for closing meetings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... which regulates currencies, securities, commodities, or financial institutions, be likely to (i) lead to significant financial speculation in currencies, securities, or commodities, or (ii) significantly endanger...

  5. 17 CFR 210.2-02 - Accountants' reports and attestation reports.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... respect of the financial statements covered by the report and the accounting principles and practices... accounting principles, or as to any changes in such principles which have a material effect on the financial... COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES...

  6. 17 CFR 210.2-03 - Examination of financial statements by foreign government auditors.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Examination of financial statements by foreign government auditors. 210.2-03 Section 210.2-03 Commodity and Securities Exchanges... auditors. Notwithstanding any requirements as to examination by independent accountants, the financial...

  7. 77 FR 26796 - Order of Suspension of Trading; Airtrax, Inc., Amedia Networks, Inc., American Business Financial...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-05-07

    ... SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] Order of Suspension of Trading; Airtrax, Inc., Amedia Networks, Inc., American Business Financial Services, Inc., Appalachian Bancshares, Inc., and... information concerning the securities of American Business Financial Services, Inc. because it has not filed...

  8. 17 CFR 5.12 - Financial reports of retail foreign exchange dealers.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Financial reports of retail foreign exchange dealers. 5.12 Section 5.12 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.12 Financial reports of retail foreign exchange...

  9. 17 CFR 210.3-16 - Financial statements of affiliates whose securities collateralize an issue registered or being...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Financial statements of affiliates whose securities collateralize an issue registered or being registered. 210.3-16 Section 210.3-16... aggregate principal amount, par value, or book value of the securities as carried by the registrant, or the...

  10. 17 CFR 210.3-16 - Financial statements of affiliates whose securities collateralize an issue registered or being...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Financial statements of affiliates whose securities collateralize an issue registered or being registered. 210.3-16 Section 210.3-16... aggregate principal amount, par value, or book value of the securities as carried by the registrant, or the...

  11. 75 FR 6753 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated, International...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-10

    ..., repurchase agreements and reverse purchase agreements (the ``Financial Instruments''), and money market instruments, including, but not limited to, U.S. government securities and repurchase agreements (the ``Money... portfolios of securities and/or Financial Instruments and Money Market Instruments (or that hold securities...

  12. 75 FR 6773 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated, International...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-10

    ..., repurchase agreements and reverse purchase agreements (the ``Financial Instruments''), and money market instruments, including, but not limited to, U.S. government securities and repurchase agreements (the ``Money... portfolios of securities and/or Financial Instruments and Money Market Instruments (or that hold securities...

  13. Association of market, mission, operational, and financial factors with hospitals' level of cash and security investments.

    PubMed

    McCue, M J; Thompson, J M; Dodd-McCue, D

    Using a resource dependency framework and financial theory, this study assessed the market, mission, operational, and financial factors associated with the level of cash and security investments in hospitals. We ranked hospitals in the study sample based on their cash and security investments as a percentage of total assets: hospitals in the high cash/security investment category were in the top 25th percentile of all hospitals; those in the low cash/security investment group were in the bottom 25th percentile. Findings indicate that high cash/security investment hospitals are under either public or private nonprofit ownership and have greater market share. They also serve more complex cases, offer more technology services, generate greater profits, incur a more stable patient revenue base, and maintain less debt.

  14. Cross-border Portfolio Investment Networks and Indicators for Financial Crises

    PubMed Central

    Joseph, Andreas C.; Joseph, Stephan E.; Chen, Guanrong

    2014-01-01

    Cross-border equity and long-term debt securities portfolio investment networks are analysed from 2002 to 2012, covering the 2008 global financial crisis. They serve as network-proxies for measuring the robustness of the global financial system and the interdependence of financial markets, respectively. Two early-warning indicators for financial crises are identified: First, the algebraic connectivity of the equity securities network, as a measure for structural robustness, drops close to zero already in 2005, while there is an over-representation of high-degree off-shore financial centres among the countries most-related to this observation, suggesting an investigation of such nodes with respect to the structural stability of the global financial system. Second, using a phenomenological model, the edge density of the debt securities network is found to describe, and even forecast, the proliferation of several over-the-counter-traded financial derivatives, most prominently credit default swaps, enabling one to detect potentially dangerous levels of market interdependence and systemic risk. PMID:24510060

  15. Cross-border Portfolio Investment Networks and Indicators for Financial Crises

    NASA Astrophysics Data System (ADS)

    Joseph, Andreas C.; Joseph, Stephan E.; Chen, Guanrong

    2014-02-01

    Cross-border equity and long-term debt securities portfolio investment networks are analysed from 2002 to 2012, covering the 2008 global financial crisis. They serve as network-proxies for measuring the robustness of the global financial system and the interdependence of financial markets, respectively. Two early-warning indicators for financial crises are identified: First, the algebraic connectivity of the equity securities network, as a measure for structural robustness, drops close to zero already in 2005, while there is an over-representation of high-degree off-shore financial centres among the countries most-related to this observation, suggesting an investigation of such nodes with respect to the structural stability of the global financial system. Second, using a phenomenological model, the edge density of the debt securities network is found to describe, and even forecast, the proliferation of several over-the-counter-traded financial derivatives, most prominently credit default swaps, enabling one to detect potentially dangerous levels of market interdependence and systemic risk.

  16. Cross-border portfolio investment networks and indicators for financial crises.

    PubMed

    Joseph, Andreas C; Joseph, Stephan E; Chen, Guanrong

    2014-02-10

    Cross-border equity and long-term debt securities portfolio investment networks are analysed from 2002 to 2012, covering the 2008 global financial crisis. They serve as network-proxies for measuring the robustness of the global financial system and the interdependence of financial markets, respectively. Two early-warning indicators for financial crises are identified: First, the algebraic connectivity of the equity securities network, as a measure for structural robustness, drops close to zero already in 2005, while there is an over-representation of high-degree off-shore financial centres among the countries most-related to this observation, suggesting an investigation of such nodes with respect to the structural stability of the global financial system. Second, using a phenomenological model, the edge density of the debt securities network is found to describe, and even forecast, the proliferation of several over-the-counter-traded financial derivatives, most prominently credit default swaps, enabling one to detect potentially dangerous levels of market interdependence and systemic risk.

  17. 78 FR 32303 - Departmental Offices; Renewal of the Treasury Borrowing Advisory Committee of the Securities...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-29

    ... Committee of the Securities Industry and Financial Markets Association ACTION: Notice of renewal. SUMMARY... the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association... Management (202) 622-1876. SUPPLEMENTARY INFORMATION: The purpose of the Committee is to provide informed...

  18. 75 FR 25005 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-06

    ..., repurchase agreements and reverse purchase agreements (the ``Financial Instruments''), and money market instruments, including, but not limited to, U.S. government securities and repurchase agreements (the ``Money... portfolios of securities and/or Financial Instruments and Money Market Instruments (or that hold securities...

  19. 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...

  20. 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...

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-31

    .... The commenter states that such securities are likely to become more important to banks as new... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71180; File No. SR-FINRA-2013-039] Self... Securities to FINRA December 24, 2013. I. Introduction On September 16, 2013, the Financial Industry...

  2. 75 FR 23316 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-03

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61979; File No. SR-FINRA-2010-003] Self..., as Modified by Amendment Nos. 1 and 2, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities April 23, 2010. I. Introduction On January 15, 2010, Financial Industry...

  3. 12 CFR 380.53 - Repudiation of secured contract.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... POLICY ORDERLY LIQUIDATION AUTHORITY Receivership Administrative Claims Process § 380.53 Repudiation of secured contract. To the extent that a contract to which a covered financial company is a party is secured by property of the covered financial company, the repudiation of the contract by the Corporation as...

  4. 12 CFR 380.53 - Repudiation of secured contract.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... POLICY ORDERLY LIQUIDATION AUTHORITY Receivership Administrative Claims Process § 380.53 Repudiation of secured contract. To the extent that a contract to which a covered financial company is a party is secured by property of the covered financial company, the repudiation of the contract by the Corporation as...

  5. 17 CFR 204.55 - Change in notification to Financial Management Service.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Change in notification to Financial Management Service. 204.55 Section 204.55 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES RELATING TO DEBT COLLECTION Tax Refund Offset § 204.55 Change in notification to...

  6. 17 CFR 400.6 - Notice of withdrawal from business as a government securities broker or dealer by a financial...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Notice of withdrawal from business as a government securities broker or dealer by a financial institution. 400.6 Section 400.6... SECURITIES EXCHANGE ACT OF 1934 RULES OF GENERAL APPLICATION § 400.6 Notice of withdrawal from business as a...

  7. 12 CFR 324.132 - Counterparty credit risk of repo-style transactions, eligible margin loans, and OTC derivative...

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... of significant financial stress appropriate to the security or category of securities. (5) An FDIC... significant financial stress used to calculate the FDIC-supervised institution's own internal estimates for... significant financial stress in the calculation of own internal estimates for haircuts. (7) An FDIC-supervised...

  8. 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...

  9. 17 CFR 230.144A - Private resales of securities to institutions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... entity that are consolidated with the entity in its financial statements prepared in accordance with... annual financial statements, as of a date not more than 16 months preceding the date of sale under the... securities holdings in its financial statements on the basis of their market value, and no current...

  10. 17 CFR 210.7-05 - What schedules are to be filed.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... the audited consolidated financial statements required by §§ 210.3-01 and 3-02. The schedule may be... AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE... notes thereto) may be shown in the related financial statement or in a note thereto without making such...

  11. 17 CFR 210.5-04 - What schedules are to be filed.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... reflected in the audited consolidated financial statements required by §§ 210.3-01 and 3-02. The schedule... AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE... shown in the related financial statement or in a note thereto without making such statement unclear or...

  12. 17 CFR 210.3-19 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY... POLICY AND CONSERVATION ACT OF 1975 General Instructions As to Financial Statements § 210.3-19 [Reserved] ...

  13. 77 FR 14843 - [Securities Act of 1933; Release No. 9300/March 7, 2012; Securities Exchange Act of 1934; Release...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-13

    ..., as generally accepted for purposes of the securities laws, any accounting principles established by a... concluding that the Financial Accounting Standards Board (``FASB'') and its parent organization, the Financial Accounting Foundation (``FAF''), satisfied the criteria for an accounting standard-setting body...

  14. 76 FR 42765 - Departmental Offices; Renewal of the Treasury Borrowing Advisory Committee of the Securities...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-19

    ... Committee of the Securities Industry and Financial Markets Association ACTION: Notice of Renewal of... Securities Industry and Financial Markets Association (the ``Committee'') is necessary and in the public interest in connection with the performance of duties imposed on the Department of the Treasury by law. FOR...

  15. The Market Value of Information System (IS) Security: An Event Study of E-Banking Service Providers

    ERIC Educational Resources Information Center

    Brock, Linda

    2012-01-01

    Understanding the financial value resulting from IS security investments is critically important to organizations focused on protecting service confidentiality, integrity, and availability in order to preserve firm revenues and reputations. Quantifying the financial effect from IS security investments is difficult to derive. This study…

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-03-13

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66528; File No. SR-FINRA-2012-014] Self... Requirements for Credit Default Swaps) March 7, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange..., 2012, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange...

  17. 75 FR 71164 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-22

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63319; File No. SR-FINRA-2010-060] Self... Changes to Certain FINRA Rules November 16, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange..., 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange...

  18. 12 CFR 281.1 - Policy regarding the Government in the Sunshine Act.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... which regulates currencies, securities, commodities, or financial institutions, be likely to lead to significant financial speculation in currencies, securities, or commodities.” 3 3 Government in the Sunshine...

  19. 12 CFR 281.1 - Policy regarding the Government in the Sunshine Act.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... which regulates currencies, securities, commodities, or financial institutions, be likely to lead to significant financial speculation in currencies, securities, or commodities.” 3 3 Government in the Sunshine...

  20. 17 CFR 210.3-16 - Financial statements of affiliates whose securities collateralize an issue registered or being...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Financial statements of affiliates whose securities collateralize an issue registered or being registered. 210.3-16 Section 210.3-16... constitute a substantial portion of collateral if the aggregate principal amount, par value, or book value of...

  1. Does Financial Literacy Contribute to Food Security?

    PubMed

    Carman, Katherine G; Zamarro, Gema

    2016-01-01

    Food insecurity, not having consistent access to adequate food for active, healthy lives for all household members, is most common among low income households. However, income alone is not sufficient to explain who experiences food insecurity. This study investigates the relationship between financial literacy and food security. We find that low income households who exhibit financial literacy are less likely to experience food insecurity.

  2. 17 CFR 210.9-01 - Application of §§ 210.9-01 to 210.9-07

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES....9-01 Application of §§ 210.9-01 to 210.9-07 This article is applicable to consolidated financial statements filed for bank holding companies and to any financial statements of banks that are included in...

  3. 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

  4. Personal finance: there are no shortcuts to financial security.

    PubMed

    Yarkony, Kathryn

    2009-12-01

    Perioperative nurses have skills that lend themselves to sound financial decision-making, and during these difficult economic times, it is important to know how to secure earnings for the future. Key strategies include saving for retirement, consulting a financial advisor, investing in reliable vehicles, holding investments until the market stabilizes, and controlling credit card debt. Nurses can use the nursing process of assessment, diagnosis, planning, implementation, and evaluation to help them make sound financial decisions. (c) AORN, Inc, 2009.

  5. 78 FR 16694 - Chemical Security Assessment Tool (CSAT)

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-18

    ... information provided. Comments that include trade secrets, confidential commercial or financial information... secrets, confidential commercial or financial information, CVI, SSI, or PCII should be appropriately... Department make the instruments (e.g., Top-Screen, Security Vulnerability Assessment [SVA]/ Alternative...

  6. 76 FR 28247 - Securities Act of 1933, Release No. 9206/May 11, 2011; Securities Exchange Act of 1934, Release...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-16

    ... accounting support fees to the Financial Accounting Foundation.\\4\\ \\3\\ See 15 U.S.C. 78o-4. \\4\\ See 15 U.S.C... Financial Accounting Foundation.\\5\\ Any fees or funds collected shall be used to support the efforts of the GASB to establish standards of financial accounting and reporting recognized as generally accepted...

  7. Does Financial Literacy Contribute to Food Security?

    PubMed Central

    Carman, Katherine G.; Zamarro, Gema

    2016-01-01

    Food insecurity, not having consistent access to adequate food for active, healthy lives for all household members, is most common among low income households. However, income alone is not sufficient to explain who experiences food insecurity. This study investigates the relationship between financial literacy and food security. We find that low income households who exhibit financial literacy are less likely to experience food insecurity. PMID:26949563

  8. 78 FR 51823 - Financial Responsibility Rules for Broker-Dealers

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-21

    ...The Securities and Exchange Commission (``Commission'') is adopting amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers promulgated under the Securities Exchange Act of 1934 (``Exchange Act''). These amendments are designed to address several areas of concern regarding the financial responsibility requirements for broker-dealers. The amendments also update certain financial responsibility requirements and make certain technical amendments.

  9. 18 CFR 375.205 - Closed meetings.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... the premature disclosure of which would be: (i) In the case of an agency which regulates currencies, securities, commodities, or financial institutions, likely to: (A) Lead to significant financial speculation in currencies, securities, or commodities, or (B) Significantly endanger the stability of any...

  10. 18 CFR 375.205 - Closed meetings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... the premature disclosure of which would be: (i) In the case of an agency which regulates currencies, securities, commodities, or financial institutions, likely to: (A) Lead to significant financial speculation in currencies, securities, or commodities, or (B) Significantly endanger the stability of any...

  11. 12 CFR 407.2 - Closing meetings.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... the premature disclosure of which would: (i) In the case of an agency which regulates currencies, securities, commodities, or financial institutions, be likely to: (A) Lead to significant financial speculation in currencies, securities, or commodities, or (B) significantly endanger the stability of any...

