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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 U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street crash of 1929. [2] [3] [4] Its primary purpose is to enforce laws against market manipulation. [5] [6]: 2
A representative office is an office established by a company or a legal entity to conduct marketing and other non-transactional operations, generally in a foreign country where a branch office or subsidiary is not warranted. Representative offices are generally easier to establish than a branch or subsidiary, as they are not used for actual ...
The officeholder is also responsible for disclosure of campaign and lobbyist financial information, under the California Political Reform Act of 1974. Corporations The Office of the Secretary of State has a number of responsibilities related to corporations; the largest portion office is the Business Programs Division, which handles corporate ...
California's current congressional delegation in the 119th Congress consists of its two senators, both of whom are Democrats, and its 52 representatives: 43 Democrats and 9 Republicans. The current dean of the California delegation is former Speaker of the House Nancy Pelosi of the 11th district, having served in the House since 1987.
Representative Party District Years District home Electoral history Pete Aguilar: Democratic 31st: January 3, 2015 – January 3, 2023 San Bernardino: Elected in 2014. Incumbent. 33rd: January 3, 2023 – present John J. Allen Jr. Republican 7th: January 3, 1947 – January 3, 1959 Oakland: Elected in 1946. [data missing] Glenn M. Anderson ...
Robert Julio Garcia (born December 2, 1977) [1] is a Peruvian American politician and educator serving as the U.S. representative for California's 42nd congressional district since 2023. [2] A member of the Democratic Party, he served as the 28th mayor of Long Beach, California from 2014 to 2022. [3]
The Sarbanes–Oxley Act of 2002 is a United States federal law that mandates certain practices in financial record keeping and reporting for corporations.The act, Pub. L. 107–204 (text), 116 Stat. 745, enacted July 30, 2002, also known as the "Public Company Accounting Reform and Investor Protection Act" (in the Senate) and "Corporate and Auditing Accountability, Responsibility, and ...