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Uniform Securities Act
The Uniform Securities Act (USA) is a model statute designed to guide each state in drafting its state securities law. It was created by the National Conference of Commissioners on Uniform State Laws (NCCUSL). The purpose of the Uniform Securities Act is to provide model legislation that can be adopted by a state to deal with securities fraud at the state level, supplementing enforcement and regulation efforts of the U.S. Securities and Exchange Commission (SEC). Not all investments are covered federally and not all investment dealers are registered at the federal level, so the SEC does not have authority over all securities and securities transactions. As a result, there is a need for state-level security regulations to protect investors with respect to these securities. The Uniform Securities Act provides model legislation that can be enacted by a state to provide this protection. The state security laws are often known as blue sky laws. The Act was first promulgated in 1930, ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
South Carolina
)''Animis opibusque parati'' ( for, , Latin, Prepared in mind and resources, links=no) , anthem = " Carolina";" South Carolina On My Mind" , Former = Province of South Carolina , seat = Columbia , LargestCity = Charleston , LargestMetro = Greenville (combined and metro) Columbia (urban) , BorderingStates = Georgia, North Carolina , OfficialLang = English , population_demonym = South Carolinian , Governor = , Lieutenant Governor = , Legislature = General Assembly , Upperhouse = Senate , Lowerhouse = House of Representatives , Judiciary = South Carolina Supreme Court , Senators = , Representative = 6 Republicans1 Democrat , postal_code = SC , TradAbbreviation = S.C. , area_rank = 40th , area_total_sq_mi = 32,020 , area_total_km2 = 82,932 , area_land_sq_mi = 30,109 , area_land_km2 = 77,982 , area_water_sq_mi = 1,911 , area_water_km2 = 4,949 , area_water_percent = 6 , population_rank = 23rd , population_as_of = 2022 , 2010Pop = 5282634 , population ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
The National Securities Markets Improvement Act Of 1996
The National Securities Markets Improvement Act of 1996 is an amendment to United States federal securities laws in order to promote efficiency and capital formation in the financial markets, and to amend the Investment Company Act of 1940 to promote more efficient management of mutual funds, protect investors, and provide more effective and less burdensome regulation between states and the Federal Government. The law made substantial changes to the competing systems of securities regulation at the state and federal level. One of its provisions declares that any offering of a "covered security" (as defined within the act) is exempt from state registration and review. Covered securities include the following: * Nationally traded securities - for example, securities listed or authorized for listing on the NYSE or included or qualified for inclusion in Nasdaq; * Securities of a registered investment company (i.e., mutual funds); and * Offers and sales of certain exempt securities ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Uniform Securities Agent State Law Examination
The Uniform Securities Agent State Law Examination, commonly referred to as the Series 63, is developed by North American Securities Administrators Association (NASAA) and is administered by the Financial Industry Regulatory Authority (FINRA). The examination is designed to qualify candidates as securities agents in the United States; nearly all states require individuals to pass the Series 63 as a condition of state registration. The Uniform Securities Agent State Law Examination consists of 65 multiple-choice questions. Applicants are allowed 75 minutes to complete the examination. Applicants must attain scores of 72% in order to pass. Credit is only given for correct answers. Of the 65 questions on the exam, 60 will count toward the final score. The remaining 5 questions are being pre-tested for possible inclusion in the operational question bank; these questions may appear anywhere in the exam and are not identified. The examination covers the principles of state securities r ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Securities Industry And Financial Markets Association
The Securities Industry and Financial Markets Association (SIFMA) is a United States industry trade group representing securities firms, banks, and asset management companies. SIFMA was formed on November 1, 2006, from the merger of the Bond Market Association and the Securities Industry Association. It has offices in New York City and Washington, D.C. The combined businesses of SIFMA’s bank, broker-dealer and asset management members represent 75% of the U.S. broker-dealer sector by revenue and 50% of the asset management sector by assets under management. Mission, members, and offices US operation The Securities Industry and Financial Markets Association (SIFMA) is a not-for-profit trade association that represents securities brokerage firms, investment banking institutions, and other investment firms. SIFMA represents firms of all sizes in all financial markets in the U.S. and around the globe. Currently, the organization represents members with a total of nearly 1 million ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
North American Securities Administrators Association
The North American Securities Administrators Association (NASAA), founded in Kansas in 1919, is the oldest international investor protection organization. NASAA is an association of state securities administrators who are charged with the responsibility to protect consumers who purchase securities or investment advice. NASAA's membership consists of 67 administrators from the territories, districts, and states of the United States, from Mexico, and from the provinces of Canada. In the United States, NASAA is the voice of state securities agencies responsible for efficient capital formation and grassroots investor protection. NASAA's fundamental mission is protecting consumers who purchase securities or investment advice, and its jurisdiction extends to a wide variety of issuers and intermediaries who offer and sell securities to the public. Through the association, NASAA members participate in multi-state enforcement actions and information sharing. NASAA also coordinates and im ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