  12. Homeland Security - Can It be Done?

    DTIC Science & Technology

    2003-04-07

    and get past the shenanigans in Congress and implement homeland security strategies.ř The new DHS is scheduled to move 22 federal agencies and...uniform laws to license and regulate certain financial services, since terrorists exploit such services. The strategy also takes care with definitions...initiative from organizations interested in the security of sensitive information, such as financial services, healthcare, and government. 47Joseph R. Barnes

  13. 17 CFR 449.1 - Form G-FIN, notification by financial institutions of status as government securities broker or...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Securities Exchange Act of 1934. This form is to be used by financial institutions that are government... Currency, the Federal Deposit Insurance Corporation, the Director of the Office of Thrift Supervision and...

  14. 17 CFR 210.3-07-210.3-08 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF... ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 General Instructions As to Financial Statements §§ 210.3-07—210.3-08 [Reserved] ...

  15. 17 CFR 229.1010 - (Item 1010) Financial statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ....1010 (Item 1010) Financial statements. (a) Financial information. Furnish the following financial information: (1) Audited financial statements for the two fiscal years required to be filed with the company's... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 1010) Financial...

  16. 17 CFR 210.3A-01 - Application of § 210.3A-01 to § 210.3A-05.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Financial Statements § 210.3A-01 Application of § 210.3A-01 to § 210.3A-05. Sections 210.3A-01 to 210.3A-05 shall govern the presentation of consolidated and combined financial statements. [44 FR 19386, Apr. 3... COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES...

  17. Explore Awareness of Information Security: Insights from Cognitive Neuromechanism.

    PubMed

    Han, Dongmei; Dai, Yonghui; Han, Tianlin; Dai, Xingyun

    2015-01-01

    With the rapid development of the internet and information technology, the increasingly diversified portable mobile terminals, online shopping, and social media have facilitated information exchange, social communication, and financial payment for people more and more than ever before. In the meantime, information security and privacy protection have been meeting with new severe challenges. Although we have taken a variety of information security measures in both management and technology, the actual effectiveness depends firstly on people's awareness of information security and the cognition of potential risks. In order to explore the new technology for the objective assessment of people's awareness and cognition on information security, this paper takes the online financial payment as example and conducts an experimental study based on the analysis of electrophysiological signals. Results indicate that left hemisphere and beta rhythms of electroencephalogram (EEG) signal are sensitive to the cognitive degree of risks in the awareness of information security, which may be probably considered as the sign to assess people's cognition of potential risks in online financial payment.

  18. Explore Awareness of Information Security: Insights from Cognitive Neuromechanism

    PubMed Central

    Han, Dongmei; Han, Tianlin; Dai, Xingyun

    2015-01-01

    With the rapid development of the internet and information technology, the increasingly diversified portable mobile terminals, online shopping, and social media have facilitated information exchange, social communication, and financial payment for people more and more than ever before. In the meantime, information security and privacy protection have been meeting with new severe challenges. Although we have taken a variety of information security measures in both management and technology, the actual effectiveness depends firstly on people's awareness of information security and the cognition of potential risks. In order to explore the new technology for the objective assessment of people's awareness and cognition on information security, this paper takes the online financial payment as example and conducts an experimental study based on the analysis of electrophysiological signals. Results indicate that left hemisphere and beta rhythms of electroencephalogram (EEG) signal are sensitive to the cognitive degree of risks in the awareness of information security, which may be probably considered as the sign to assess people's cognition of potential risks in online financial payment. PMID:26587017

  19. 33 CFR 138.80 - Financial responsibility, how established.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.80 Financial responsibility, how established. (a) General. In...

  20. 33 CFR 138.80 - Financial responsibility, how established.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.80 Financial responsibility, how established. (a) General. In...

  1. 48 CFR 832.202-4 - Security for Government financing.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... accepted accounting principles and must be audited and certified by an independent public accountant or an... for Government financing. An offeror's financial condition may be considered adequate security to... offeror's financial condition, the contracting officer may obtain, to the extent required, the following...

  2. 31 CFR 202.6 - Collateral security.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 31 Money and Finance: Treasury 2 2010-07-01 2010-07-01 false Collateral security. 202.6 Section 202.6 Money and Finance: Treasury Regulations Relating to Money and Finance (Continued) FISCAL SERVICE, DEPARTMENT OF THE TREASURY FINANCIAL MANAGEMENT SERVICE DEPOSITARIES AND FINANCIAL AGENTS OF THE FEDERAL...

  3. United States Postal Service Financial Relief Act of 2009

    THOMAS, 111th Congress

    Rep. McHugh, John M. [R-NY-23

    2009-01-06

    Senate - 12/07/2009 Committee on Homeland Security and Governmental Affairs referred to Subcommittee on Federal Financial Management, Government Information, Federal Services, and International Security. (All Actions) Tracker: This bill has the status Passed HouseHere are the steps for Status of Legislation:

  4. Financial Fraud and Child Abuse

    ERIC Educational Resources Information Center

    Little, Allison Dare

    2014-01-01

    A modern form of abuse of children by parents and foster parents is to use the identity of children in their care for their own financial benefit, such as accessing their unused social security numbers to secure credit. This article reviews examples and implications of this identity theft.

  5. 76 FR 28168 - Securities of Nonmember Insured Banks

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-16

    ... November 30, 2010. The final rule adopts amendments to the FDIC's securities disclosure regulations... bonuses and profits), 306 (insider trades during blackout periods), 401(b) (disclosure of pro forma... financial officers), and 407 (disclosure of audit committee financial experts) of the Sarbanes-Oxley Act...

  6. 17 CFR 210.3A-02 - Consolidated financial statements of the registrant and its subsidiaries.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 1975 Consolidated and Combined Financial Statements § 210.3A-02 Consolidated financial statements of... consolidated financial statements principles of inclusion or exclusion which will clearly exhibit the financial... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Consolidated financial...

  7. 76 FR 72013 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-21

    ... Joy A. Howard, Principal, WM Financial Strategies, dated September 30, 2011 (``Howard Letter''); Mike Nicholas, Chief Executive Officer, Bond Dealers of America, dated September 30, 2010 (``BDA Letter... Counsel, Securities Industry and Financial Markets Association, dated September 30, 2011 (``SIFMA Letter...

  8. 76 FR 51114 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-17

    ... reverse repurchase agreements (the ``Financial Instruments''), and money market instruments, including, but not limited to, U.S. government securities and repurchase agreements (the ``Money Market... securities and/or Financial Instruments and Money Market Instruments, or (ii) represent commodity pool...

  9. The impact of the 2008 financial crisis on food security and food expenditures in Mexico: a disproportionate effect on the vulnerable.

    PubMed

    Vilar-Compte, Mireya; Sandoval-Olascoaga, Sebastian; Bernal-Stuart, Ana; Shimoga, Sandhya; Vargas-Bustamante, Arturo

    2015-11-01

    The present paper investigated the impact of the 2008 financial crisis on food security in Mexico and how it disproportionally affected vulnerable households. A generalized ordered logistic regression was estimated to assess the impact of the crisis on households' food security status. An ordinary least squares and a quantile regression were estimated to evaluate the effect of the financial crisis on a continuous proxy measure of food security defined as the share of a household's current income devoted to food expenditures. Setting Both analyses were performed using pooled cross-sectional data from the Mexican National Household Income and Expenditure Survey 2008 and 2010. The analytical sample included 29,468 households in 2008 and 27,654 in 2010. The generalized ordered logistic model showed that the financial crisis significantly (P<0·05) decreased the probability of being food secure, mildly or moderately food insecure, compared with being severely food insecure (OR=0·74). A similar but smaller effect was found when comparing severely and moderately food-insecure households with mildly food-insecure and food-secure households (OR=0·81). The ordinary least squares model showed that the crisis significantly (P<0·05) increased the share of total income spent on food (β coefficient of 0·02). The quantile regression confirmed the findings suggested by the generalized ordered logistic model, showing that the effects of the crisis were more profound among poorer households. The results suggest that households that were more vulnerable before the financial crisis saw a worsened effect in terms of food insecurity with the crisis. Findings were consistent with both measures of food security--one based on self-reported experience and the other based on food spending.

  10. 76 FR 10205 - Department of Homeland Security Implementation of OMB Guidance on Drug-Free Workplace Requirements

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-24

    ... Guidance on Drug-Free Workplace Requirements AGENCY: Department of Homeland Security (DHS). ACTION: Final... consolidate all Federal regulations on drug-free workplace requirements for financial assistance into one...-wide common rule on drug-free workplace requirements for financial assistance, currently located within...

  11. 17 CFR 210.3-04 - Changes in stockholders' equity and noncontrolling interests.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES... General Instructions As to Financial Statements § 210.3-04 Changes in stockholders' equity and noncontrolling interests. An analysis of the changes in each caption of stockholders' equity and noncontrolling...

  12. 31 CFR 1023.610 - Due diligence programs for correspondent accounts for foreign financial institutions.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... Regulations Relating to Money and Finance (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Standards of Diligence; Prohibitions; and Special Measures for Brokers or Dealers in Securities § 1023.610 Due diligence programs for correspondent...

  13. 31 CFR 1023.610 - Due diligence programs for correspondent accounts for foreign financial institutions.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... Regulations Relating to Money and Finance (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Standards of Diligence; Prohibitions; and Special Measures for Brokers or Dealers in Securities § 1023.610 Due diligence programs for correspondent...

  14. 31 CFR 1023.610 - Due diligence programs for correspondent accounts for foreign financial institutions.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... Regulations Relating to Money and Finance (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Standards of Diligence; Prohibitions; and Special Measures for Brokers or Dealers in Securities § 1023.610 Due diligence programs for correspondent...

  15. 31 CFR 1023.610 - Due diligence programs for correspondent accounts for foreign financial institutions.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... Regulations Relating to Money and Finance (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Standards of Diligence; Prohibitions; and Special Measures for Brokers or Dealers in Securities § 1023.610 Due diligence programs for correspondent...

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-17

    ... entered into an order management system (including orders received via telephone or instant message) and... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69561; File No. SR-FINRA-2013-013] Self..., 2013, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange...

  17. 20 CFR 416.1321 - Suspension for not giving us permission to contact financial institutions.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 20 Employees' Benefits 2 2014-04-01 2014-04-01 false Suspension for not giving us permission to contact financial institutions. 416.1321 Section 416.1321 Employees' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Suspensions and Terminations § 416...

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

    PubMed

    Reinstein, A; Bayou, M E

    1994-10-01

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

  19. 75 FR 30876 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-02

    ... completeness of the annual financial information or of the financial health of the issuer or obligated person... or obligated person's annual financial information or of the financial health of the issuer or... financial information or of the financial health of the issuer.\\88\\ Thus, the MSRB noted, the voluntary...

  20. Financial Coaching's Potential for Enhancing Family Financial Security

    ERIC Educational Resources Information Center

    Collins, J. Michael; Olive, Peggy; O'Rourke, Collin M.

    2013-01-01

    Financial coaching is an emerging complement to financial education and counseling. As defined in this article, financial coaching is a process whereby participants set goals, commit to taking certain actions by specific dates, and are then held accountable by the coach. In this way, financial coaching is designed to help participants bridge the…

  1. The new world of retirement income security in America.

    PubMed

    Quinn, Joseph F; Cahill, Kevin E

    2016-01-01

    We have entered a new world of retirement income security in America, with older individuals more exposed to market risk and more vulnerable to financial insecurity than prior generations. This reflects an evolution that has altered the historical vision of a financially secure retirement supported by Social Security, a defined-benefit pension plan, and individual savings. Today, 2 of these 3 retirement income sources-pensions and savings-are absent or of modest importance for many older Americans. Retirement income security now often requires earnings from continued work later in life, which exacerbates the economic vulnerability of certain segments of the population, including persons with disabilities, the oldest-old, single women, and individuals with intermittent work histories. Because of the unprecedented aging of our society, further changes to the retirement income landscape are inevitable, but policymakers do have options to help protect the financial stability of older Americans. We can begin by promoting savings at all (especially younger) ages and by removing barriers that discourage work later in life. For individuals already on the cusp of retirement, more needs to be done to educate the public about the value of delaying the receipt of Social Security benefits. Inaction now could mean a return to the days when old age and poverty were closely linked. The negative repercussions of this would extend well beyond traditional economic measures, as physical and mental health outcomes are closely tied to financial security. (PsycINFO Database Record (c) 2016 APA, all rights reserved).

  2. 17 CFR 210.12-12 - Investments in securities of unaffiliated issuers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Investments in securities of unaffiliated issuers. 210.12-12 Section 210.12-12 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES...

  3. 17 CFR 230.144A - Private resales of securities to institutions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... assets consist solely of shares of one or more registered investment companies, that have the same... annual financial statements, as of a date not more than 16 months preceding the date of sale under the... securities holdings in its financial statements on the basis of their market value, and no current...

  4. Private Security Contractors: A Way of Combating Piracy in the Horn of Africa

    DTIC Science & Technology

    2014-05-22

    September 2011. 79Financial Action Task Force, “Financial Action Task Force Annual Report, 2010-2011,” FATF /OECD, 2011, 10. 80Andrew J. Shapiro...Report, 2010-2011.” FATF /OECD. Paris, 2011. Fox News. “Private Security Firms Join Battle Against Somali Pirates,” October 26, 2008. http

  5. 78 FR 50135 - AIMS Worldwide, Inc., Apollo Capital Group, Inc., CommunitySouth Financial Corp., Last Mile...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-16

    ... SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] AIMS Worldwide, Inc., Apollo Capital Group, Inc., CommunitySouth Financial Corp., Last Mile Logistics Group, Inc., Made in America Entertainment... concerning the securities of Last Mile Logistics Group, Inc. because it has not filed any periodic reports...

  6. 76 FR 51116 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-17

    ... ``Financial Instruments''), and money market instruments, including, but not limited to, U.S. government securities and repurchase agreements (the ``Money Market Instruments'') constituting or otherwise based on or representing an investment in an index or portfolio of securities and/or Financial Instruments and Money Market...

  7. 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...

  8. 17 CFR 210.3A-05 - Special requirements as to public utility holding companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Consolidated and Combined Financial Statements § 210.3A-05 Special requirements as to public utility holding companies. There shall be shown in the consolidated balance sheet of a public utility holding company the... SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES...

  9. 20 CFR 416.1247 - Exclusion of a dedicated account in a financial institution.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 20 Employees' Benefits 2 2014-04-01 2014-04-01 false Exclusion of a dedicated account in a financial institution. 416.1247 Section 416.1247 Employees' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Resources and Exclusions § 416.1247 Exclusion of...

  10. 75 FR 17205 - Securities Offering Disclosures

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-05

    ... DEPARTMENT OF THE TREASURY Office of Thrift Supervision Securities Offering Disclosures AGENCY... collection. Title of Proposal: Securities Offering Disclosures. OMB Number: 1550-0035. Form Numbers: SEC...: The Securities Offering regulation provides necessary information, including financial disclosure, to...

  11. Mobilization and Defense Management Technical Reports Series. Acquisition of ADP (Automated Data Processing) by the Army during Mobilization.

    DTIC Science & Technology

    1983-03-01

    have both a Federal and a State mission. The State mission is to provide protection of life and property and to preserve peace and public safety. The...logistics system is basically the same and will be integrated into the active system in wartime. Financial man- agement support consists of financial...the entire system is security. ErS is on contract to furnish basic security as well as a higher type of security known as the enhanced version

  12. 17 CFR 210.3-13 - Filing of other financial statements in certain cases.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933... Financial Statements § 210.3-13 Filing of other financial statements in certain cases. The Commission may... investors, permit the omission of one or more of the financial statements herein required or the filing in...

  13. 12 CFR 223.32 - What rules apply to financial subsidiaries of a member bank?

