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The NASD was founded on September 3, 1936 as Investment Bankers Conference, Inc. [9] and, on August 7, 1939, was registered under the name National Association of Securities Dealers, Inc. [10] as a national securities association with the SEC under authority granted by the 1938 Maloney Act amendments to the Securities Exchange Act of 1934, [11] which allowed it to supervise the conduct of its ...
FINRA's rules, designed to protect investors from misleading information in all communications and this also applies to social media communications. This includes making sure social media posts follow financial advertising rules, such as being fair and balances not providing misleading information and that advice is not provided by unqualified ...
The general securities principal exam, commonly referred to as the Series 24 exam, is administered by the U.S. Financial Industry Regulatory Authority (FINRA) which qualifies a registered individual to supervise or manage branch activities such as corporate securities, REITs, variable contracts, and venture capital; a general principal may also approve advertising and sales literature ...
The term is usually understood to include both federal and state-level regulation by governmental regulatory agencies, but sometimes may also encompass listing requirements of exchanges like the New York Stock Exchange and rules of self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA).
One regulation specifically governing the use of text messaging in financial-services firms engaged in stocks, equities, and securities trading is Regulatory Notice 07-59, Supervision of Electronic Communications, December 2007, issued to member firms by the Financial Industry Regulatory Authority (FINRA).
The telecommunications policy of the United States is a framework of law directed by government and the regulatory commissions, most notably the Federal Communications Commission (FCC). Two landmark acts prevail today, the Communications Act of 1934 and the Telecommunications Act of 1996.
Title 47 CFR Part 68 is a section of the Code of Federal Regulations of the United States that regulates the direct electrical connection of telecommunications equipment and customer premises wiring with the public switched telephone network, certain private line services, and connection of private branch exchange (PBX) equipment to certain telecommunication interfaces.
When Congress passed the TCPA in 1991, it delegated the do-not-call rules to the FCC. Congress suggested that the FCC's do-not-call regulations "may require the establishment and operation of a single national database." [6] The FCC did not adopt a single national database but rather required each company to maintain its own do-not-call ...