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Kaplan Financial Education is part of Kaplan University School of Professional and Continuing Education, based in La Crosse, Wisconsin.Kaplan Financial Education is a consortium of numerous financial services training and publishing companies providing insurance and securities licensing exam preparation, along with continuing education.
The Securities Industry Training Institute East Africa (SITI) was conceptualized in 2008 to standardize and administer market education for the East African region. It is a joint effort involving the region's Central Depository & Settlement Corporation Ltd (CDSC) and the following exchanges:
DTCC was established in 1999 as a holding company to combine The Depository Trust Company (DTC) and National Securities Clearing Corporation (NSCC).. In 2008, The Clearing Corporation (CCorp) and The Depository Trust & Clearing Corporation announced CCorp members will benefit from CCorp's netting and risk management processes, and will leverage the asset servicing capabilities of DTCC's Trade ...
Since 1999 it has been a subsidiary of the Depository Trust & Clearing Corporation, a securities holding company. DTC manages book-entry securities entitlement transfers for brokerage houses and maintains custody of global (jumbo) stock certificates and other stock certificates through its affiliated partnership nominee, Cede and Company.
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
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 ...
State Street Bank and Trust Company, also known as State Street Global Services, is the securities services division of State Street that provides asset owners and managers with securities services (e.g. custody, corporate actions), fund accounting (pricing and valuation), and administration (financial reporting, tax, compliance, and legal) services.
The Securities Investor Protection Corporation (SIPC / ˈ s ɪ p ɪ k /) is a federally mandated, non-profit, member-funded, United States government corporation created under the Securities Investor Protection Act (SIPA) of 1970 [3] that mandates membership of most US-registered broker-dealers.