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... financial subsidiary. If a financial subsidiary is consolidated with its parent member bank under GAAP, the... equal to the carrying value of the securities on parent-only financial statements of the member bank... bank's parent-only GAAP financial statements is $500. The member bank initially must value the...

  14. 12 CFR 350.5 - Alternative annual disclosure statements.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... bank subsidiary of a holding company which provides only the consolidated financial statements of the... audited financial statements, by copies of the audited financial statements and the certificate or report... the Securities and Exchange Commission or by sections in the holding company's consolidated financial...

  15. 17 CFR 210.12-04 - Condensed financial information of registrant.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... and for the same periods for which audited consolidated financial statements are required. The... EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933... with complete financial statements may be omitted with the exception of disclosures regarding material...

  16. 31 CFR 149.2 - Definitions.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... asset, or group of assets, was sold or otherwise disposed of in an orderly transaction. Most recent financial statement available. (1) The term “most recent financial statement available” means a covered financial company's— (i) Most recent financial statement filed with the Securities and Exchange Commission...

  17. 31 CFR 149.2 - Definitions.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... asset, or group of assets, was sold or otherwise disposed of in an orderly transaction. Most recent financial statement available. (1) The term “most recent financial statement available” means a covered financial company's— (i) Most recent financial statement filed with the Securities and Exchange Commission...

  18. 43 CFR 3602.14 - What kind of financial security does BLM require?

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... DISPOSAL Mineral Materials Sales Applications § 3602.14 What kind of financial security does BLM require? (a) For contracts of $2,000 or more, BLM will require a performance bond of an amount sufficient to meet the reclamation standards provided for in the contract, but at least $500. If you have a sales...

  19. 26 CFR 1.582-1 - Bad debts, losses, and gains with respect to securities held by financial institutions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 26 Internal Revenue 7 2010-04-01 2010-04-01 true Bad debts, losses, and gains with respect to securities held by financial institutions. 1.582-1 Section 1.582-1 Internal Revenue INTERNAL REVENUE SERVICE, DEPARTMENT OF THE TREASURY (CONTINUED) INCOME TAX (CONTINUED) INCOME TAXES (CONTINUED) Banking Institutions...

  20. 78 FR 56978 - In the Matter of Carbiz, Inc., InZon Corporation, IQ Micro, Inc., Irwin Financial Corporation...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-16

    ... SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] In the Matter of Carbiz, Inc., InZon Corporation, IQ Micro, Inc., Irwin Financial Corporation, and Princeton Media Group, Inc.; Order of Suspension of Trading September 12, 2013. It appears to the Securities and Exchange Commission that there is a...

  1. 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...

  2. 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...

  3. 31 CFR 357.0 - Book-entry systems.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... General Information § 357.0 Book-entry systems. (a) Treasury securities. Treasury securities are...-entry system is the book-entry system in which Treasury securities are held in a tiered system through securities intermediaries such as financial institutions or brokerage firms. A Treasury security is...

  4. 31 CFR 357.0 - Book-entry systems.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... General Information § 357.0 Book-entry systems. (a) Treasury securities. Treasury securities are...-entry system is the book-entry system in which Treasury securities are held in a tiered system through securities intermediaries such as financial institutions or brokerage firms. A Treasury security is...

  5. 31 CFR 357.0 - Book-entry systems.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... General Information § 357.0 Book-entry systems. (a) Treasury securities. Treasury securities are...-entry system is the book-entry system in which Treasury securities are held in a tiered system through securities intermediaries such as financial institutions or brokerage firms. A Treasury security is...

  6. 31 CFR 357.0 - Book-entry systems.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... General Information § 357.0 Book-entry systems. (a) Treasury securities. Treasury securities are...-entry system is the book-entry system in which Treasury securities are held in a tiered system through securities intermediaries such as financial institutions or brokerage firms. A Treasury security is...

  7. The impact of the 2008 financial crisis on food security and food expenditures in Mexico: a disproportionate effect on the vulnerable

    PubMed Central

    Vilar-Compte, Mireya; Sandoval-Olascoaga, Sebastian; Bernal-Stuart, Ana; Shimoga, Sandhya; Vargas-Bustamante, Arturo

    2015-01-01

    Objective The present paper investigated the impact of the 2008 financial crisis on food security in Mexico and how it disproportionally affected vulnerable households. Design A generalized ordered logistic regression was estimated to assess the impact of the crisis on households’ food security status. An ordinary least squares and a quantile regression were estimated to evaluate the effect of the financial crisis on a continuous proxy measure of food security defined as the share of a household’s current income devoted to food expenditures. Setting Both analyses were performed using pooled cross-sectional data from the Mexican National Household Income and Expenditure Survey 2008 and 2010. Subjects The analytical sample included 29 468 households in 2008 and 27 654 in 2010. Results The generalized ordered logistic model showed that the financial crisis significantly (P < 0·05) decreased the probability of being food secure, mildly or moderately food insecure, compared with being severely food insecure (OR = 0·74). A similar but smaller effect was found when comparing severely and moderately food-insecure households with mildly food-insecure and food-secure households (OR = 0·81). The ordinary least squares model showed that the crisis significantly (P < 0·05) increased the share of total income spent on food (β coefficient of 0·02). The quantile regression confirmed the findings suggested by the generalized ordered logistic model, showing that the effects of the crisis were more profound among poorer households. Conclusions The results suggest that households that were more vulnerable before the financial crisis saw a worsened effect in terms of food insecurity with the crisis. Findings were consistent with both measures of food security – one based on self-reported experience and the other based on food spending. PMID:25428800

  8. 17 CFR 270.22c-2 - Redemption fees for redeemable securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... necessary or not appropriate. (2) Shareholder information. With respect to each financial intermediary that... information agreement with the financial intermediary (or its agent); or (ii) Prohibit the financial...) Financial intermediary does not include any person that the fund treats as an individual investor with...

  9. College Financial Management: Basics for Administrators.

    ERIC Educational Resources Information Center

    Carter, E. Eugene

    Basic economic concepts applicable for college financial management are considered, along with the characteristics of financial instruments available to universities that have money to invest for short-term or long-term purposes. A discussion of various financial securities provides information for the endowment manager who has to select among…

  10. 78 FR 72951 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-04

    ... To Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection--Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook, as... loans and borrowings, permissible use of customers' securities, and callable securities as FINRA Rules...

  11. Financial Services Industry

    DTIC Science & Technology

    2006-01-01

    www.investopedia.com/features/industryhandbook/banking.asp Mishkin , F. & Eakins, S. (2003). Financial Markets + Institutions (4th ed.). Boston...purposes, participants interact in financial markets for securities, bonds, futures and options, utilizing financial intermediaries such as retail and...nations. U.S. participants, likewise, may also choose to participate in foreign financial institutions in order to gain access to or operate in

  12. Male Labor Force Participation and Social Security in Mexico.

    PubMed

    Aguila, Emma

    2014-04-01

    Labor-force participation among Mexican males in their early retirement years (60 to 64 years of age) has decreased in recent decades, from 94.6 percent in 1960 to 65.2 percent in 2010. Similar trends are evident elsewhere in Latin America, and have occurred in the developed world. Such trends pose challenges to financial sustainability of social security systems as working-age populations decrease and those in retirement increase both because of demographic trends and decisions to take early retirement. In this study, we find that the Mexican social security system provides incentives to retire early. The retirement incentives of the Mexican social security system affect retirement behavior, and may be one of the main contributors to early retirement decisions, particularly for lower-income populations. We simulated the effect of the reform from a Pay-As-You-Go (PAYG) to the new Personal Retirement Accounts (PRA) system and we find that the PRA system also provides incentives to early retirement. Further analysis is needed to assess the financial sustainability of the social security system and financial security in old age for the largest cohorts in Mexico that will begin to retire by 2040.

  13. Male Labor Force Participation and Social Security in Mexico

    PubMed Central

    Aguila, Emma

    2014-01-01

    Labor-force participation among Mexican males in their early retirement years (60 to 64 years of age) has decreased in recent decades, from 94.6 percent in 1960 to 65.2 percent in 2010. Similar trends are evident elsewhere in Latin America, and have occurred in the developed world. Such trends pose challenges to financial sustainability of social security systems as working-age populations decrease and those in retirement increase both because of demographic trends and decisions to take early retirement. In this study, we find that the Mexican social security system provides incentives to retire early. The retirement incentives of the Mexican social security system affect retirement behavior, and may be one of the main contributors to early retirement decisions, particularly for lower-income populations. We simulated the effect of the reform from a Pay-As-You-Go (PAYG) to the new Personal Retirement Accounts (PRA) system and we find that the PRA system also provides incentives to early retirement. Further analysis is needed to assess the financial sustainability of the social security system and financial security in old age for the largest cohorts in Mexico that will begin to retire by 2040. PMID:25328441

  14. 33 CFR 138.40 - Forms.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  15. 33 CFR 138.30 - General.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  16. 33 CFR 138.130 - Fees.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  17. 33 CFR 138.40 - Forms.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  18. 33 CFR 138.30 - General.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  19. 33 CFR 138.130 - Fees.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  20. 33 CFR 138.10 - Scope.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  1. 33 CFR 138.10 - Scope.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  2. 33 CFR 138.40 - Forms.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  3. 33 CFR 138.40 - Forms.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  4. 33 CFR 138.30 - General.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  5. 33 CFR 138.10 - Scope.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  6. 33 CFR 138.130 - Fees.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  7. 33 CFR 138.130 - Fees.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  8. 33 CFR 138.30 - General.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  9. 33 CFR 138.30 - General.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  10. 33 CFR 138.40 - Forms.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  11. 33 CFR 138.130 - Fees.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels...

  12. 75 FR 17847 - National Financial Literacy Month, 2010

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-08

    ... complex. This has left too many Americans behind, unable to build a secure financial future for themselves and their families. For many, financial literacy can mean economic prosperity and protection against... financial products to conceal risks and escape scrutiny. At the same time, many Americans took out loans...

  13. 12 CFR 225.142 - Statement of policy concerning bank holding companies engaging in futures, forward and options...

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... guidelines for banks that engage in financial contract activities. Since the Financial Accounting Standards... (REGULATION Y) Regulations Financial Holding Companies Interpretations § 225.142 Statement of policy... agency securities and money market instruments. (a) Purpose of financial contract positions. In...

  14. 77 FR 3294 - Comment Request for Study Regarding Financial Literacy Among Investors

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-23

    ... Study Regarding Financial Literacy Among Investors AGENCY: Securities and Exchange Commission. ACTION: Request for comment. SUMMARY: In connection with a study regarding financial literacy among investors as... INFORMATION: Section 917 of the Dodd-Frank Act requires the Commission to conduct a study regarding financial...

  15. 20 CFR 416.1247 - Exclusion of a dedicated account in a financial institution.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... financial institution. 416.1247 Section 416.1247 Employees' Benefits SOCIAL SECURITY ADMINISTRATION... a dedicated account in a financial institution. (a) General. In determining the resources of an individual (or spouse, if any), the funds in a dedicated account in a financial institution established and...

  16. 39 CFR 3000.735-103 - Financial interests.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 39 Postal Service 1 2014-07-01 2014-07-01 false Financial interests. 3000.735-103 Section 3000.735... § 3000.735-103 Financial interests. An employee shall not, either directly or indirectly, have any financial interest (whether by ownership of any stock, bond, security, or otherwise) in any entity or person...

  17. 39 CFR 3000.735-103 - Financial interests.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 39 Postal Service 1 2010-07-01 2010-07-01 false Financial interests. 3000.735-103 Section 3000.735... § 3000.735-103 Financial interests. An employee shall not, either directly or indirectly, have any financial interest (whether by ownership of any stock, bond, security, or otherwise) in any entity or person...

  18. 43 CFR 3602.14 - What kind of financial security does BLM require?

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 43 Public Lands: Interior 2 2014-10-01 2014-10-01 false What kind of financial security does BLM...? (a) For contracts of $2,000 or more, BLM will require a performance bond of an amount sufficient to... post a performance bond. (b) BLM may require a performance bond for contracts of less than $2,000. We...

  19. 43 CFR 3602.14 - What kind of financial security does BLM require?

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... 43 Public Lands: Interior 2 2012-10-01 2012-10-01 false What kind of financial security does BLM...? (a) For contracts of $2,000 or more, BLM will require a performance bond of an amount sufficient to... post a performance bond. (b) BLM may require a performance bond for contracts of less than $2,000. We...

  20. 43 CFR 3602.14 - What kind of financial security does BLM require?

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... 43 Public Lands: Interior 2 2013-10-01 2013-10-01 false What kind of financial security does BLM...? (a) For contracts of $2,000 or more, BLM will require a performance bond of an amount sufficient to... post a performance bond. (b) BLM may require a performance bond for contracts of less than $2,000. We...

  1. 78 FR 4175 - Eco Global Corporation, Execute Sports, Inc., FacePrint Global Solutions, Inc., FinancialContent...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-18

    ... SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] Eco Global Corporation, Execute Sports, Inc., FacePrint Global Solutions, Inc., FinancialContent, Inc., and Firstgold Corp.; Order of Suspension of Trading January 16, 2013. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning...

  2. 17 CFR 240.14d-100 - Schedule TO. Tender offer statement under section 14(d)(1) or 13(e)(1) of the Securities Exchange...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... text of disclosure requirements in the schedule or any document published, sent or given to security holders. Indicate clearly the coverage of the requirements without referring to the text of the items. F... holders. If pro forma financial information is required by this instruction, the historical financial...

  3. 75 FR 50010 - Atchison Casting Corp. (n/k/a Bradken-Atchison/St. Joseph, Inc.), CityFed Financial Corp., Divine...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-16

    ... SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] Atchison Casting Corp. (n/k/a Bradken-Atchison/St. Joseph, Inc.), CityFed Financial Corp., Divine, Inc. (n/k/a Enivid, Inc.), Genesis Worldwide, Inc... information concerning the securities of Atchison Casting Corp. (n/k/a Bradken-Atchison/St. Joseph, Inc...

  4. 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. ...

  5. 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. ...

  6. 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. ...

  7. 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. ...

  8. 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...

  9. Federal Government Information Systems Security Management and Governance Are Pacing Factors for Innovation

    ERIC Educational Resources Information Center

    Edwards, Gregory

    2011-01-01

    Security incidents resulting from human error or subversive actions have caused major financial losses, reduced business productivity or efficiency, and threatened national security. Some research suggests that information system security frameworks lack emphasis on human involvement as a significant cause for security problems in a rapidly…

  10. Building Economic Security Today: making the health-wealth connection in Contra Costa county's maternal and child health programs.

    PubMed

    Parthasarathy, Padmini; Dailey, Dawn E; Young, Maria-Elena D; Lam, Carrie; Pies, Cheri

    2014-02-01

    In recent years, maternal and child health professionals have been seeking approaches to integrating the Life Course Perspective and social determinants of health into their work. In this article, we describe how community input, staff feedback, and evidence from the field that the connection between wealth and health should be addressed compelled the Contra Costa Family, Maternal and Child Health (FMCH) Programs Life Course Initiative to launch Building Economic Security Today (BEST). BEST utilizes innovative strategies to reduce inequities in health outcomes for low-income Contra Costa families by improving their financial security and stability. FMCH Programs' Women, Infants, and Children Program (WIC) conducted BEST financial education classes, and its Medically Vulnerable Infant Program (MVIP) instituted BEST financial assessments during public health nurse home visits. Educational and referral resources were also developed and distributed to all clients. The classes at WIC increased clients' awareness of financial issues and confidence that they could improve their financial situations. WIC clients and staff also gained knowledge about financial resources in the community. MVIP's financial assessments offered clients a new and needed perspective on their financial situations, as well as support around the financial and psychological stresses of caring for a child with special health care needs. BEST offered FMCH Programs staff opportunities to engage in non-traditional, cross-sector partnerships, and gain new knowledge and skills to address a pressing social determinant of health. We learned the value of flexible timelines, maintaining a long view for creating change, and challenging the traditional paradigm of maternal and child health.

