© Copyright 2013, vLex. All Rights Reserved.
- Language
Contents in vLex United States
Explore vLex
For Professionals
For Partners
Company
financial requirements for licensing
More than 10.000 documents for financial requirements for licensing
-
THE FINANCIAL Services Commission is proposing sweeping reforms of the financial services sector for tough new restrictions, licensing, reporting and other requirements that would effectively tighten the operating screws on securities dealers, beginning in 2012. Other investment houses said they needed time to review the FSC document, which was made public on Wednesday, and chew it over with other dealers, before commenting publicly on what it might mean for the conduct of business. The Rohan BarnetHed FSC is contending that the new provision is necessary to minimise the risk of a dealer firm collapsing as the result of the failure of a counter party or another entity.
-
...- a real likelihood if proposed national licensing laws get the green light - would find it hard to o... been made through an amendment to the Financial Requirements for Licensing (FRL) under the Queensl...
-
...PART 515 - LICENSING, FINANCIAL RESPONSIBILITY REQUIREMENTS, AND GENERA...
-
NEW YORK (Reuters) - A plan meant to ease licensing requirements for securities professionals is languishing in regulatory gridlock. For more than five years, The Financial Industry Regulatory Authority has been consolidating the separate rules of its predecessor organizations, the National Association of Securities Dealers and the member regulation and enforcement functions of the New York Stock Exchange. The two entities merged in 2007 to create FINRA.
-
The Bureau of Consumer Financial Protection (Bureau) is amending Regulation Z to implement amendments to the Truth in Lending Act (TILA) made by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The final rule implements requirements and restrictions imposed by the Dodd-Frank Act concerning loan originator compensation; qualifications of, and registration or licensing of loan originators; compliance procedures for depository institutions; mandatory arbitration; and the financing of single- premium credit insurance. The final rule revises or provides additional commentary on Regulation Z's restrictions on loan originator compensation, including application of these restrictions to prohibitions on dual compensation and compensation based on a term of a transa...
-
The Bureau of Consumer Financial Protection is publishing for public comment a proposed rule amending Regulation Z (Truth in Lending) to implement amendments to the Truth in Lending Act (TILA) made by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The proposal would implement statutory changes made by the Dodd- Frank Act to Regulation Z's current loan originator compensation provisions, including a new additional restriction on the imposition of any upfront discount points, origination points, or fees on consumers under certain circumstances. In addition, the proposal implements additional requirements imposed by the Dodd-Frank Act concerning proper qualification and registration or licensing for loan originators. The proposal also implements Dodd-Frank ...
-
... 2, as they are regulated by specific requirements in Part 3. The FTA will no longer apply to conduct...providing for the licensing of markets for trading financial products . provid...
-
This notice specifies the fee schedule for the new Export Food Aid Commodities (EFAC) licensing agreement offered by the Farm Service Agency (FSA) under the United States Warehouse Act (USWA). Agricultural products that may be stored under an EFAC licensing agreement include, but are not limited to, corn soy blend, vegetable oil, and pulses such as peas, beans, and lentils. USWA licensing is a voluntary program. Warehouse operators that apply for USWA licensing agree to be licensed, comply with the licensing agreement, and pay associated user fees. The fees announced in this notice are intended to cover the costs of administering the licensing program, including the costs of inspections.
... licensed warehouses meet specified requirements for sanitation, physical security, equipment mainttenance, recordkeeping, insurance, and financial soundness. The licensing agreement specifies the t...
