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21 headnotes for Broker (see all)

More than 10.000 documents for Broker

- 17 CFR 247.701 - Exemption from the definition of “broker” for certain institutional referrals.
... FOR BANKS FROM THE DEFINITION OF BROKER. 247.701 - Exemption from the definition of “br...
- Code of Federal Regulations - Title 17: Commodity and Securities Exchanges
- Broker a Big Contributor
A Bergen County insurance broker under federal scrutiny and members of his family have contributed more than $400,000 to a who's who of local New Jersey Democrats ranging from U.S. Sen. Bob Menendez to councilmen in Passaic and Jersey City. The contributions from Joseph Bigica, his wife and other family members -- often in lump sums of $5,000, $10,000 or $25,000 -- in many cases benefited the same municipal officials responsible for awarding the multimillion-dollar insurance contracts Bigica managed across North Jersey.
- The Record, Bergen County, NJ
- December 20, 2011
- 12 CFR 218.701 - Exemption from the definition of “broker” for certain institutional referrals.
... FOR BANKS FROM THE DEFINITION OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION...
- Code of Federal Regulations - Title 12: Banks and Banking

- Notice of Proposed Exemption; BlackRock, Inc. and Its Investment Advisory, Investment Management and Broker-Dealer Affiliates and Their Successors (Applicants): Located in New York, NY
This document contains a notice of pendency before the Department of Labor (the Department) of a proposed individual exemption from certain prohibited transaction restrictions of the Employee Retirement Income Security Act of 1974, as amended (ERISA), the Federal Employees' Retirement System Act of 1986, as amended (FERSA), and the Internal Revenue Code of 1986, as amended (the Code). The proposed transactions involve BlackRock, Inc. and its investment advisory, investment management and broker-dealer affiliates and their successors. The proposed exemption, if granted, would affect plans for which BlackRock, Inc. and its investment advisory, investment management and broker-dealer affiliates and their successors serve as fiduciaries, and the participants and beneficiaries of such plans.
- Federal Register Nbr. 77 FR 2798, January 19, 2012
- Notices
- Labor Department
- 12 CFR 218.760 - Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
... FOR BANKS FROM THE DEFINITION OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION...
- Code of Federal Regulations - Title 12: Banks and Banking
- 17 CFR 247.760 - Exemption from definition of “broker” for banks accepting orders to effect transactions in securities from or on behalf of custody accounts.
... FOR BANKS FROM THE DEFINITION OF BROKER. 247.760 - Exemption from definition of “broker...
- Code of Federal Regulations - Title 17: Commodity and Securities Exchanges
- 31 CFR 103.122 - Customer identification programs for broker-dealers.
- Code of Federal Regulations - Title 31: Money and Finance: Treasury
- Notice of Revocation of Customs Broker Licenses
Notice is hereby given that pursuant to section 641 of the Tariff Act of 1930, as amended (19 U.S.C. 1641), and Title 19 of the Code of Federal Regulations at Sec. 111.30(d), the following Customs broker licenses are revoked by operation of law without prejudice.
- Federal Register Nbr. 76 FR 71584, November 18, 2011
- Notices
- U S Customs and Border Protection
- Grant of Individual Exemption Involving BlackRock, Inc. and Its Investment Advisory, Investment Management and Broker-Dealer Affiliates and Their Successor Located in New York, NY
This document contains an individual exemption from certain prohibited transaction restrictions of the Employee Retirement Income Security Act of 1974, as amended (ERISA), the Federal Employees' Retirement System Act of 1986, as amended (FERSA), and the Internal Revenue Code of 1986, as amended (the Code). The transactions involve BlackRock, Inc. and its investment advisory, investment management and broker-dealer affiliates and their successors. The individual exemption affects plans for which BlackRock, Inc. and its investment advisory, investment management and broker-dealer affiliates and their successors serve as fiduciaries, and the participants and beneficiaries of such plans.
- Federal Register Nbr. 77 FR 19836, April 02, 2012
- Notices
- Labor Department
- The JOBS Act: Opportunities And Risks For Broker-Dealers.
In April 2012, President Obama signed the Jumpstart Our Business Startups Act (the JOBS Act) into law. The Act focuses upon stimulating economic growt...
- Mondaq Business Briefing
- Nbr. 2012, January 2012