  11. 17 CFR 210.3-09 - Separate financial statements of subsidiaries not consolidated and 50 percent or less owned persons.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... financial statements of subsidiaries not consolidated and 50 percent or less owned persons. (a) If any of... consolidated financial statements required by §§ 210.3-01 and 3-02. However, these separate financial... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Separate financial statements...

  12. Quantum finance

    NASA Astrophysics Data System (ADS)

    Schaden, Martin

    2002-12-01

    Quantum theory is used to model secondary financial markets. Contrary to stochastic descriptions, the formalism emphasizes the importance of trading in determining the value of a security. All possible realizations of investors holding securities and cash is taken as the basis of the Hilbert space of market states. The temporal evolution of an isolated market is unitary in this space. Linear operators representing basic financial transactions such as cash transfer and the buying or selling of securities are constructed and simple model Hamiltonians that generate the temporal evolution due to cash flows and the trading of securities are proposed. The Hamiltonian describing financial transactions becomes local when the profit/loss from trading is small compared to the turnover. This approximation may describe a highly liquid and efficient stock market. The lognormal probability distribution for the price of a stock with a variance that is proportional to the elapsed time is reproduced for an equilibrium market. The asymptotic volatility of a stock in this case is related to the long-term probability that it is traded.

  13. 75 FR 41909 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-19

    ... determined that the issuer or an obligated person for whom financial information or operating data is... to the MSRB. Such items include: (A) Annual financial information; (B) audited financial statements if available and if not included in the annual financial information; (C) notices of certain events...

  14. Self-confidence in financial analysis: a study of younger and older male professional analysts.

    PubMed

    Webster, R L; Ellis, T S

    2001-06-01

    Measures of reported self-confidence in performing financial analysis by 59 professional male analysts, 31 born between 1946 and 1964 and 28 born between 1965 and 1976, were investigated and reported. Self-confidence in one's ability is important in the securities industry because it affects recommendations and decisions to buy, sell, and hold securities. The respondents analyzed a set of multiyear corporate financial statements and reported their self-confidence in six separate financial areas. Data from the 59 male financial analysts were tallied and analyzed using both univariate and multivariate statistical tests. Rated self-confidence was not significantly different for the younger and the older men. These results are not consistent with a similar prior study of female analysts in which younger women showed significantly higher self-confidence than older women.

  15. 10 CFR 605.18 - National security.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 10 Energy 4 2010-01-01 2010-01-01 false National security. 605.18 Section 605.18 Energy DEPARTMENT... PROGRAM § 605.18 National security. Activities under ER's Financial Assistance Program shall not involve classified information (i.e., Restricted Data, formerly Restricted Data, National Security Information...

  16. 10 CFR 605.18 - National security.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 10 Energy 4 2014-01-01 2014-01-01 false National security. 605.18 Section 605.18 Energy DEPARTMENT... PROGRAM § 605.18 National security. Activities under ER's Financial Assistance Program shall not involve classified information (i.e., Restricted Data, formerly Restricted Data, National Security Information...

  17. 10 CFR 605.18 - National security.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 10 Energy 4 2013-01-01 2013-01-01 false National security. 605.18 Section 605.18 Energy DEPARTMENT... PROGRAM § 605.18 National security. Activities under ER's Financial Assistance Program shall not involve classified information (i.e., Restricted Data, formerly Restricted Data, National Security Information...

  18. 17 CFR 240.17Ad-11 - Reports regarding aged record differences, buy-ins and failure to post certificate detail to...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... behalf of that issuer, determined by reference to the control book and current market prices. (2) An aged... the chief financial officer of the issuer of the securities for which the aged record difference...) With respect to an issue of municipal securities, to the chief financial officer of the issuer of the...

  19. 17 CFR 240.17Ad-11 - Reports regarding aged record differences, buy-ins and failure to post certificate detail to...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... behalf of that issuer, determined by reference to the control book and current market prices. (2) An aged... the chief financial officer of the issuer of the securities for which the aged record difference...) With respect to an issue of municipal securities, to the chief financial officer of the issuer of the...

  20. 33 CFR 138.120 - Certificates, denial or revocation.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.120 Certificates, denial or revocation. (a) The Director, NPFC...

  1. 33 CFR 138.120 - Certificates, denial or revocation.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.120 Certificates, denial or revocation. (a) The Director, NPFC...

  2. 33 CFR 138.100 - Non-owning operator's responsibility for identification.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ..., DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.100 Non-owning operator's...

  3. 33 CFR 138.100 - Non-owning operator's responsibility for identification.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ..., DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.100 Non-owning operator's...

  4. 33 CFR 138.120 - Certificates, denial or revocation.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.120 Certificates, denial or revocation. (a) The Director, NPFC...

  5. 33 CFR 138.100 - Non-owning operator's responsibility for identification.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ..., DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.100 Non-owning operator's...

  6. 33 CFR 138.120 - Certificates, denial or revocation.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.120 Certificates, denial or revocation. (a) The Director, NPFC...

  7. 33 CFR 138.100 - Non-owning operator's responsibility for identification.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ..., DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.100 Non-owning operator's...

  8. 33 CFR 138.120 - Certificates, denial or revocation.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.120 Certificates, denial or revocation. (a) The Director, NPFC...

  9. 33 CFR 138.100 - Non-owning operator's responsibility for identification.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ..., DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.100 Non-owning operator's...

  10. 31 CFR 103.36 - Additional records to be made and retained by casinos.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... and maintain a record of the name, permanent address, and social security number of the person... secure the name, permanent address, and social security number of each person having a financial interest... to secure the required social security number, it shall not be deemed to be in violation of this...

  11. 17 CFR 210.6-10 - What schedules are to be filed.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false What schedules are to be filed. 210.6-10 Section 210.6-10 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE...

  12. 17 CFR 210.6A-05 - What schedules are to be filed.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false What schedules are to be filed. 210.6A-05 Section 210.6A-05 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE...

  13. 17 CFR 210.12-25 - Supplementary profit and loss information.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Supplementary profit and loss information. 210.12-25 Section 210.12-25 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY...

  14. Financial coping strategies of mental health consumers: managing social benefits.

    PubMed

    Caplan, Mary Ager

    2014-05-01

    Mental health consumers depend on social benefits in the forms of supplemental security income and social security disability insurance for their livelihood. Although these programs pay meager benefits, little research has been undertaken into how this population makes ends meet. Using a qualitative approach, this study asks what are the financial coping strategies of mental health consumers? Seven approaches were identified: subsidies, cost-effective shopping, budgeting, prioritizing, technology, debt management, and saving money. Results illustrate the resourcefulness of mental health consumers in managing meager social benefits and highlight the need to strengthen community mental health efforts with financial capabilities education.

  15. 75 FR 45632 - Proposed Information Collection Activity; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-03

    ... into agreements with financial institutions doing business in States for the purpose of securing...: Financial institutions doing business in two or more States. Annual Burden Estimates Number of Average... Information Collection Activity; Comment Request Proposed Projects: Title: Financial Institution Data Match...

  16. 46 CFR 403.300 - Financial reporting requirements.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 46 Shipping 8 2010-10-01 2010-10-01 false Financial reporting requirements. 403.300 Section 403.300 Shipping COAST GUARD (GREAT LAKES PILOTAGE), DEPARTMENT OF HOMELAND SECURITY GREAT LAKES PILOTAGE UNIFORM ACCOUNTING SYSTEM Reporting Requirements § 403.300 Financial reporting requirements. (a) General...

  17. 7 CFR 1782.17 - Parity lien.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... financial viability of the borrower; (6) The borrower's current relationship with the Agency (i.e. no... of security instrument; name and address of financial institution requesting the transaction; and... financial statements or an audit, if available or determined necessary by the servicing official. (3) An...

  18. 76 FR 18445 - Financial Market Utilities

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-04

    ... IOSCO jointly issued a set of minimum standards for securities settlement systems (the ``Recommendations for Securities Settlement Systems''). In 2004, the CPSS and IOSCO jointly published recommendations...,'' and collectively with the Recommendations for Securities Settlement Systems, the ``CPSS-IOSCO...

  19. 31 CFR 1023.312 - Identification required.

    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 § 1023.312 Identification required. Refer... filed by brokers or dealers in securities. ...

  20. 31 CFR 1023.312 - Identification required.

    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 § 1023.312 Identification required. Refer... filed by brokers or dealers in securities. ...

  1. 31 CFR 1023.312 - Identification required.

    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 § 1023.312 Identification required. Refer... filed by brokers or dealers in securities. ...

  2. 31 CFR 1023.312 - Identification required.

    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 § 1023.312 Identification required. Refer... filed by brokers or dealers in securities. ...

  3. Securities and Exchange Commission Rule 151A and Annuities: Issues and Legislation

    DTIC Science & Technology

    2010-07-01

    brokers are required to be members of the Financial Industry Regulatory Authority (FINRA), a non -governmental self-regulatory organization for the...Issues and Legislation Baird Webel Specialist in Financial Economics Rena S. Miller Analyst in Financial Economics July 1, 2010 Congressional...4173) and the Restoring American Financial Stability Act (S. 3217)....................................................................... 12

  4. 77 FR 63404 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-16

    ... calendar months for a non-financial-reporting reason, (ii) was not listed on a national securities exchange... financial reporting reasons is reasonable because, except for the non-compliance with the financial... (b) due to the issuer's failure to file a required periodic financial report with the Commission or...

  5. Providing and Funding Financial Literacy Programs for Low Income Adults and Youth. Strategy Brief

    ERIC Educational Resources Information Center

    Friedman, Pamela

    2005-01-01

    Making effective financial decisions and knowing how to manage money are skills critical to enjoying a secure financial future. Yet many individuals and families lack the knowledge necessary to make sound financial choices, as evidenced by falling savings rates, mounting consumer debt, and a growing dependence on alternative banking institutions.…

  6. 12 CFR 563d.210 - Form and content of financial statements.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 12 Banks and Banking 5 2010-01-01 2010-01-01 false Form and content of financial statements. 563d... SECURITIES OF SAVINGS ASSOCIATIONS Regulations § 563d.210 Form and content of financial statements. The financial statements required to be contained in filings with the Office under the Act are as set out in the...

  7. Social Security Privatization and the Annuities Market

    DTIC Science & Technology

    1998-02-01

    34Economic Status as a Determinant of Mortality Among Black and White Older Men: Does Poverty Kill?" Population Studies, vol. 47 (1993), pp. 427-436. 43...have been analyzing the financial pressures on Social Security and devising new ways Americans could prepare for retirement. Those proposals...loosely called "pri- vatization"—would prefund retirement income in personal accounts that workers could invest in the financial market and then spend

  8. 75 FR 12773 - Notice of Proposed Information Collection: Comment Request Ginnie Mae Mortgage-Backed Securities...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-17

    ... 210 0.016 3.4 Agreement. 11709 III-2 Master Agreement 210 1 210 0.033 6.9 for Servicer's Principal and....016 2.3 Certification for Construction Securities. IX-1 Financial 210 1 210 1 210.0 Statements and Audit Reports. Mortgage Bankers 350 4 1400 0.5 700.0 Financial Reporting Form. 11709-A I-6 ACH Debit 210...

  9. 17 CFR 270.10f-3 - Exemption for the acquisition of securities during the existence of an underwriting or selling...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... financial regulatory authority,” as defined in section 2(a)(50) of the Act [15 U.S.C. 80a-2(a)(50)], in such country; (ii) The securities are offered at a fixed price to all purchasers in the offering (except for... of the issuer); (iii) Financial statements, prepared and audited in accordance with standards...

  10. 17 CFR 270.10f-3 - Exemption for the acquisition of securities during the existence of an underwriting or selling...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... financial regulatory authority,” as defined in section 2(a)(50) of the Act [15 U.S.C. 80a-2(a)(50)], in such country; (ii) The securities are offered at a fixed price to all purchasers in the offering (except for... of the issuer); (iii) Financial statements, prepared and audited in accordance with standards...

  11. 48 CFR 31.205-6 - Compensation for personal services.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ...) Corporate securities, such as stocks, bonds, and other financial instruments (see paragraph (d)(2) of this... on changes in the prices of corporate securities or corporate security ownership, such as stock... compensation which is calculated, or valued, based on changes in the price of corporate securities is...

  12. 48 CFR 31.205-6 - Compensation for personal services.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ...) Corporate securities, such as stocks, bonds, and other financial instruments (see paragraph (d)(2) of this... on changes in the prices of corporate securities or corporate security ownership, such as stock... compensation which is calculated, or valued, based on changes in the price of corporate securities is...

  13. Issues of Falsifying Financial Statements in Terms of Economic Security

    ERIC Educational Resources Information Center

    Zhitlukhina, Olga G.; Rakutko, Svetlana Y.; Berezhnova, Elena I.; Selezneva, Elena Y.; Belik, Elena V.; Shalaeva, Nina I.; Denisevich, Elena I.; Belik, Natalia V.; Saenko, Zhanna E.; Sultanova, Alina A.

    2016-01-01

    The paper deals with problems of the country's economic security and entities, timely resolution of which influences directly the country's national security. The cornerstone of successful existence of any country, especially the Russian Federation, during such complicated period is the presence of effective national economic security system.…

  14. 75 FR 60157 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-29

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate..., 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange... information about the rulebook consolidation process, see Information Notice, March 12, 2008 (Rulebook...

  15. 76 FR 40412 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-08

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate..., Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission... a more limited application by their terms. For more information about the rulebook consolidation...

  16. 76 FR 20759 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate..., 2011, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange.... For more information about the rulebook consolidation process, see Information Notice, March 12, 2008...

  17. 33 CFR 138.85 - Implementation schedule for amendments to applicable amounts by regulation.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.85 Implementation schedule for...

  18. 33 CFR 138.85 - Implementation schedule for amendments to applicable amounts by regulation.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.85 Implementation schedule for...

  19. 33 CFR 138.85 - Implementation schedule for amendments to applicable amounts by regulation.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.85 Implementation schedule for...

  20. 33 CFR 138.85 - Implementation schedule for amendments to applicable amounts by regulation.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.85 Implementation schedule for...

  1. 33 CFR 138.85 - Implementation schedule for amendments to applicable amounts by regulation.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.85 Implementation schedule for...

  2. 12 CFR 703.8 - Broker-dealers.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... business; (2) Information available from State or Federal securities regulators and securities industry... should consider current financial data, annual reports, reports of nationally-recognized statistical...

  3. Nuclear power and the market value of the shares of electric utilities

    NASA Astrophysics Data System (ADS)

    Lyons, Joseph T.

    The most basic principle of security valuation is that market prices are determined by investors' expectations of the firm's performance in the future. These expectations are generally understood to be related to the risk that investors will bear by holding the firm's equity. There is considerable evidence that financial statements prepared in accordance with accrual-based accounting standards consistent with Generally Accepted Accounting Principles (GAAP) have information content relevant to the establishment of market prices. In 2001, the Financial Accounting Standards Board (FASB) issued Statement of Financial Accounting Standard No. 143, "Accounting for Asset Retirement Obligations," changing the accounting standards that must be used to prepare financial statements. This paper investigates the effect that investment in nuclear power has on the market value of electric utilities and the impact on the securities markets of the significant changes in financial statement presentation mandated by this new standard.

  4. 12 CFR 563.172 - Financial derivatives.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... underlying assets, indices, or reference rates. The most common types of financial derivatives are futures, forward commitments, options, and swaps. A mortgage derivative security, such as a collateralized mortgage... 12 Banks and Banking 5 2010-01-01 2010-01-01 false Financial derivatives. 563.172 Section 563.172...

