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In order to state a claim, the investor is required to show that their economic loss arose because of the insolvency of their broker-dealer and not because of fraud, [13] misrepresentation, [14] or bad investment decisions. In certain circumstances, securities or cash may not exist in full based upon a customer's statement.
A broader definition of the term "government agency" also means the United States federal executive departments that include the President's cabinet-level departments and their sub-units. Examples of these include the Department of Energy (DOE) and the Internal Revenue Service (IRS), which is a bureau of the Department of the Treasury .
The official United States Government Manual offers no definition. [ 1 ] [ 2 ] While the Administrative Procedure Act definition of "agency" applies to most executive branch agencies, Congress may define an agency however it chooses in enabling legislation, and through subsequent litigation often involving the Freedom of Information Act and the ...
Insurance regulatory law is the body of statutory law, administrative regulations and jurisprudence that governs and regulates the insurance industry and those engaged in the business of insurance. Insurance regulatory law is primarily enforced through regulations, rules and directives by state insurance departments as authorized and directed ...
A financial advisor can help you create a strategic plan for managing your money. Part of that plan might include buying insurance, something that an insurance agent can also help with.When ...
In the United States, a third-party administrator (TPA) is an organization that processes insurance claims or certain aspects of employee benefit plans for a separate entity. [1] It is also a term used to define organizations within the insurance industry which administer other services such as underwriting and customer service.
Continue reading → The post Advisors, Take Note: SEC Eyes Definition of ‘Investment Advice' appeared first on SmartAsset Blog. The Securities and Exchange Commission (SEC) is requesting public ...
OPA coordinates the development of the Agency’s Strategic Plan for Outreach, Education and Assistance, establishes policies and operating procedures for the program, provides oversight and support to the Regional Offices in carrying out these activities, and oversees quality reviews and customer satisfaction surveys related to the program.