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FINRA licenses individuals and admits firms to the industry, writes rules to govern their behavior, examines them for regulatory compliance, and is sanctioned by the U.S. Securities and Exchange Commission (SEC) to discipline registered representatives and member firms that fail to comply with federal securities laws and FINRA's rules and ...
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 ...
Clarification from the Financial Industry Regulatory Authority (FINRA) was issued to member firms in the financial services industry in December 2007, noting that "electronic communications", "email", and "electronic correspondence" may be used interchangeably and can include such forms of electronic messaging as instant messaging and text ...
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.
Botswana Communications Regulatory Authority Brazil: Agencia Nacional de Telecomunicacoes Ministério da Ciência, Tecnologia, Inovações e Comunicações Brunei: Authority for Info-communications Technology Industry Bosnia and Herzegovina: Communications Regulatory Agency of Bosnia-Herzegovina Bulgaria
The US Securities and Exchange Commission fined six major credit rating organizations a total of $49 million for their “significant failures” to keep electronic communications.
This includes all communication by radio, telephone, wire, cable and satellite. [2] Telecommunications policy outlines antitrust laws as is common for industries with large barriers to entry. Other features of the policies addressed include common carrier laws which controls access to networks.
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