  5. 75 FR 5834 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-04

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Certain Cross-References and Make Other Various Non-Substantive..., 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange...

  6. 77 FR 36029 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-15

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Non- Substantive Technical..., Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of Securities Dealers...

  7. 76 FR 32246 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-03

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule Cross-References and Make Non- Substantive Technical..., Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission...

  8. 33 CFR 138.45 - Where to apply for and renew Certificates.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.45 Where to apply for and renew Certificates. (a) An operator...

  9. 33 CFR 138.45 - Where to apply for and renew Certificates.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.45 Where to apply for and renew Certificates. (a) An operator...

  10. 33 CFR 138.45 - Where to apply for and renew Certificates.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.45 Where to apply for and renew Certificates. (a) An operator...

  11. 33 CFR 138.45 - Where to apply for and renew Certificates.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.45 Where to apply for and renew Certificates. (a) An operator...

  12. 77 FR 32881 - Supervised Securities Holding Company Registration

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-04

    ...), The Report of Foreign Banking Organizations (FR Y-7), The Consolidated Financial Statements for Bank... Y-9ES), The Supplement to the Consolidated Financial Statements for Bank Holding Companies (FR Y-9CS... comprehensive consolidated supervision by a foreign regulator, a nonbank financial company supervised by the...

  13. 33 CFR 138.45 - Where to apply for and renew Certificates.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION FINANCIAL RESPONSIBILITY FOR WATER POLLUTION (VESSELS) AND OPA 90 LIMITS OF LIABILITY (VESSELS AND DEEPWATER PORTS) Financial Responsibility for Water Pollution (Vessels) § 138.45 Where to apply for and renew Certificates. (a) An operator...

  14. 24 CFR 902.60 - Data collection.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... financial information through the FASS-PH Secure Systems Web site. HUD shall forward its determination.... Late points and late presumptive failure will only be applied to the financial condition indicator...

  15. 24 CFR 902.60 - Data collection.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... financial information through the FASS-PH Secure Systems Web site. HUD shall forward its determination.... Late points and late presumptive failure will only be applied to the financial condition indicator...

  16. 24 CFR 902.60 - Data collection.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... financial information through the FASS-PH Secure Systems Web site. HUD shall forward its determination.... Late points and late presumptive failure will only be applied to the financial condition indicator...

  17. 75 FR 33099 - Amendment to Municipal Securities Disclosure

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-10

    ... delinquencies; (2) non-payment related defaults; (3) unscheduled draws on debt service reserves reflecting... to statistics assembled by the Securities Industry and Financial Markets Association (``SIFMA''), the....org/uploadedFiles/Research/Statistics/SIFMA_USMunicipalSecuritiesHolders.pdf ) (``SIFMA Report''). As...

  18. "Get Some Secured Credit Cards Homey": Hip Hop Discourse, Financial Literacy and the Design of Digital Media Learning Environments

    ERIC Educational Resources Information Center

    Devane, Ben

    2009-01-01

    In the midst of the worst economic crisis since the Great Depression, there exists a deficit of compelling financial education curricula in urban schools that serve financially vulnerable working-class students. Part of a design-based research investigation aimed at creating culturally-relevant financial literacy learning environments, this study…

  19. American Security and the International Energy Situation. Volume 1. Introduction and Summary

    DTIC Science & Technology

    1975-04-15

    Financial Security 28 Timely Energy Supply Enhancement 31 Prospects for a Price Break M Concluding Remarks ’♦S II. World Energy Interdependence...likely to experience as the level of social and political chaos rises under the pressures of economic contraction, financial hemorrhage, and pervasive...and Consolidated Edison’s punned storage facility planned for Storm King). Often, energy projects are delayed from the very beginning by vocal

  20. 33 CFR 135.401 - Access to vessel, Certificates of Financial Responsibility.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION OFFSHORE OIL POLLUTION COMPENSATION FUND Access, Denial, and Detention § 135.401 Access to vessel, Certificates of...

  1. 33 CFR 135.401 - Access to vessel, Certificates of Financial Responsibility.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION OFFSHORE OIL POLLUTION COMPENSATION FUND Access, Denial, and Detention § 135.401 Access to vessel, Certificates of...

  2. 33 CFR 135.401 - Access to vessel, Certificates of Financial Responsibility.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION OFFSHORE OIL POLLUTION COMPENSATION FUND Access, Denial, and Detention § 135.401 Access to vessel, Certificates of...

  3. 33 CFR 135.401 - Access to vessel, Certificates of Financial Responsibility.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION OFFSHORE OIL POLLUTION COMPENSATION FUND Access, Denial, and Detention § 135.401 Access to vessel, Certificates of...

  4. 33 CFR 135.401 - Access to vessel, Certificates of Financial Responsibility.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION OFFSHORE OIL POLLUTION COMPENSATION FUND Access, Denial, and Detention § 135.401 Access to vessel, Certificates of...

  5. 31 CFR 1023.540 - Voluntary information sharing among financial institutions.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... and Finance (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Information Sharing Procedures To Deter Money Laundering and...

  6. 31 CFR 1023.540 - Voluntary information sharing among financial institutions.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... and Finance (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Information Sharing Procedures To Deter Money Laundering and...

  7. 31 CFR 1023.540 - Voluntary information sharing among financial institutions.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... and Finance (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Information Sharing Procedures To Deter Money Laundering and...

  8. 31 CFR 1023.540 - Voluntary information sharing among financial institutions.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... and Finance (Continued) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Information Sharing Procedures To Deter Money Laundering and...

  9. 77 FR 43407 - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-24

    ...-Laws and Rules to security futures on index-linked securities such as exchange-traded notes, which are currently traded on OneChicago, LLC. Index-linked securities are non-convertible debt of a major financial... futures contracts, one or more physical commodities, currencies or debt securities, or a combination of...

  10. 17 CFR 210.3-10 - Financial statements of guarantors and issuers of guaranteed securities registered or being...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ..., no independent assets or operations, minor, finance subsidiary and operating subsidiary. Paragraph (i....220f of this chapter). (b) Finance subsidiary issuer of securities guaranteed by its parent company. When a finance subsidiary issues securities and its parent company guarantees those securities, the...

  11. 17 CFR 210.12-15 - Summary of investments-other than investments in related parties.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Summary of investments-other than investments in related parties. 210.12-15 Section 210.12-15 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES...

  12. 17 CFR 210.12-15 - Summary of investments-other than investments in related parties.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Summary of investments-other than investments in related parties. 210.12-15 Section 210.12-15 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES...

  13. 17 CFR 210.12-15 - Summary of investments-other than investments in related parties.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Summary of investments-other than investments in related parties. 210.12-15 Section 210.12-15 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES...

  14. 17 CFR 210.12-15 - Summary of investments-other than investments in related parties.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Summary of investments-other than investments in related parties. 210.12-15 Section 210.12-15 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES...

  15. 17 CFR 240.3b-14 - Definition of cash management securities activities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... derivative instruments or other financial instruments; (b) Cash management, in connection with any securities... § 240.15a-1 or any non-securities activities that involve eligible OTC derivative instruments or other... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Definition of cash management...

  16. 76 FR 11327 - Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-02

    ... SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No. 34-63949] Technical Amendments to...: Securities and Exchange Commission. ACTION: Final rule; technical amendments. SUMMARY: The Securities and Exchange Commission (``Commission'') is adopting technical amendments to Rule 17a-8 under the Securities...

  17. Bulls, Bears, and Birds: Preparing the Financial Industry for an Avian Influenza Pandemic.

    PubMed

    Maldin, Beth; Inglesby, Thomas V; Nuzzo, Jennifer B; Lien, Onora; Gronvall, Gigi Kwik; Toner, Eric; O'Toole, Tara

    2005-01-01

    Bulls, Bears, and Birds: Preparing the Financial Industry for an Avian Influenza Pandemic was a half day symposium on avian influenza for senior leaders and decision makers from the financial sector with responsibility for business continuity, health, and security. The event brought together experts and leaders from the medical, public health, business continuity, and financial communities to appraise financial industry leaders on the threat of avian influenza and to offer suggestions regarding what the financial industry could do to prepare and respond.

  18. Financial status of the Social Security Program.

    PubMed

    Myers, R J

    1983-03-01

    This study, originally a background paper for the National Commission on Social Security Reform and published as Appendix J in the Commission's Report, outlines the dimensions of the financing problem the Commission addressed. Prepared by Robert J. Myers, the Commission's Executive Director and a former Deputy Commissioner and Chief Actuary of the Social Security Administration, it discusses, in turn, the operational and funding procedures of the Social Security Trust Funds, the measures developed to determine the financial soundness of the program, and the financial status of each trust fund in the past, at present, and projected for the future. The author shows how program funding was gradually shifted from a modified-reserve to a pay-as-you-go basis and how the balance between income and outgo was disrupted by adverse economic conditions during 1979-81, when prices rose more rapidly than wages and unemployment was substantially higher than anticipated. Using several different economic assumptions, Myers estimates how extensive the deficits of the program could be over the short run (the remainder of the 1980's) and over the long term (the period 1982-2055).

  19. 7 CFR 4274.326 - Security.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... financial condition, work plan, and management ability. It is the responsibility of the intermediary to make..., including cash and investments, notes receivable from ultimate recipients, and the intermediary's security...

  20. 7 CFR 4274.326 - Security.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... financial condition, work plan, and management ability. It is the responsibility of the intermediary to make..., including cash and investments, notes receivable from ultimate recipients, and the intermediary's security...

  1. 7 CFR 4274.326 - Security.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... financial condition, work plan, and management ability. It is the responsibility of the intermediary to make..., including cash and investments, notes receivable from ultimate recipients, and the intermediary's security...

  2. 7 CFR 4274.326 - Security.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... financial condition, work plan, and management ability. It is the responsibility of the intermediary to make..., including cash and investments, notes receivable from ultimate recipients, and the intermediary's security...

  3. 7 CFR 4274.326 - Security.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... financial condition, work plan, and management ability. It is the responsibility of the intermediary to make..., including cash and investments, notes receivable from ultimate recipients, and the intermediary's security...

  4. 32 CFR 147.8 - Guideline F-Financial considerations.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... 32 National Defense 1 2013-07-01 2013-07-01 false Guideline F-Financial considerations. 147.8 Section 147.8 National Defense Department of Defense OFFICE OF THE SECRETARY OF DEFENSE PERSONNEL... raise a security concern and may be disqualifying include: (1) A history of not meeting financial...

  5. 32 CFR 147.8 - Guideline F-Financial considerations.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 32 National Defense 1 2010-07-01 2010-07-01 false Guideline F-Financial considerations. 147.8 Section 147.8 National Defense Department of Defense OFFICE OF THE SECRETARY OF DEFENSE PERSONNEL... raise a security concern and may be disqualifying include: (1) A history of not meeting financial...

  6. 32 CFR 147.8 - Guideline F-Financial considerations.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 32 National Defense 1 2014-07-01 2014-07-01 false Guideline F-Financial considerations. 147.8 Section 147.8 National Defense Department of Defense OFFICE OF THE SECRETARY OF DEFENSE PERSONNEL... raise a security concern and may be disqualifying include: (1) A history of not meeting financial...

  7. 32 CFR 147.8 - Guideline F-Financial considerations.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... 32 National Defense 1 2011-07-01 2011-07-01 false Guideline F-Financial considerations. 147.8 Section 147.8 National Defense Department of Defense OFFICE OF THE SECRETARY OF DEFENSE PERSONNEL... raise a security concern and may be disqualifying include: (1) A history of not meeting financial...

  8. 32 CFR 147.8 - Guideline F-Financial considerations.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... 32 National Defense 1 2012-07-01 2012-07-01 false Guideline F-Financial considerations. 147.8 Section 147.8 National Defense Department of Defense OFFICE OF THE SECRETARY OF DEFENSE PERSONNEL... raise a security concern and may be disqualifying include: (1) A history of not meeting financial...

  9. Business Services and Technology. Advanced Finance Instructional Guide.

    ERIC Educational Resources Information Center

    Eastern Michigan Univ., Ypsilanti.

    This guide contains 15 lesson plans on financial topics for high school students. The lessons cover the following: (1) securities in the U.S. economy; (2) careers in finance; (3) commercial banking interest rates; (4) understanding financial statements; (5) newspaper stock tables; (6) financial institution operations; (7) foundation…

  10. 75 FR 11605 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-11

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate... Reporting Facility and OTC Reporting Facility Fees March 4, 2010. Pursuant to Section 19(b)(1) of the... March 1, 2010, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and...

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-29

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Create an Exemption From Certain Reporting Obligations Under the Equity Trade Reporting Rules... September 16, 2011, the Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities...

  12. Financial Literacy Curriculum: The Effect on Offender Money Management Skills

    ERIC Educational Resources Information Center

    Koenig, Lori A.

    2007-01-01

    Offenders involved in this study lacked basic financial knowledge which presented a barrier to their success upon release. The researcher modified existing curriculum and created a course in financial literacy for offenders within a medium security correctional facility based upon their personal experiences. The offenders gained financial…

  13. 75 FR 8169 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-23

    ...-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend the Codes of Arbitration Procedure To Provide for Attorney Representation of Non-Party... Financial Industry Regulatory Authority, Inc. (``FINRA'') (f/k/a National Association of Securities Dealers...

  14. 76 FR 59759 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-27

    ... FINRA members have attained specified levels of competence and knowledge, consistent with applicable... functions: F1: Seeks Business for the Broker-Dealer through Customers and Potential Customers, 20 questions; F2: Evaluates Customers' Other Security Holdings, Financial Situation and Needs, Financial Status...

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

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 1 2013-04-01 2013-04-01 false Self-regulatory organization... Miscellaneous § 1.52 Self-regulatory organization adoption and surveillance of minimum financial requirements. (a) Each self-regulatory organization must adopt rules prescribing minimum financial and related...

  16. 76 FR 36586 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-22

    .../ securities lending; (ix) prime brokerage (services to other broker- dealers and financial institutions); (x... are provided via agreements with other financial institutions, and transactional information related... institutions.\\86\\ Additionally, the commenter points out that broker- dealers use exchanges and third-party...

  17. 46 CFR 403.120 - Notes to financial statements.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 46 Shipping 8 2010-10-01 2010-10-01 false Notes to financial statements. 403.120 Section 403.120 Shipping COAST GUARD (GREAT LAKES PILOTAGE), DEPARTMENT OF HOMELAND SECURITY GREAT LAKES PILOTAGE UNIFORM ACCOUNTING SYSTEM General § 403.120 Notes to financial statements. (a) All matters that are not clearly...

  18. 76 FR 54998 - Request for Information on Consumer Financial Products and Services Offered to Servicemembers

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-06

    ... public disclosure. Sensitive personal information such as account numbers or Social Security numbers... in person and online? 4. What programs, policies, accommodations, or benefits do financial service... protections and fraud protections. 5. What unique assistance, if any, is currently offered by financial...

  19. 78 FR 47440 - ERNY Financial ETF Trust, et al.; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-05

    ...] ERNY Financial ETF Trust, et al.; Notice of Application July 30, 2013. AGENCY: Securities and Exchange... (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. APPLICANTS: ERNY Financial ETF Trust...

  20. 78 FR 20219 - National Financial Capability Month, 2013

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-04

    ... when they invest in higher education. Together, we can prepare young people to tackle financial... education that gets every child on the right track early. These reforms would encourage the kind of broad-based economic growth that gives everyone a better chance to secure their financial future. Our history...

  1. 17 CFR 242.401 - Definitions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... price of such security future as shown by any regularly published reporting or quotation service, and... regularly published reporting or quotation service. If there is no recent closing sale price, the security... to financial relations between a security futures intermediary and a customer with respect to...

  2. 76 FR 69303 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-08

    ...: [email protected] ; and (ii) Thomas Bayer, Director/Chief Information Officer, Securities and... assistance of truly independent legal counsel. \\5\\ See Role of Independent Directors of Investment Companies... reports prepared by the Securities Industry and Financial Markets Association. See Securities Industry and...

