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Financial Industry Regulatory Authority
The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization A self-regulatory organization (SRO) is an organization that exercises some degree of regulatory authority over an industry or profession. The regulatory authority could exist in place of government regulation, or applied in addition to government ... (SRO) which regulates member brokerage firm A broker is a person or firm who arranges transactions between a buyer and a seller for a commission when the deal is executed. A broker who also acts as a seller or as a buyer becomes a principal party to the deal. Neither role should be conf ...s and exchange markets. FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) as well as the member regulation, enforcement, and arbitration operations of the New York Stock Exchange The New York Stock Exchange (NYSE, nicknamed "The Big Board") is an American stock exchange ...
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Sutherland Asbill & Brennan LLP
Sutherland Asbill & Brennan LLP, rebranded to the abbreviated name of Sutherland, was an AmLaw 100 American law firm. Founded in 1924 by William Sutherland and Elbert Tuttle as Sutherland & Tuttle, the firm originally achieved national prominence on tax issues. Sutherland's practice extended throughout the United States and worldwide, and was focused on seven major practice areas: corporate, energy and environmental, financial services, intellectual property, litigation, real estate, and tax. As of January 2011, the firm had approximately 422 attorneys. History Founded in 1924 by William Sutherland and Elbert Tuttle, the firm of Sutherland & Tuttle first established a practice in the tax field. In the ensuing years, the firm developed practices in corporate, energy, financial services, intellectual property, litigation and real estate. In 1933, Joseph Brennan became partner and the firm became known as Sutherland, Tuttle & Brennan. The firm opened an office in Washington, DC in ...
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Alternative Display Facility
Alternative display facility (ADF) is an equity Equity may refer to: Finance, accounting and ownership *Equity (finance), ownership of assets that have liabilities attached to them ** Stock, equity based on original contributions of cash or other value to a business ** Home equity, the differe ... trading Trade involves the transfer of goods from one person or entity to another, often in exchange for money. Economists refer to a system A system is a group of Interaction, interacting or interrelated elements that act according to a set of ru ... facility created in the United States by the Financial Industry Regulatory Authority The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization A self-regulatory organization (SRO) is an organization that exercises some degree of regulatory authority over an in ... (FINRA), a self-regulatory organization A self-regulatory organization (SRO) is an organizatio ...
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American Academy Of Financial Management
The American Academy of Financial Management (AAFM) was a US-based board of standards, certifying body, and accreditation council focused on the finance sector and management professionals.. It was criticized in ''The Wall Street Journal'' as having low requirements for the Professional certification, credentials it confers and for excessive claims of links to other associations and industry experts. AAFM was superseded by the Global Academy of Finance & Management. History The AAFM was founded in 1996 through a merger of the American Academy of Financial Management & Analysts (AAFMA) and the Founders Advisory Committee of the Original Tax and Estate Planning Law Review. In January 2015, the AAFM sold its intellectual property to the Global Academy of Finance & Management – the logo for which is the same as that of the AAFM with different letters – and the International Board of Certification Standards, which now awards the AAFM's certifications in the United States. ...
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Securities Investor Protection Corporation
The Securities Investor Protection Corporation (SIPC ) is a federally mandated, non-profit A nonprofit organization (NPO), also known as a non-business entity, not-for-profit organization, or nonprofit institution, is a legal entity organized and operated for a collective, public or social benefit, in contrast with an entity that o ..., member-funded, United States corporation A corporation is an organization—usually a group of people or a company—authorized by the State (polity), state to act as a single entity (a legal entity recognized by private and public law "born out of statute"; a legal person in legal ... created under the Securities Investor Protection Act (SIPA) of 1970 that mandates membership of most US-registered broker-dealerIn financial services Financial services are the economic services provided by the finance Finance is the study of financial institutions, financial markets and how they operate within the financial system. It is concer ...