New York Stock Exchange
The New York Stock Exchange (NYSE, nicknamed "The Big Board") is an American stock exchange in the Financial District of Lower Manhattan in New York City. It is by far the world's largest stock exchange by market capitalization of its listed companies at US$30.1 trillion as of February 2018. The average daily trading value was approximately 169 billion in 2013. The NYSE trading floor is at the New York Stock Exchange Building on 11 Wall Street and 18 Broad Street and is a National Historic Landmark. An additional trading room, at 30 Broad Street, was closed in February 2007. The NYSE is owned by Intercontinental Exchange, an American holding company that it also lists (). Previously, it was part of NYSE Euronext (NYX), which was formed by the NYSE's 2007 merger with Euronext. History The earliest recorded organization of securities trading in New York among brokers directly dealing with each other can be traced to the Buttonwood Agreement. Previously, securiti ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
National Association Of Securities Dealers
The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms 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 U.S. government agency that acts as the ultimate regulator of the U.S. securities industry, including FINRA, is the U.S. Securities and Exchange Commission (SEC). Overview The Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect investors by making sure the United States securities industry operates fairly and honestly. In December 2019, FINRA oversaw 3,517 brokerage firms, 153,907 branch offices and approximately 624,674 registered securities representatives. FINRA has appr ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
American Bar Association
The American Bar Association (ABA) is a voluntary bar association of lawyers and law students, which is not specific to any jurisdiction in the United States. Founded in 1878, the ABA's most important stated activities are the setting of academic standards for law schools, and the formulation of model ethical codes related to the legal profession. As of fiscal year 2017, the ABA had 194,000 dues-paying members, constituting approximately 14.4% of American attorneys. In 1979, half of all lawyers in the U.S. were members of the ABA. The organization's national headquarters are in Chicago, Illinois, and it also maintains a significant branch office in Washington, D.C. History The ABA was founded on August 21, 1878, in Saratoga Springs, New York, by 75 lawyers from 20 states and the District of Columbia. According to the ABA website: The purpose of the original organization, as set forth in its first constitution, was "the advancement of the science of jurisprudence, the pro ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
US Virgin Islands
The United States Virgin Islands,. Also called the ''American Virgin Islands'' and the ''U.S. Virgin Islands''. officially the Virgin Islands of the United States, are a group of Caribbean islands and an unincorporated and organized territory of the United States. The islands are geographically part of the Virgin Islands archipelago and are located in the Leeward Islands of the Lesser Antilles to the east of Puerto Rico and west of the British Virgin Islands. The U.S. Virgin Islands consist of the main islands of Saint Croix, Saint John, U.S. Virgin Islands, Saint John, and Saint Thomas, U.S. Virgin Islands, Saint Thomas and 50 other surrounding List of minor islands of the United States Virgin Islands, minor islands and cays. The total land area of the territory is . The territory's capital is Charlotte Amalie, U.S. Virgin Islands, Charlotte Amalie on the island of St. Thomas. Previously known as the Danish West Indies of the Denmark–Norway, Kingdom of Denmark–Norway (fr ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Wisconsin
Wisconsin () is a state in the upper Midwestern United States. Wisconsin is the 25th-largest state by total area and the 20th-most populous. It is bordered by Minnesota to the west, Iowa to the southwest, Illinois to the south, Lake Michigan to the east, Michigan to the northeast, and Lake Superior to the north. The bulk of Wisconsin's population live in areas situated along the shores of Lake Michigan. The largest city, Milwaukee, anchors its largest metropolitan area, followed by Green Bay and Kenosha, the third- and fourth-most-populated Wisconsin cities respectively. The state capital, Madison, is currently the second-most-populated and fastest-growing city in the state. Wisconsin is divided into 72 counties and as of the 2020 census had a population of nearly 5.9 million. Wisconsin's geography is diverse, having been greatly impacted by glaciers during the Ice Age with the exception of the Driftless Area. The Northern Highland and Western Upland along wi ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Vermont
Vermont () is a state in the northeast New England region of the United States. Vermont is bordered by the states of Massachusetts to the south, New Hampshire to the east, and New York to the west, and the Canadian province of Quebec to the north. Admitted to the union in 1791 as the 14th state, it is the only state in New England not bordered by the Atlantic Ocean. According to the 2020 U.S. census, the state has a population of 643,503, ranking it the second least-populated in the U.S. after Wyoming. It is also the nation's sixth-smallest state in area. The state's capital Montpelier is the least-populous state capital in the U.S., while its most-populous city, Burlington, is the least-populous to be a state's largest. For some 12,000 years, indigenous peoples have inhabited this area. The competitive tribes of the Algonquian-speaking Abenaki and Iroquoian-speaking Mohawk were active in the area at the time of European encounter. During the 17th century, Fr ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