  3. Social Security and Part-Time Employment.

    ERIC Educational Resources Information Center

    Euzeby, Alain

    1988-01-01

    Discusses rules governing social security and their implications for part-time employees in various countries. Topics include (1) methods of financing social security, (2) benefits, (3) measures concerning the unemployed, (4) a floor for employers' contributions, (5) graduated contribution rates, and (6) financial incentives. (CH)

  4. 48 CFR 832.202-4 - Security for Government financing.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... 48 Federal Acquisition Regulations System 5 2012-10-01 2012-10-01 false Security for Government... for Government financing. An offeror's financial condition may be considered adequate security to protect the Government's interest when the Government provides contract financing. In assessing the...

  5. 48 CFR 832.202-4 - Security for Government financing.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 48 Federal Acquisition Regulations System 5 2014-10-01 2014-10-01 false Security for Government... for Government financing. An offeror's financial condition may be considered adequate security to protect the Government's interest when the Government provides contract financing. In assessing the...

  6. 13 CFR 107.1450 - Optional redemption of Preferred Securities.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 13 Business Credit and Assistance 1 2010-01-01 2010-01-01 false Optional redemption of Preferred Securities. 107.1450 Section 107.1450 Business Credit and Assistance SMALL BUSINESS ADMINISTRATION SMALL BUSINESS INVESTMENT COMPANIES SBA Financial Assistance for Licensees (Leverage) Preferred Securities...

  7. 17 CFR 41.43 - Definitions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... such security future is a stock, the product of the daily settlement price of such security future as shown by any regularly published reporting or quotation service, and the applicable number of shares per... regulations applicable to financial relations between a security futures intermediary and a customer with...

  8. 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...

  9. 12 CFR 555.210 - What precautions must I take?

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ...) Implement security measures designed to ensure secure operations. Such measures must be adequate to: (1) Prevent unauthorized access to your records and your customers' records; (2) Prevent financial fraud through the use of electronic means or facilities; and (3) Comply with applicable security devices...

  10. 76 FR 3684 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-01-20

    ... other things, amended the FINRA Rule 6700 Series to: (1) Expand TRACE to include Agency Debt Securities... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63709; File No. SR-FINRA-2011-001] Self... Securities Exchange Act of 1934 [[Page 3685

  11. 33 CFR 135.403 - Sanctions for failure to produce vessel Certificates of Financial Responsibility.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION OFFSHORE OIL POLLUTION COMPENSATION FUND Access, Denial, and Detention § 135.403 Sanctions for...

  12. 33 CFR 135.403 - Sanctions for failure to produce vessel Certificates of Financial Responsibility.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION OFFSHORE OIL POLLUTION COMPENSATION FUND Access, Denial, and Detention § 135.403 Sanctions for...

  13. 33 CFR 135.403 - Sanctions for failure to produce vessel Certificates of Financial Responsibility.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION OFFSHORE OIL POLLUTION COMPENSATION FUND Access, Denial, and Detention § 135.403 Sanctions for...

  14. 33 CFR 135.403 - Sanctions for failure to produce vessel Certificates of Financial Responsibility.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION OFFSHORE OIL POLLUTION COMPENSATION FUND Access, Denial, and Detention § 135.403 Sanctions for...

  15. 33 CFR 135.403 - Sanctions for failure to produce vessel Certificates of Financial Responsibility.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) MARINE POLLUTION FINANCIAL RESPONSIBILITY AND COMPENSATION OFFSHORE OIL POLLUTION COMPENSATION FUND Access, Denial, and Detention § 135.403 Sanctions for...

  16. 31 CFR 1021.410 - Additional records to be made and retained by casinos.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... name, permanent address, and social security number of the person involved. Where the deposit, account..., and social security number of each person having a financial interest in the deposit, account or line... been unable to secure the required social security number, it shall not be deemed to be in violation of...

  17. 31 CFR 1021.410 - Additional records to be made and retained by casinos.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... name, permanent address, and social security number of the person involved. Where the deposit, account..., and social security number of each person having a financial interest in the deposit, account or line... been unable to secure the required social security number, it shall not be deemed to be in violation of...

  18. 31 CFR 1021.410 - Additional records to be made and retained by casinos.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... name, permanent address, and social security number of the person involved. Where the deposit, account..., and social security number of each person having a financial interest in the deposit, account or line... been unable to secure the required social security number, it shall not be deemed to be in violation of...

  19. 31 CFR 1021.410 - Additional records to be made and retained by casinos.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... name, permanent address, and social security number of the person involved. Where the deposit, account..., and social security number of each person having a financial interest in the deposit, account or line... been unable to secure the required social security number, it shall not be deemed to be in violation of...

  20. The Role of Earnings and Financial Risk in Distributional Analyses of Social Security Reform Measures

    ERIC Educational Resources Information Center

    Hungerford, Thomas L.

    2006-01-01

    The Social Security Trustees project that the Social Security program faces longterm financing difficulties. Several proposals that have been offered to shore-up the finances of the Social Security program would create individual retirement accounts funded with part of the payroll tax. The authors of many of these proposals claim that future…

  1. The 1983 Amendments to the Social Security Act: The Issue of Intergenerational Equity.

    ERIC Educational Resources Information Center

    Ozawa, Martha N.

    1984-01-01

    Reviews the conditions that prevailed before the passage of the 1983 amendments to the Social Security Act, the probable effects of the amendments, and the future direction of social security. Questions whether the amendments have in reality rescued social security from financial insolvency and discusses the concept of intergenerational equity.…

  2. 75 FR 7530 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-19

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61510; File No. SR-FINRA-2010-003] Self... Change, as Modified by Amendment No. 1, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities February 5, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...

  3. 77 FR 3027 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-20

    ... security-based swaps. The new legislation was intended among other things to enhance the authority of... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66156; File No. SR-FINRA-2012-004] Self... (Application of Rules to Security-Based Swaps) January 13, 2012. Pursuant to Section 19(b)(1) of the Securities...

  4. 78 FR 62855 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... option, derivative, security-based swap, or other financial instrument overlying a security, the value of... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70626; File No. SR-EDGX-2013-36] Self...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...

  5. The Effect of International Financial Reporting Standards Convergence on U. S. Accounting Curriculum

    ERIC Educational Resources Information Center

    Bates, Homer L.; Waldrup, Bobby E.; Shea, Vincent

    2011-01-01

    Major changes are coming to U.S. financial accounting and accounting education as U. S. generally accepted accounting principles (GAAP) and international financial reporting standards (IFRS) converge within the next few years. In 2008, the U.S. Securities and Exchange Commission (SEC) published a proposed "road map" for the potential…

  6. 76 FR 32248 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-03

    ...\\ See letter from F. John White, Chief Executive Officer, Public Financial Management, Inc., dated... Financial Strategies, dated March 21, 2011 (``Nathan Howard Letter''); letter from Mike Nicholas, Chief... preserve the general confusion between the role of a financial advisor and the role of an underwriter and...

  7. 17 CFR 1.67 - Notification of final disciplinary action involving financial harm to a customer.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... disciplinary action involving financial harm to a customer. 1.67 Section 1.67 Commodity and Securities... Miscellaneous § 1.67 Notification of final disciplinary action involving financial harm to a customer. (a) Definitions. For purposes of this section: (1) Final disciplinary action means any decision by or settlement...

  8. Boosting Financial Literacy in America: A Role for State Colleges and Universities. Perspectives

    ERIC Educational Resources Information Center

    Harnisch, Thomas L.

    2010-01-01

    Given the overarching ramifications that financial literacy plays in the modern economy, this paper contends that a renewed emphasis on financial literacy is central to individual, family and communal economic security. New responsibilities and opportunities given to consumers, such as retirement planning, have increased the need for more…

  9. Achieving a Financially Secure Retirement: A Retirement Community Case Study

    ERIC Educational Resources Information Center

    Dong, Francis Henry

    2014-01-01

    In the wake of recent events, especially the Great Recession of 2007-2009, affecting the economy, resulting in job losses, personal financial distress, and gloomy perceptions of their future well-being, many Americans are concerned about their financial quality of life in retirement. The media is replete with a plethora of advertisements for…

  10. 24 CFR 573.5 - Underwriting standards and availability of loan guarantee assistance.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... its discretion, accept the underwriting standards of the Financial Institution making a loan to a... acceptable financial risk under HUD's generally applicable loan underwriting standards based on the following... pledged as security for the repayment of the loan. (c) The provision of a loan guarantee to a Financial...

  11. 3 CFR 8493 - Proclamation 8493 of April 2, 2010. National Financial Literacy Month, 2010

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... complex. This has left too many Americans behind, unable to build a secure financial future for themselves... never happens again will require new rules to protect consumers and better information to empower them. The new Consumer Financial Protection Agency I have proposed will ensure ordinary Americans get clear...

  12. Interactions between Financial and Environmental Networks in OECD Countries.

    PubMed

    Ruzzenenti, Franco; Joseph, Andreas; Ticci, Elisa; Vozzella, Pietro; Gabbi, Giampaolo

    2015-01-01

    We analysed a multiplex of financial and environmental networks between OECD countries from 2002 to 2010. Foreign direct investments and portfolio investment showing the flows in equity securities, short-term, long-term and total debt, these securities represent the financial layers; emissions of NOx, PM10, SO2, CO2 equivalent and the water footprint associated with international trade represent the environmental layers. We present a new measure of cross-layer correlations between flows in different layers based on reciprocity. For the assessment of results, we implement a null model for this measure based on the exponential random graph theory. We find that short-term financial flows are more correlated with environmental flows than long-term investments. Moreover, the correlations between reverse financial and environmental flows (i.e. the flows of different layers going in opposite directions) are generally stronger than correlations between synergic flows (flows going in the same direction). This suggests a trade-off between financial and environmental layers, where, more financialised countries display higher correlations between outgoing financial flows and incoming environmental flows than from lower financialised countries. Five countries are identified as hubs in this finance-environment multiplex: The United States, France, Germany, Belgium-Luxembourg and United Kingdom.

  13. Interactions between Financial and Environmental Networks in OECD Countries

    PubMed Central

    Ruzzenenti, Franco; Joseph, Andreas; Ticci, Elisa; Vozzella, Pietro; Gabbi, Giampaolo

    2015-01-01

    We analysed a multiplex of financial and environmental networks between OECD countries from 2002 to 2010. Foreign direct investments and portfolio investment showing the flows in equity securities, short-term, long-term and total debt, these securities represent the financial layers; emissions of NO x, PM10, SO 2, CO 2 equivalent and the water footprint associated with international trade represent the environmental layers. We present a new measure of cross-layer correlations between flows in different layers based on reciprocity. For the assessment of results, we implement a null model for this measure based on the exponential random graph theory. We find that short-term financial flows are more correlated with environmental flows than long-term investments. Moreover, the correlations between reverse financial and environmental flows (i.e. the flows of different layers going in opposite directions) are generally stronger than correlations between synergic flows (flows going in the same direction). This suggests a trade-off between financial and environmental layers, where, more financialised countries display higher correlations between outgoing financial flows and incoming environmental flows than from lower financialised countries. Five countries are identified as hubs in this finance-environment multiplex: The United States, France, Germany, Belgium-Luxembourg and United Kingdom. PMID:26375393

  14. 12 CFR 225.4 - Corporate practices.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... financial holding companies engaged in securities underwriting, dealing, or market-making activities. (1... an affiliated company engaged in underwriting, dealing in, or making a market in securities pursuant... underwriting, dealing in, or making a market in securities pursuant to section 4(k)(4)(E) of the Bank Holding...

  15. 12 CFR 225.4 - Corporate practices.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ...) Requirements for financial holding companies engaged in securities underwriting, dealing, or market-making... bank to an affiliated company engaged in underwriting, dealing in, or making a market in securities... underwriting, dealing in, or making a market in securities pursuant to section 4(k)(4)(E) of the Bank Holding...

  16. 7 CFR 761.51 - Establishing a supervised bank account.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... not practicable; (2) Protect the Agency's security interest in insurance indemnities or other loss compensation resulting from loss or damage to loan security; or (3) Assist borrowers with limited financial... funds planned for capital purchases or debt refinancing and perfection of the Agency's security interest...

  17. 17 CFR 248.1 - Purpose and scope.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Purpose and scope. 248.1 Section 248.1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) REGULATIONS S-P AND S-AM Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal...

  18. 6 CFR 21.7 - Assurances required.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 6 Domestic Security 1 2012-01-01 2012-01-01 false Assurances required. 21.7 Section 21.7 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE...

  19. 6 CFR 21.17 - Decisions and notices.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 6 Domestic Security 1 2013-01-01 2013-01-01 false Decisions and notices. 21.17 Section 21.17 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE...

  20. 6 CFR 21.19 - Judicial review.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 6 Domestic Security 1 2010-01-01 2010-01-01 false Judicial review. 21.19 Section 21.19 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE...

  1. 6 CFR 21.3 - Application.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 6 Domestic Security 1 2012-01-01 2012-01-01 false Application. 21.3 Section 21.3 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF...

  2. 6 CFR 21.11 - Conduct of investigations.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 6 Domestic Security 1 2013-01-01 2013-01-01 false Conduct of investigations. 21.11 Section 21.11 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE...

  3. 6 CFR 21.19 - Judicial review.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 6 Domestic Security 1 2013-01-01 2013-01-01 false Judicial review. 21.19 Section 21.19 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE...

  4. 6 CFR 21.3 - Application.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 6 Domestic Security 1 2010-01-01 2010-01-01 false Application. 21.3 Section 21.3 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF...

  5. 6 CFR 21.15 - Hearings.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 6 Domestic Security 1 2012-01-01 2012-01-01 false Hearings. 21.15 Section 21.15 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF...

  6. 6 CFR 21.13 - Procedure for effecting compliance.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 6 Domestic Security 1 2014-01-01 2014-01-01 false Procedure for effecting compliance. 21.13 Section 21.13 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL...

  7. 6 CFR 21.19 - Judicial review.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 6 Domestic Security 1 2014-01-01 2014-01-01 false Judicial review. 21.19 Section 21.19 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE...

  8. 6 CFR 21.11 - Conduct of investigations.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 6 Domestic Security 1 2011-01-01 2011-01-01 false Conduct of investigations. 21.11 Section 21.11 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE...

  9. 6 CFR 21.7 - Assurances required.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 6 Domestic Security 1 2011-01-01 2011-01-01 false Assurances required. 21.7 Section 21.7 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE...

  10. 6 CFR 21.11 - Conduct of investigations.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 6 Domestic Security 1 2014-01-01 2014-01-01 false Conduct of investigations. 21.11 Section 21.11 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE...

  11. 6 CFR 21.4 - Definitions.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 6 Domestic Security 1 2013-01-01 2013-01-01 false Definitions. 21.4 Section 21.4 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF...

  12. 6 CFR 21.13 - Procedure for effecting compliance.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 6 Domestic Security 1 2013-01-01 2013-01-01 false Procedure for effecting compliance. 21.13 Section 21.13 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL...

  13. 6 CFR 21.3 - Application.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 6 Domestic Security 1 2013-01-01 2013-01-01 false Application. 21.3 Section 21.3 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF...

  14. 6 CFR 21.15 - Hearings.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 6 Domestic Security 1 2011-01-01 2011-01-01 false Hearings. 21.15 Section 21.15 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF...

  15. 6 CFR 21.3 - Application.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 6 Domestic Security 1 2014-01-01 2014-01-01 false Application. 21.3 Section 21.3 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF...

  16. 6 CFR 21.17 - Decisions and notices.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 6 Domestic Security 1 2014-01-01 2014-01-01 false Decisions and notices. 21.17 Section 21.17 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE...

