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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 (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 to 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. As of October 2023, FINRA oversaw 3,394 brokerage firms, 149,887 branch offices and approximately 612,457 registered securities representatives. FINRA ha ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Fixed Income
Fixed income refers to any type of investment under which the borrower or issuer is obliged to make payments of a fixed amount on a fixed schedule. For example, the borrower may have to pay interest at a fixed rate once a year and repay the principal amount on maturity. Fixed-income securities (more commonly known as bonds) can be contrasted with equity securities (often referred to as stocks and shares) that create no obligation to pay dividends or any other form of income. Bonds carry a level of legal protections for investors that equity securities do not: in the event of a bankruptcy, bond holders would be repaid after liquidation of assets, whereas shareholders with stock often receive nothing. For a company to grow its business, it often must raise money – for example, to finance an acquisition; buy equipment or land, or invest in new product development. The terms on which investors will finance the company will depend on the risk profile of the company. The company ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Class Action
A class action is a form of lawsuit. Class Action may also refer to: * ''Class Action'' (film), 1991, starring Gene Hackman and Mary Elizabeth Mastrantonio * Class Action (band), a garage house band * "Class Action" (''Teenage Robot''), a 2002 episode of ''My Life as a Teenage Robot'' *''Class Action'', a play by Brad Slaight *''Class Action'', a 2002 book that was the basis for the film '' North Country'' *''Cla$$ Action'', a 2005 novel by Henry Denker {{Disambiguation ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
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 ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Elizabeth Warren
Elizabeth Ann Warren (née Herring; born June 22, 1949) is an American politician and former law professor who is the Seniority in the United States Senate, senior United States senator from the state of Massachusetts, serving since 2013. A member of the Democratic Party (United States), Democratic Party and regarded as a Progressivism in the United States, progressive, Warren has focused on consumer protection, equitable economic opportunity, and the social safety net while in the Senate. Warren was a candidate in the 2020 Democratic Party presidential primaries, ultimately finishing third after Joe Biden and Bernie Sanders. Born and raised in Oklahoma, Warren is a graduate of the University of Houston and Rutgers Law School at Rutgers University–Newark and has taught law at several universities, including the University of Houston Law Center, University of Houston, the University of Texas School of Law, University of Texas at Austin, the University of Pennsylvania Law School ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Senator
A senate is a deliberative assembly, often the upper house or Legislative chamber, chamber of a bicameral legislature. The name comes from the Ancient Rome, ancient Roman Senate (Latin: ''Senatus''), so-called as an assembly of the senior (Latin: ''senex'' meaning "the elder" or "old man") and therefore considered wiser and more experienced members of the society or ruling class. However the Roman Senate was not the ancestor or predecessor of modern parliamentarism in any sense, because the Roman senate was not a de jure legislative body. Many countries have an assembly named a ''senate'', composed of ''senators'' who may be election, elected, appointed, have inheritance, inherited the title, or gained membership by other methods, depending on the country. Modern senates typically serve to provide a chamber of "sober second thought" to consider legislation passed by a lower house, whose members are usually elected. Most senates have asymmetrical duties and powers compared w ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
University Of California, Berkeley
The University of California, Berkeley (UC Berkeley, Berkeley, Cal, or California), is a Public university, public Land-grant university, land-grant research university in Berkeley, California, United States. Founded in 1868 and named after the Anglo-Irish philosopher George Berkeley, it is the state's first land-grant university and is the founding campus of the University of California system. Berkeley has an enrollment of more than 45,000 students. The university is organized around fifteen schools of study on the same campus, including the UC Berkeley College of Chemistry, College of Chemistry, the UC Berkeley College of Engineering, College of Engineering, UC Berkeley College of Letters and Science, College of Letters and Science, and the Haas School of Business. It is Carnegie Classification of Institutions of Higher Education, classified among "R1: Doctoral Universities – Very high research activity". Lawrence Berkeley National Laboratory was originally founded as par ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Journal Of Financial Economics
