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Aside from the $5 billion tentative net capital reporting requirement established for CSE Brokers in the 2004 rule change, the SEC required before and after 2004 "early warning" notice to the SEC if a broker-dealer's net capital fell below a specified level higher than the required minimum that would trigger a broker-dealer liquidation.
State laws governing issuance and trading of securities are commonly referred to as blue sky laws and mostly deal with fraud and fraud investigation privileges, registration of securities, and registration of broker-dealers. In general, states allow injunctions to stop businesses from potentially fraudulent activity and states give broad ...
Broker-dealers are at the heart of the securities and derivatives trading process. [1] Although many broker-dealers are "independent" firms solely involved in broker-dealer services, many others are business units or subsidiaries of commercial banks, investment banks or investment companies.
Within Maryland the county is the default unit of local government. Under Maryland law, counties exercise powers reserved in most other states at the municipal or state levels. [ 4 ] Many of the state's most populous and economically important communities, such as Bethesda , Silver Spring , Columbia , and Towson are unincorporated and receive ...
Some state laws and broker/dealer policies also require the Series 63 examination (known as the Uniform Securities Agent State Law Exam). [ citation needed ] [ 1 ] A registered representative ("RR" or "rep" or "broker") is authorized to sell a large array of securities such as stocks, bonds, options, mutual funds, limited partnership programs ...
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.
There are 3,144 counties and county-equivalents in the United States. The source of the data is the U.S. Census Bureau and the data is current as of the indicated year. Independent cities are considered county-equivalent by the Census Bureau.
Map of the United States with Maryland highlighted. Maryland is a state located in the Southern United States. [1] As of the 2020 United States census, Maryland is the 18th-most populous state with 6,177,224 inhabitants and the ninth-smallest by land area, spanning 9,707.24 square miles (25,141.6 km 2) of land. [2]