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US Congress
The United States Congress is the legislature A legislature is an deliberative assembly, assembly with the authority to make laws for a Polity, political entity such as a Sovereign state, country or city. They are often contrasted with the Executive (government), executive and Judiciary, ... of the federal government of the United States The federal government of the United States (U.S. federal government or U.S. government) is the Federation#Federal governments, national government of the United States, a federal republic in North America, composed of 50 U.S. state, state .... It is bicameral Bicameralism is the practice of having a legislature A legislature is an assembly Assembly may refer to: Organisations and meetings * Deliberative assembly A deliberative assembly is a gathering of members (of any kind of collective) ..., comprising a lower body, the House of Representatives House of Representatives is the name of legislative bodies ...
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Pro Se
''Pro se'' legal representation ( or ) comes from Latin ''pro se'', meaning "for oneself" or "on behalf of themselves", which in modern law means to argue on one's own behalf in a legal proceedingLegal proceeding is an activity that seeks to invoke the power of a tribunal in order to enforce a law. Although the term may be defined more broadly or more narrowly as circumstances require, it has been noted that " e term ''legal proceedings'' inc ... as a defendant In court proceedings, a defendant is a person A person (plural people or persons) is a being that has certain capacities or attributes such as reason Reason is the capacity of consciously applying logic Logic is an interdisciplinary fi ... or plaintiff A plaintiff ( Π in legal shorthand) is the party who initiates a lawsuit A lawsuit is a proceeding by a party or parties against another in the civil Civil may refer to: *Civic virtue, or civility *Civil action, or lawsuit *Civil aff ... in civi ...
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Securities Act Of 1933
The Securities Act of 1933, also known as the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, and the '33 Act, was enacted by the United States Congress The United States Congress is the legislature of the federal government of the United States. It is Bicameralism, bicameral, comprising a lower body, the United States House of Representatives, House of Representatives, and an upper body, t ... on May 27, 1933, during the Great Depression The Great Depression was a severe worldwide economic depression An economic depression is a sustained, long-term downturn in economic activity in one or more economies. It is a more severe economic downturn than a economic recession, recess ... and after the stock market crash of 1929 The Wall Street Crash of 1929, also known as the Great Crash, was a major American stock market crash that occurred in the autumn of 1929. It started in September and ended late in October, when share pri ...
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Rodriguez De Quijas V
Rodriguez ( in Peninsular Spain or in Latin America) is a Hispanic surname meaning "son of Rodrigo". It is often rendered without the accent mark, primarily outside Spanish-speaking countries. It may refer to: __NOTOC__ People * Rodríguez (surname), people with the surname or mononym ''Rodríguez'' * Rodrigues (surname), people with the surname ''Rodrigues'' Music * Sixto Rodriguez, singer-songwriter who records and performs under the mononym Rodriguez * Rodriguez (band), American rock band active in the mid-late 1990s * Adrián Rodríguez, Spanish actor and singer * Adrian Rodriguez (DJ), German trance producer and DJ, known as Rodriguez * Adrian Rodriguez (musician), American musician, bassist of The Airborne Toxic Event * Magan & Rodriguez, Spanish musical duo * Martínez Rodríguez, Cuban vocalist who collaborated with Tacabro * Patricio Rodríguez-Gutierrez, Chilean/North American musician who collaborated with Marilyn Manson Place names * Rodrigues Island, a dependency of M ...
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Arbitration In The United States
Arbitration, in the context of the law of the United States, is a form of alternative dispute resolution. Specifically, arbitration is an alternative to litigation through which the parties to a dispute agree to submit their respective positions (through agreement or hearing) to a neutral third party (the arbitrator(s) or arbiter(s)) for resolution. In practice arbitration is generally used as a substitute for litigation, particularly when the judicial process is perceived as too slow, expensive or biased. In some context, an arbitrator may be described as an umpire. History Agreements to arbitrate were not enforceable at common law. This rule has been traced back to dictum by Lord Coke in ''Vynor’s Case'', 8 Co. Rep. 81b, 77 Eng. Rep. 597 (1609), that agreements to arbitrate were revocable by either party. During the Industrial Revolution, large corporations became increasingly opposed to this policy. They argued that too many valuable business relationships were being destroyed ...
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