The ''Journal of Financial Economics'' is a peer-reviewed academic journal published by Elsevier, covering the field of finance. It is considered to be one of the premier finance journals. According to the ''Journal Citation Reports'', the journal has a 2020 impact factor of 6.988. The journal was founded by Michael C. Jensen, Eugene Fama, and Robert C. Merton in 1974. Editors The following persons are or have been editors-in-chief of the journal: * Eugene Fama, 1974-1977 * Michael C. Jensen, 1974-1996 *Robert C. Merton Robert Cox Merton (born July 31, 1944) is an American economist, Nobel Memorial Prize in Economic Sciences laureate, and professor at the MIT Sloan School of Management, known for his pioneering contributions to continuous-time finance, especia ..., 1974-1977 * G. William Schwert, 1979–1986, 1989-2020 * John B. Long, 1983–1987, 1988-1996 * Clifford W. Smith, 1983-1996 * René M. Stulz, 1983-1987 * Jerold B. Warner, 1987-1996 * Richard S. Ruback, 1988-19 ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
University Of Minnesota
The University of Minnesota Twin Cities (historically known as University of Minnesota) is a public university, public Land-grant university, land-grant research university in the Minneapolis–Saint Paul, Twin Cities of Minneapolis and Saint Paul, Minnesota, United States. It is the Flagship#Colleges and universities in the United States, flagship institution of the University of Minnesota System and is organized into 19 colleges, schools, and other major academic units. The Twin Cities campus is the oldest and largest in the University of Minnesota system and has the List of United States university campuses by enrollment, ninth-largest (as of the 2022–2023 academic year) main campus student body in the United States, with 54,890 students at the start of the 2023–24 academic year. The campus comprises locations in Minneapolis and Falcon Heights, Minnesota, Falcon Heights, a suburb of St. Paul, approximately apart. The Minnesota Territorial Legislature drafted a charter ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
University Of Chicago
The University of Chicago (UChicago, Chicago, or UChi) is a Private university, private research university in Chicago, Illinois, United States. Its main campus is in the Hyde Park, Chicago, Hyde Park neighborhood on Chicago's South Side, Chicago, South Side, near the shore of Lake Michigan about from Chicago Loop, the Loop. The university is composed of an College of the University of Chicago, undergraduate college and four graduate divisions: Biological Science, Arts & Humanities, Physical Science, and Social Science, which include various organized departments and institutes. In addition, the university operates eight professional schools in the fields of University of Chicago Booth School of Business, business, Crown Family School of Social Work, Policy, and Practice, social work, University of Chicago Divinity School, divinity, Graham School of Continuing Liberal and Professional Studies, continuing studies, Harris School of Public Policy, public policy, University of Chi ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
Brokerage
A broker is a person or entity that arranges transactions between a buyer and a seller. This may be done 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 confused with that of an agent—one who acts on behalf of a principal party in a deal. Definition A broker is an independent party whose services are used extensively in some industries. A broker's prime responsibility is to bring sellers and buyers together and thus a broker is the third-person facilitator between a buyer and a seller. An example would be a real estate broker who facilitates the sale of a property. Brokers can furnish market research and market data. Brokers may represent either the seller or the buyer but generally not both at the same time. Brokers are expected to have the tools and resources to reach the largest possible base of buyers and sellers. They then screen these potential buyers or selle ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
US Securities And Exchange Commission
The United States Securities and Exchange Commission (SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street crash of 1929. Its primary purpose is to enforce laws against market manipulation. Created by Section 4 of the Securities Exchange Act of 1934 (now codified as and commonly referred to as the Exchange Act or the 1934 Act), the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the Sarbanes–Oxley Act of 2002, among other statutes. Overview The SEC has a three-part mission: to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. To achieve its mandate, the SEC enforces the statutory requirement that public companies and other regulated entities submit quarterly and annual reports, as well as other periodic disclosures. In addition to annual financial reports ... [...More Info...] [...Related Items...] OR: [Wikipedia] [Google] [Baidu] |
