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A stockbroker is a regulated broker, broker-dealer, or registered investment adviser who may provide financial advisory and investment management services and execute transactions such as the purchase or sale of stocks and other investments to financial market participants in return for a commission, markup, or fee, which could be based on a flat rate, percentage of assets, or hourly rate. The term also refers to financial companies, offering such services.
A building code is a set of rules that specify the standards for constructed objects such as buildings and non-building structures. Buildings must conform to the code to obtain planning permission, usually from a local council. The main purpose of building codes is to protect public health, safety and general welfare as they relate to the construction and occupancy of buildings and structures. The building code becomes law of a particular jurisdiction when formally enacted by the appropriate governmental or private authority.
Central Regional Dental Testing Service (CRDTS) is one of five examination agencies for dentists in the United States. The other examination agencies are, West Regional Examining Board, Northeast Regional Board of Dental Examiners, Southern Regional Testing Agency, and Council of Interstate Testing Agencies. These were organized to standardize clinical exams for licensure.
A blue sky law is a state law in the United States that regulates the offering and sale of securities ostensibly to protect the public from fraud. Though the specific provisions of these laws vary among states, they all require the registration of all securities offerings and sales, as well as of stockbrokers and brokerage firms. Each state's blue sky law is administered by its appropriate regulatory agency, and most also provide private causes of action for private investors who have been injured by securities fraud.
The Uniform Combined State Law Examination also called the Series 66 exam is designed to qualify candidates as both securities agents and investment adviser representatives in the United States. It was developed by North American Securities Administrators Association (NASAA) and operated by the Financial Industry Regulatory Authority (FINRA).
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.
Uniform Investment Adviser Law Examination, also called the Series 65 exam, is a test taken by individuals in the United States who seek to become licensed investment adviser representatives. The exam covers topics necessary to provide investment advice to clients.
Fair debt collection broadly refers to regulation of the United States debt collection industry at both the federal and state level. At the Federal level, it is primarily governed by the Fair Debt Collection Practices Act (FDCPA). In addition, many U.S. states also have debt collection laws that regulate the credit and collection industry and give consumer debtors protection from abusive and deceptive practices. Many state laws track the language of the FDCPA, so that they are sometimes referred to as mini-FDCPAs.
The National Association of State Boards of Accountancy (NASBA) is an association dedicated to serving the 56 state boards of accountancy. These are the boards that regulate the accountancy profession in the United States of America.
The Uniform Premarital Agreement Act (UPAA) is a Uniform Act governing prenuptial agreements, which are also properly referred to as "premarital agreements" and "antenuptial agreements". It was drafted by the National Conference of Commissioners on Uniform State Laws in 1983 to promote more uniformity and predictability between state laws relating to premarital agreements in an increasing transient society. The UPAA was enacted to ensure that a premarital agreement that was validly entered into in one state would be honored by the courts of another state where a couple might get a divorce.
A registered investment adviser (RIA) is a firm that is an investment adviser in the United States, registered as such with the Securities and Exchange Commission (SEC) or a state's securities agency. The numerous references to RIAs within the Investment Advisers Act of 1940 popularized the term, which is closely associated with the term investment adviser. An investment adviser is defined by the Securities and Exchange Commission as an individual or a firm that is in the business of giving advice about securities. However, an RIA is the actual firm, while the employees of the firm are called Investment Adviser Representatives (IARs).
The North American Saxophone Alliance (NASA) is an organization for saxophone players from around North America.
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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 National High School Hall of Fame is a program of the National Federation of State High School Associations (NFHS) that honors individuals who have made outstanding contributions to high school sports or performing arts. As of 2019, a total of 482 individuals have been inducted since the first class in 1982. Because there is a huge pool of potential candidates, it is considered a very exclusive hall of fame.
Joseph P. Borg is an American financial regulator who has served as the Securities Commissioner of Alabama since 1994. In this position, he is responsible for prosecuting financial crimes which affect Alabama residents. He has also served as the president of the North American Securities Administrators Association for two terms. He was described in a 2002 Forbes article as "Wall Street's Worst Nightmare". Smart Money magazine listed Borg in its listing of "The Power 30- The Top Financial Players" citing his 98% conviction rate and calling him "one of the toughest 'stock cops' in America" [Smart Money November, 2011]
Miss World USA 1977 was the 16th edition of the Miss World USA pageant, held in Bridgeport, Connecticut. The title was won by Cindy Darlene Miller of Virginia. She was crowned by outgoing titleholder, Kimberly Marre Foley of Michigan. Miller went on to represent the United States at the Miss World 1977 Pageant in London later that year. She finished as 4th runner-up at Miss World.
References
- ↑ http://investmentexecutive.com/client/en/News/DetailNews.asp?Id=42356&cat=8&IdSection=8&PageMem=&nbNews=&IdPub= [ dead link ]
- ↑ "North County".
- ↑ "Archived copy" (PDF). Archived from the original (PDF) on 2007-10-15. Retrieved 2007-12-31.
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