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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 ...
Many instances of alleged political profiling were coordinated with the Federal Bureau of Investigation (FBI), sometimes under COINTELPRO. [4] The IRS provided the FBI with free access to tax returns, which the FBI used to investigate groups as ideologically varied as the John Birch Society , the National Association for the Advancement of ...
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.
Houlihan was a provider of financial opinions, merger and acquisitions advisory, financing, and other corporate advisory services. Houlihan Smith was a broker-dealer and member of the Financial Industry Regulatory Authority (FINRA). The firm was not affiliated with any financial or investment institutions and did not have referral or financial ...
Trade reporting and compliance engine (TRACE), is a United States financial reporting regulation and related system for publicly reporting bond transactions.. Unlike stocks, which generally trade transparently on public exchanges, corporate bonds and structured products trade "over-the-counter", meaning they are private transactions between individual counterparties, and so the transactions ...
The monitor team appointed by a federal judge to oversee reforms at the Maricopa County Sheriff's Office to root out racial profiling held a community meeting Oct. 19, 2023, at Frank Elementary ...
New York v. Trump is a civil investigation and lawsuit by the office of the New York Attorney General (AG) alleging that individuals and business entities within the Trump Organization engaged in financial fraud by presenting vastly disparate property values to potential lenders and tax officials, in violation of New York Executive Law § 63(12).
Brown v. City of Oneonta was a case brought to the U.S District Court for the Northern District of New York in 1993 and later appealed to the United States Court of Appeals for the Second Circuit in 1999 that concerned the use of race in law enforcement investigations.