  17. 6 CFR 21.4 - Definitions.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 6 Domestic Security 1 2014-01-01 2014-01-01 false Definitions. 21.4 Section 21.4 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF...

  18. 6 CFR 21.11 - Conduct of investigations.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 6 Domestic Security 1 2012-01-01 2012-01-01 false Conduct of investigations. 21.11 Section 21.11 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE...

  19. 6 CFR 21.17 - Decisions and notices.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 6 Domestic Security 1 2011-01-01 2011-01-01 false Decisions and notices. 21.17 Section 21.17 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE...

  20. 6 CFR 21.19 - Judicial review.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 6 Domestic Security 1 2012-01-01 2012-01-01 false Judicial review. 21.19 Section 21.19 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE...

  1. 6 CFR 21.13 - Procedure for effecting compliance.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 6 Domestic Security 1 2012-01-01 2012-01-01 false Procedure for effecting compliance. 21.13 Section 21.13 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL...

  2. 6 CFR 21.7 - Assurances required.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 6 Domestic Security 1 2013-01-01 2013-01-01 false Assurances required. 21.7 Section 21.7 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE...

  3. 6 CFR 21.15 - Hearings.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 6 Domestic Security 1 2013-01-01 2013-01-01 false Hearings. 21.15 Section 21.15 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF...

  4. 6 CFR 21.13 - Procedure for effecting compliance.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 6 Domestic Security 1 2011-01-01 2011-01-01 false Procedure for effecting compliance. 21.13 Section 21.13 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL...

  5. 6 CFR 21.11 - Conduct of investigations.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 6 Domestic Security 1 2010-01-01 2010-01-01 false Conduct of investigations. 21.11 Section 21.11 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE...

  6. 6 CFR 21.7 - Assurances required.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 6 Domestic Security 1 2010-01-01 2010-01-01 false Assurances required. 21.7 Section 21.7 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE...

  7. 6 CFR 21.19 - Judicial review.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 6 Domestic Security 1 2011-01-01 2011-01-01 false Judicial review. 21.19 Section 21.19 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE...

  8. 6 CFR 21.17 - Decisions and notices.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 6 Domestic Security 1 2012-01-01 2012-01-01 false Decisions and notices. 21.17 Section 21.17 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE...

  9. 6 CFR 21.17 - Decisions and notices.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 6 Domestic Security 1 2010-01-01 2010-01-01 false Decisions and notices. 21.17 Section 21.17 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE...

  10. 6 CFR 21.3 - Application.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 6 Domestic Security 1 2011-01-01 2011-01-01 false Application. 21.3 Section 21.3 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF...

  11. 6 CFR 21.15 - Hearings.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 6 Domestic Security 1 2014-01-01 2014-01-01 false Hearings. 21.15 Section 21.15 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE DEPARTMENT OF...

  12. 6 CFR 21.7 - Assurances required.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 6 Domestic Security 1 2014-01-01 2014-01-01 false Assurances required. 21.7 Section 21.7 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE FROM THE...

  13. 6 CFR 21.13 - Procedure for effecting compliance.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 6 Domestic Security 1 2010-01-01 2010-01-01 false Procedure for effecting compliance. 21.13 Section 21.13 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF RACE, COLOR, OR NATIONAL ORIGIN IN PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL...

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

    NASA Astrophysics Data System (ADS)

    Wei, Song

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

  15. 42 CFR 411.354 - Financial relationship, compensation, and ownership or investment interest.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... company memberships, as well as loans, bonds, or other financial instruments that are secured with an... this section); (iii) An unsecured loan subordinated to a credit facility (which is a compensation...

  16. 42 CFR 411.354 - Financial relationship, compensation, and ownership or investment interest.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... company memberships, as well as loans, bonds, or other financial instruments that are secured with an... this section); (iii) An unsecured loan subordinated to a credit facility (which is a compensation...

  17. 42 CFR 411.354 - Financial relationship, compensation, and ownership or investment interest.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... company memberships, as well as loans, bonds, or other financial instruments that are secured with an... this section); (iii) An unsecured loan subordinated to a credit facility (which is a compensation...

  18. Usable SPACE: Security, Privacy, and Context for the Mobile User

    NASA Astrophysics Data System (ADS)

    Jutla, Dawn

    Users breach the security of data within many financial applications daily as human and/or business expediency to access and use information wins over corporate security policy guidelines. Recognizing that changing user context often requires different security mechanisms, we discuss end-to-end solutions combining several security and context mechanisms for relevant security control and information presentation in various mobile user situations. We illustrate key concepts using Dimitri Kanevskys (IBM Research) early 2000s patented inventions for voice security and classification.

  19. Spring 2008 Industry Study: Financial Services Industry

    DTIC Science & Technology

    2008-01-01

    04/24/can-wall-street-regulate- itself/. Mishkin , Frederic S. and Stanley G. Eakins. Financial Markets and Institutions . 4th ed. 2004, Addison...Security Strategy that designates as a priority the “pressing for open markets , financial stability, and deeper integration of the world economy.”1...were lured to new, innovative, and often very complex financial vehicles. In order to address the shortcomings of the free market , new regulatory

  20. The search for effective alternatives to conservatorship: lessons from a daily money management diversion study.

    PubMed

    Wilber, K H

    1995-01-01

    This article explores outcomes of daily money management (DMM) services for older persons. It is based on research that examined the ability of DMM to provide an alternative to court-appointed conservatorship that is less restrictive. Results indicate that although the DMM programs studied did not divert older persons from conservatorship, they appeared to offer several important advantages. These included helping older persons secure benefits and services, enhancing their financial security, and reducing financial exploitation.

  1. 78 FR 19366 - Surety Companies Acceptable on Federal Bonds: Ohio Security Insurance Company

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-29

    ... DEPARTMENT OF THE TREASURY Fiscal Service Surety Companies Acceptable on Federal Bonds: Ohio Security Insurance Company AGENCY: Financial Management Service, Fiscal Service, Department of the Treasury... hereby issued under 31 U.S.C. 9305 to the following company: Ohio Security Insurance Company (NAIC 24082...

  2. 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...

  3. 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...

  4. 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...

  5. 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...

  6. 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...

  7. 6 CFR 11.7 - Private collection agencies.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 6 Domestic Security 1 2010-01-01 2010-01-01 false Private collection agencies. 11.7 Section 11.7 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY CLAIMS § 11.7 Private collection agencies. DHS will transfer delinquent DHS debts to the Treasury Department's Financial Management Service...

  8. 29 CFR 70.54 - Employee Benefits Security Administration.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 29 Labor 1 2014-07-01 2013-07-01 true Employee Benefits Security Administration. 70.54 Section 70... Records and Filings § 70.54 Employee Benefits Security Administration. (a) The annual financial reports (Form 5500) and attachments/schedules as filed by employee benefit plans under the Employee Retirement...

  9. 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...

  10. 22 CFR 1203.735-205 - Financial interests.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ..., or other corporate securities under the trust will be exempt to the same extent as provided in... of investing in equity or debt securities: Provided, That the fair value of the interest involved... the purpose of investing in equity or debt securities, the interest of the employee in any enterprise...

  11. 22 CFR 1203.735-205 - Financial interests.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ..., or other corporate securities under the trust will be exempt to the same extent as provided in... of investing in equity or debt securities: Provided, That the fair value of the interest involved... the purpose of investing in equity or debt securities, the interest of the employee in any enterprise...

  12. 78 FR 11925 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-20

    ... supervise sales of corporate securities and options, respectively. A person registering as a General... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68918; File No. SR-FINRA-2013-014] Self... Effectiveness of a Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10...

  13. 22 CFR 1203.735-205 - Financial interests.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ..., or other corporate securities under the trust will be exempt to the same extent as provided in... of investing in equity or debt securities: Provided, That the fair value of the interest involved... the purpose of investing in equity or debt securities, the interest of the employee in any enterprise...

  14. 22 CFR 1203.735-205 - Financial interests.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ..., or other corporate securities under the trust will be exempt to the same extent as provided in... of investing in equity or debt securities: Provided, That the fair value of the interest involved... the purpose of investing in equity or debt securities, the interest of the employee in any enterprise...

  15. 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...

  16. 29 CFR 70.54 - Employee Benefits Security Administration.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 29 Labor 1 2010-07-01 2010-07-01 true Employee Benefits Security Administration. 70.54 Section 70... Records and Filings § 70.54 Employee Benefits Security Administration. (a) The annual financial reports (Form 5500) and attachments/schedules as filed by employee benefit plans under the Employee Retirement...

  17. 31 CFR 1023.520 - Special information sharing procedures to deter money laundering and terrorist activity for...

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ...) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES... to deter money laundering and terrorist activity for brokers or dealers in securities. 1023.520... securities. (a) Refer to § 1010.520 of this chapter. (b) [Reserved] ...

  18. 31 CFR 1023.520 - Special information sharing procedures to deter money laundering and terrorist activity for...

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ...) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES... to deter money laundering and terrorist activity for brokers or dealers in securities. 1023.520... securities. (a) Refer to § 1010.520 of this chapter. (b) [Reserved] ...

  19. 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. ...

  20. 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. ...

  1. 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...

  2. 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. ...

  3. 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...

  4. 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...

  5. 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...

  6. 31 CFR 1023.520 - Special information sharing procedures to deter money laundering and terrorist activity for...

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ...) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES... to deter money laundering and terrorist activity for brokers or dealers in securities. 1023.520... securities. (a) Refer to § 1010.520 of this chapter. (b) [Reserved] ...

  7. 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. ...

  8. 31 CFR 1023.520 - Special information sharing procedures to deter money laundering and terrorist activity for...

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ...) FINANCIAL CRIMES ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES... to deter money laundering and terrorist activity for brokers or dealers in securities. 1023.520... securities. (a) Refer to § 1010.520 of this chapter. (b) [Reserved] ...

  9. 17 CFR 449.1 - Form G-FIN, notification by financial institutions of status as government securities broker or...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Form G-FIN, notification by...)(i) of the Securities Exchange Act of 1934. 449.1 Section 449.1 Commodity and Securities Exchanges... Currency, the Federal Deposit Insurance Corporation, the Director of the Office of Thrift Supervision and...

  10. Why information security belongs on the CFO's agenda.

    PubMed

    Quinnild, James; Fusile, Jeff; Smith, Cindy

    2006-02-01

    Healthcare financial executives need to understand the complex and growing role of information security in supporting the business of health care. The biggest security gaps in healthcare organizations occur in strategy and centralization, business executive preparation, and protected health information. CFOs should collaborate with the CIO in engaging a comprehensive framework to develop, implement, communicate, and maintain an enterprisewide information security strategy.

  11. Ambiguity in determining financial capability of SSI and SSDI beneficiaries with psychiatric disabilities.

    PubMed

    Lazar, Christina M; Black, Anne C; McMahon, Thomas J; O'Shea, Kevin; Rosen, Marc I

    2015-03-01

    The liberty of individuals who receive Social Security disability payments is constrained if they are judged incapable of managing their payments and are assigned a payee or conservator to manage benefit payments on their behalf. Conversely, beneficiaries' well-being may be compromised if they misspend money that they need to survive. Several studies have shown that determinations of financial capability are made inconsistently and that capability guidelines appear to be applied inconsistently. This article describes ambiguities that remained for individuals even after a comprehensive assessment of financial capability was conducted by independent assessors. Trained, experienced assessors rated the financial capability of 118 individuals in intensive outpatient or inpatient psychiatric facilities who received Social Security Disability Insurance or Supplemental Security Income. Ten individuals' cases were determined to be difficult to judge. Six sources of ambiguity were identified by case review: distinguishing incapability from the challenges of navigating poverty, the amount of nonessential spending that indicates incapability, the amount of spending on harmful things that indicates incapability, how to consider intermittent periods of capability and incapability, the relative weighting of past behavior and future plans to change, and discrepancies between different sources of information. The cases raise fundamental questions about how to define and identify financial incapability, but they also illustrate how detailed consideration of beneficiaries' living situations and decision making can inform the difficult dichotomous decision about capability.

  12. 75 FR 18558 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-04-12

    .... Information regarding the market price and trading volume of the Shares will be continually available on a... trading volume information for the Shares will be published daily in the financial sections of newspapers...), name of security or financial instrument, number of shares or dollar value of financial instruments...

  13. 32 CFR Appendix G to Part 275 - Releasing Information Obtained From Financial Institutions

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... FINANCIAL PRIVACY ACT OF 1978 Pt. 275, App. G Appendix G to Part 275—Releasing Information Obtained From... record was obtained pursuant to the Right to Financial Privacy Act of 1978, 12 U.S.C. 3401 et seq., and... transferring law enforcement office, personnel security element, or intelligence organization, or designee...

  14. 12 CFR 3.132 - Counterparty credit risk of repo-style transactions, eligible margin loans, and OTC derivative...

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... period that reflects a period of significant financial stress appropriate to the security or category of... describe how it determines the period of significant financial stress used to calculate the national bank's... period of significant financial stress in the calculation of own internal estimates for haircuts. (7) A...

  15. 17 CFR 229.303 - (Item 303) Management's discussion and analysis of financial condition and results of operations.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 303) Management's discussion and analysis of financial condition and results of operations. 229.303 Section 229.303 Commodity... 1975-REGULATION S-K Financial Information § 229.303 (Item 303) Management's discussion and analysis of...

  16. 75 FR 41254 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62476; File No. SR-FINRA-2010-012] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) July 8, 2010. I. Introduction On March 30, 2010, the Financial Industry Regulatory...

  17. 12 CFR 208.36 - Reporting requirements for State member banks subject to the Securities Exchange Act of 1934.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... recent fiscal year, and no foreign offices, may elect to substitute for the financial statements required... qualifying for and electing to file financial statements from its quarterly report of condition pursuant to... statement or schedule, only the particular financial statement or schedule need be included. All copies of...

  18. 31 CFR 203.4 - Financial institution eligibility for designation as a TT&L depositary.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... PAYMENT OF FEDERAL TAXES AND THE TREASURY TAX AND LOAN PROGRAM General Information § 203.4 Financial... secure TT&L account balances, a TIP main account balance, an SDI account balance, or a no account balance... Federal tax deposits through PATAX, a financial institution must possess under its charter either general...

  19. 12 CFR 335.221 - Forms for registration of securities and cross reference to Regulation FD (Fair Disclosure).

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... statements. The requirements for Management's Discussion and Analysis of Financial Condition and Results of... the FDIC instead of the SEC. (b) The requirements for Financial Statements can generally be found in Regulation S-X (17 CFR part 210). Banks may also refer to the instructions for Federal Financial Institutions...

  20. 17 CFR 210.2-05 - Examination of financial statements by more than one accountant.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... statements by more than one accountant. 210.2-05 Section 210.2-05 Commodity and Securities Exchanges... Qualifications and Reports of Accountants § 210.2-05 Examination of financial statements by more than one accountant. If, with respect to the examination of the financial statements, part of the examination is made...

  1. 17 CFR 210.2-05 - Examination of financial statements by more than one accountant.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... statements by more than one accountant. 210.2-05 Section 210.2-05 Commodity and Securities Exchanges... Qualifications and Reports of Accountants § 210.2-05 Examination of financial statements by more than one accountant. If, with respect to the examination of the financial statements, part of the examination is made...

  2. 5 CFR 5001.102 - Prohibited financial interests in for-hire transportation companies.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... the Interstate Commerce Act; or (ii) Any company, mutual fund or other enterprise which has an... on the most recent financial statement issued to its security holders by the company, fund or other...

  3. 5 CFR 5001.102 - Prohibited financial interests in for-hire transportation companies.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... the Interstate Commerce Act; or (ii) Any company, mutual fund or other enterprise which has an... on the most recent financial statement issued to its security holders by the company, fund or other...

  4. 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.

