Search results
Results from the WOW.Com Content Network
The MSRB was created by the Section 15B of the Securities Exchange Act of 1934 (as amended by the Securities Acts Amendments of 1975, Pub. L. 94–29, and codified at 15 U.S.C. § 78o-4(b)) to create a mechanism for the regulation of municipal securities as well as brokers, dealers, and banks in the municipal securities business.
The measure included an increase in staff and authority, to enhance the department's regulatory scope and enable it to become a national model for consumer protection. Effective September 29, 2020, the DBO changed its name [4] to the Department of Financial Protection and Innovation. The California Consumer Financial Protection Law
Discover the latest breaking news in the U.S. and around the world — politics, weather, entertainment, lifestyle, finance, sports and much more.
The New Board was an organization of curb-stone brokers established in 1836 in New York City to compete with the New York Stock and Exchange Board.The first local rival of the NYSE, the New Board emerged [4] among the rough and tumble conditions of the very speculative curb-side trading during the down-turn in the market in general. [5]
The turnover began when longtime director Herman Hill resigned in March 2022 to take the top job at Akron's housing authority. He was replaced by Josh Crites, who resigned at the end of September ...
Get AOL Mail for FREE! Manage your email like never before with travel, photo & document views. Personalize your inbox with themes & tabs. You've Got Mail!
In May 2016, Cetera completed a transformation into an independent, privately held organization under its parent company, Aretec Group, Inc. [20] [21] Through this restructuring process, a new board of directors [22] was established. In May 2017, Cetera announced the launch of its advisory platform, My Advice Architect.
The DFS has the authority to license and regulate service contract providers. [20] A list of the currently licensed service contractor providers can be found at Currently Registered Service Contract Providers. New York State and other states, such as California, [5] have the authority to fine or prosecute unlicensed service contract providers. [21]