  5. Security Deposits

    DTIC Science & Technology

    1987-04-01

    security deposit action is described in the regulation as follows: h. Security Deposits (DACF and DACA ). (1) Issue. PCS moves create financial hardships...General Wickham, The Army Chief of Staff, specified a philosophy toward the family in the Army Family White Paper. General Wickham’s action was in...security deposits arose. 1 The Army’s action to the issue of security deposits will be thoroughly discussed in this paper. The Army’s action comes now

  6. Welfare, Tax Burden and Fiscal Balance in Artificial Societies

    NASA Astrophysics Data System (ADS)

    Kikuchi, Toshiko

    Japan's social security system is facing a crisis by short-sighted policies to balance of the accounts in a financial crisis. However, such a balance of accounts does not necessarily bring remedy of financial difficulties. If it is possible to reduce the social security payments because the weak become independent, it is considered that short-sighted reforms cause a further financial crisis. This study explores how welfare and tax burden influence fiscal balance using multi-agent simulations. The results of simulation show that fiscal balance is improved by high-welfare than a cut in fiscal expenditures, and that welfare reducing is impossible unless the three relations of social configuration (market, obligatory, and communal relations) function in balance with each other.

  7. 77 FR 33809 - Survey of Foreign Ownership of U.S. Securities as of June 30, 2012

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-07

    ... government, and any agency, corporation, financial institution, or other entity or instrumentality thereof... equities, short-term debt securities (including selected money market instruments), and long-term debt...

  8. 78 FR 18678 - Survey of Foreign Ownership of U.S. Securities as of June 30, 2013

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-27

    ... government, and any agency, corporation, financial institution, or other entity or instrumentality thereof... equities, short-term debt securities (including selected money market instruments), and long-term debt...

  9. 76 FR 37888 - Survey of Foreign Ownership of U.S. Securities as of June 30, 2011

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-28

    ... government, and any agency, corporation, financial institution, or other entity or instrumentality thereof... equities, short-term debt securities (including selected money market instruments), and long-term debt...

  10. Addressing the Economic Security Issues Facing Same-Sex Couples.

    ERIC Educational Resources Information Center

    Dolan, Elizabeth M.; Stum, Marlene S.; Rupured, Michael

    1999-01-01

    Provides educators and researchers with an awareness of the financial security issues faced by same-sex couples and offers suggestions for incorporating the discussion of these ideas into existing curricula and research. (Author/JOW)

  11. 77 FR 24746 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-25

    ... SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request... that are experiencing financial or operational difficulties to provide notice to the Commission, the... difficulties and to obtain any additional information necessary to gauge the broker-dealer's financial or...

  12. 17 CFR 402.2e - Appendix E-Temporary minimum requirements.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Appendix E-Temporary minimum requirements. 402.2e Section 402.2e Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 FINANCIAL RESPONSIBILITY § 402.2e Appendix E...

  13. 17 CFR 402.2e - Appendix E-Temporary minimum requirements.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Appendix E-Temporary minimum requirements. 402.2e Section 402.2e Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 FINANCIAL RESPONSIBILITY § 402.2e Appendix E...

  14. 17 CFR 402.2e - Appendix E-Temporary minimum requirements.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Appendix E-Temporary minimum requirements. 402.2e Section 402.2e Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 FINANCIAL RESPONSIBILITY § 402.2e Appendix E...

  15. 17 CFR 402.2e - Appendix E-Temporary minimum requirements.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Appendix E-Temporary minimum requirements. 402.2e Section 402.2e Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 FINANCIAL RESPONSIBILITY § 402.2e Appendix E...

  16. 17 CFR 402.2e - Appendix E-Temporary minimum requirements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Appendix E-Temporary minimum requirements. 402.2e Section 402.2e Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 FINANCIAL RESPONSIBILITY § 402.2e Appendix E...

  17. 77 FR 65431 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-26

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68076; File No. SR-FINRA-2012-047] Self.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder..., Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the...

  18. 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...

  19. 76 FR 45631 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-29

    ... Proposed Rule Change 1. Purpose (a) Background In light of well publicized securities frauds that resulted... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64954; File No. SR-FINRA-2010-036] Self...-Case Referrals July 25, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...

  20. Measuring the Effectiveness of Information Security Training: A Comparative Analysis of Computer-Based Training and Instructor-Based Training

    ERIC Educational Resources Information Center

    Kim, Philip

    2010-01-01

    Financial institutions are increasingly finding difficulty defending against information security risks and threats, as they are often the number one target for information thieves. An effective information security training and awareness program can be a critical component of protecting an organization's information assets. Many financial…

  1. 77 FR 63380 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-16

    ... purchase fixed income securities issued by U.S. or foreign corporations \\6\\ or financial institutions... also may purchase securities issued or guaranteed by the U.S. Government or foreign governments... (``CMOs'').\\8\\ The Fund may purchase or sell securities on a when issued, delayed delivery or forward...

  2. 77 FR 77162 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-31

    ... globalization of securities markets, cross-border coordination of trading and quotation halts is important to... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68526; File No. SR-FINRA-2012-010] Self... Change To Amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) December 21, 2012...

  3. 6 CFR 17.455 - Textbooks and curricular material.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 6 Domestic Security 1 2010-01-01 2010-01-01 false Textbooks and curricular material. 17.455 Section 17.455 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY NONDISCRIMINATION ON THE BASIS OF SEX IN EDUCATION PROGRAMS OR ACTIVITIES RECEIVING FEDERAL FINANCIAL ASSISTANCE Discrimination on the Basis of Sex in Education...

  4. 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...

  5. 78 FR 62842 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... Rule 5270 defines the term ``related financial instrument'' as ``any option, derivative, security-based... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70625; File No. SR-EDGA-2013-29] Self...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...

  6. 31 CFR 1023.210 - Anti-money laundering program requirements for brokers or dealers in securities.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... requirements for brokers or dealers in securities. 1023.210 Section 1023.210 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 Programs § 1023.210 Anti-money laundering program...

  7. 31 CFR 1023.210 - Anti-money laundering program requirements for brokers or dealers in securities.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... requirements for brokers or dealers in securities. 1023.210 Section 1023.210 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 Programs § 1023.210 Anti-money laundering program...

  8. 31 CFR 1023.210 - Anti-money laundering program requirements for brokers or dealers in securities.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... requirements for brokers or dealers in securities. 1023.210 Section 1023.210 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 Programs § 1023.210 Anti-money laundering program...

  9. 31 CFR 1023.210 - Anti-money laundering program requirements for brokers or dealers in securities.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... requirements for brokers or dealers in securities. 1023.210 Section 1023.210 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 Programs § 1023.210 Anti-money laundering program...

  10. Social Security reform: implications for women.

    PubMed

    Williamson, J B; Rix, S E

    2000-01-01

    Despite recent economic gains for women, a substantial gender gap in financial security during old age remains, making women more dependent than men upon Social Security. Social Security plays an important role in providing for women's economic security. The implications for women of several proposed changes in Social Security policy, including the call for the partial privatization of Social Security via the introduction of individual accounts, are analyzed. Many of the proposals would have the effect of asking women, particularly low-income women, to shoulder a disproportionate share of the risks and burdens associated with the changes.

  11. JPRS Report West Europe.

    DTIC Science & Technology

    1988-09-14

    of the education and training system, reestablishment of a financially adequate promotion of training for pupils and students and improvement of...individuals well versed in the ways of old-party shenanigans and deployed them immediately in three crucial spots: —In the Ministry of Interior where...director of credit inspection for the Bank of Portugal, president of the Portuguese Financial Society, member of the Social Security Financial

  12. The American Indian and Alaska Native Higher Education Funding Guide. A Financial Guide to Undergraduate and Graduate Sources of Funding for American Indians and Alaska Natives.

    ERIC Educational Resources Information Center

    Frazier, Gregory W.

    This book provides American Indian and Alaska Native students with sources for securing financial aid for higher education. The first section covers sources of funding and grants for individuals who are pursuing undergraduate degrees. This financial support includes scholarships with state residency requirements, general undergraduate…

  13. 78 FR 69509 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-19

    ... of daily financial rewards on the number of SET Credits awarded to CLPs; (3) change the allocation of the daily financial rewards to a set dollar value per CLP in each class of security; and (4) make... Daily Financial Rewards The Exchange is also proposing to amend its Rules in order to base the...

  14. The AS (Administrative Sciences) Financial Reporting System: Some Experience on Prototyping and User Interaction.

    DTIC Science & Technology

    1986-03-27

    RD-RI69 841 THE AS (ADMINISTRATIVE SCIENCES) FINANCIAL REPORTING i4 SYSTEN: SOME EXPERIE.. (U) NAVAL POSTGRADUATE SCHOOL MONTEREY CA R L BOOKER 27...Monterey, California * II LECp THESIS THE AS FINANCIAL REPORTING SYSTEM: SOME EXPERIENCE ON PROTOTYPING AND USER INTERACTION by Ronald L. Booker March...7ASK WORK UNIT ELEMENT NO. NO. NO ACCESSION NO ’ITITLE (Include Security Cassfication) THE AS FINANCIAL REPORTING SYSTEM: SOME EXPERIENCE ON PROTOTYPING

  15. 75 FR 80895 - Office of the Assistant Secretary for International Affairs; Survey of U.S. Ownership of Foreign...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-23

    ... government, and any agency, corporation, financial institution, or other entity or instrumentality thereof... debt securities, and short-term debt securities (including selected money market instruments). How to...

  16. 76 FR 69798 - Survey of U.S. Ownership of Foreign Securities as of December 31, 2011

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-09

    ... United States Government, a State or local government, and any agency, corporation, financial institution..., and short-term debt securities (including selected money market instruments). How to Report: Completed...

  17. Caribbean Count Act

    THOMAS, 111th Congress

    Sen. Schumer, Charles E. [D-NY

    2009-05-20

    Senate - 06/09/2009 Committee on Homeland Security and Governmental Affairs referred to Subcommittee on Federal Financial Management, Government Information, Federal Services, and International Security. (All Actions) Tracker: This bill has the status IntroducedHere are the steps for Status of Legislation:

  18. 77 FR 42175 - Securities Act Industry Guides

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-18

    ... June 30, 2009, the Financial Accounting Standards Board (``FASB'') issued FASB Statement of Financial... Accepted Accounting Principles--a replacement of FASB Statement No. 162 (``Statement No. 168''), to establish the FASB Codification as the source of authoritative non-Commission accounting principles...

  19. 12 CFR 998.1 - Purpose.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... institutions who raise funds in the global debt markets. ... EQUITY SECURITIES § 998.1 Purpose. The purposes of this part are to enhance the quality of the financial... disclosures from Bank to Bank, to provide a greater degree of transparency regarding the financial condition...

  20. Agencies Need Improved Financial Data Reporting for Private Security Contractors

    DTIC Science & Technology

    2008-10-30

    Source DoDa DoSb USAIDc Total 1 Multiple Funds Used for Contract $712.0 $1,443.3 $493.8 $2,649.1 2 Operations and Maintenance Account 1,150.1 0.0 0.0...display a currently valid OMB control number. 1 . REPORT DATE 30 OCT 2008 2 . REPORT TYPE 3. DATES COVERED 00-00-2008 to 00-00-2008 4. TITLE AND...routinely capturing financial information for all contracts and subcontracts for private security services, citing FAR 15.403- 1 (b)( 2 ) as prohibiting it

  1. 75 FR 33885 - Office of International Affairs; Survey of Foreign Ownership of U.S. Securities as of June 30, 2010

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-15

    ... any agency, corporation, financial institution, or other entity or instrumentality thereof, including... equities, short-term debt securities (including selected money market instruments), and long-term debt...

  2. Disability Data Modernization Act

    THOMAS, 111th Congress

    Sen. Martinez, Mel [R-FL

    2009-05-21

    Senate - 06/09/2009 Committee on Homeland Security and Governmental Affairs referred to Subcommittee on Federal Financial Management, Government Information, Federal Services, and International Security. (All Actions) Tracker: This bill has the status IntroducedHere are the steps for Status of Legislation:

  3. 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...

  4. Fairness in Representation Act

    THOMAS, 111th Congress

    Sen. Bennett, Robert F. [R-UT

    2009-09-17

    Senate - 10/19/2009 Committee on Homeland Security and Governmental Affairs referred to Subcommittee on Federal Financial Management, Government Information, Federal Services, and International Security. (All Actions) Tracker: This bill has the status IntroducedHere are the steps for Status of Legislation:

  5. Information Systems: The Status of Computer Security at the Department of Veterans Affairs

    DTIC Science & Technology

    1999-10-01

    security weaknesses identified. The results of our underlying reviews were shared with VAs Office of Inspector General (OIG) for its use in auditing VA’s consolidated financial statements for fiscal year 1998.

  6. Report: EPA Needs to Strengthen Financial Database Security Oversight and Monitor Compliance

    EPA Pesticide Factsheets

    Report #2007-P-00017, March 29, 2007. Weaknesses in how EPA offices monitor databases for known security vulnerabilities, communicate the status of critical system patches, and monitor the access to database administrator accounts and privileges.

  7. Perpetual Purple Heart Stamp Act

    THOMAS, 111th Congress

    Sen. Webb, Jim [D-VA

    2009-03-11

    Senate - 04/23/2009 Committee on Homeland Security and Governmental Affairs referred to Subcommittee on Federal Financial Management, Government Information, Federal Services, and International Security. (All Actions) Tracker: This bill has the status IntroducedHere are the steps for Status of Legislation:

  8. 75 FR 39069 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-07

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62416; File No. SR-FINRA-2010-033] Self.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder.... (``FINRA'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as...

  9. 78 FR 56967 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-16

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70358; File No. SR-FINRA-2013-031] Self...'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to amend...

  10. 75 FR 58007 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-23

    ... securities frauds that resulted in harm to investors, FINRA has reviewed its rule on arbitrator referrals and... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62930; File No. SR-FINRA-2010-036] Self... September 17, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and...

  11. 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…

  12. 78 FR 10655 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-14

    ... occurred or is ongoing that has had a material effect on the market for the OTC Equity Security or has... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68874; File No. SR-FINRA-2012-010] Self... Change To Amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) February 8, 2013. I...

  13. 17 CFR 210.3-14 - Special instructions for real estate operations to be acquired.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... General Instructions As to Financial Statements § 210.3-14 Special instructions for real estate operations... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Special instructions for real estate operations to be acquired. 210.3-14 Section 210.3-14 Commodity and Securities Exchanges SECURITIES...

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

    Troy Hiltbrand; Daniel Jones

    As we look at the cyber security ecosystem, are we planning to fight the battle as we did yesterday, with firewalls and intrusion detection systems (IDS), or are we sensing a change in how security is evolving and planning accordingly? With the technology enablement and possible financial benefits of cloud computing, the traditional tools for establishing and maintaining our cyber security ecosystems are being dramatically altered.

  15. 76 FR 25385 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-04

    ... Operations regarding a TRACE-Eligible Security when such security is not in the TRACE system, and to... using any facility or system that FINRA operates or controls.\\8\\ The fee is similar to the Computer-to... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64364; File No. SR-FINRA-2011-012] Self...

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

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-12

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64424; File No. SR-FINRA-2011-023] Self... the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given... Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items...

  17. 75 FR 53998 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-02

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62787; File No. SR-FINRA-2010-045] Self... Effectiveness of Proposed Rule Change To Amend the Security Futures Risk Disclosure Statement August 27, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...

  18. 76 FR 11829 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-03

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63960; File No. SR-FINRA-2011-008] Self... Public Quotation in an OTC Equity Security February 24, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given...

  19. 78 FR 20708 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-05

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69262; File No. SR-FINRA-2013-019] Self... Effectiveness of a Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps) April 1, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1...

  20. 77 FR 76112 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-26

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68468; File No. SR-FINRA-2012-055] Self...-Element Continuing Education Program To Qualify To Engage in a Security Futures Business December 19, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')\\1\\ and Rule 19b-4 thereunder...

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