MEMBERSHIP REQUIREMENTS NSCC LIMITED FUND MEMBER DISTRIBUTOR US REGISTERED BROKER/DEALER
|
|
- Frank Griffin
- 8 years ago
- Views:
Transcription
1 MEMBERSHIP REQUIREMENTS NSCC LIMITED FUND MEMBER DISTRIBUTOR US REGISTERED BROKER/DEALER The Depository Trust & Clearing Corporation Subsidiary: National Securities Clearing Corporation
2 Dear Prospective Member: Thank you for your interest in membership under The National Securities Clearing Corporation which is a subsidiary of the Depository Trust and Clearing Corporation ("DTCC"). NSCC is a SEC-registered clearing agency and self-regulatory organization under the Securities Exchange Act of 1934, as amended. Below are basic guidelines on becoming said Member, along with a documentation requirement checklist for your reference. GENERAL REQUIREMENTS To help the government fight the funding of terrorism and money laundering activities, procedures have been established to obtain, verify and record information that identifies each entity that opens an account. When a firm applies for membership, we request information and documents that allow us to identify the firm. This document outlines basic requirements only. Applicants are subject to additional requirements/standards for membership pursuant to the Rules. NSCC Rules and Procedures may be viewed online, at The National Securities Clearing Corporation ("NSCC") is a subsidiary of The Depository Trust & Clearing Corporation ("DTCC"). NSCC is an SEC-registered clearing agency and a self-regulatory organization under the Securities Exchange Act of 1934, as amended. REGULATORY REQUIREMENTS Applicants are required to obtain regulatory approval from their primary regulator to conduct the business for which the applicant is completing this application. Before applying for membership, applicants should obtain the required approval and provide the information supporting and documenting the approval. OPERATIONAL REQUIREMENTS Each applicant must have an established business history of a minimum of six months and be able to satisfactorily communicate with NSCC and to otherwise meet NSCC s operational requirements. CAPITAL REQUIREMENTS Each applicant must have $50,000 in excess net capital over the minimum net capital requirement imposed by the SEC or such higher minimum capital requirement imposed by the applicant s primary regulator, and aggregate assets under management for all investment companies registered under the Investment Company Act of 1940 for whom it distributes shares of at least $500,000. SETTLING BANK ARRANGEMENTS A NSCC Member is required to appoint a bank to act as its NSCC settling bank. The settling bank must be a NSCC approved settling bank and will be responsible for paying to NSCC on behalf of the Member any balances owed to NSCC and paying to the Member any balances owed to it by NSCC. A listing of NSCC approved U.S. based entities can be provided upon request Page 2 of 5
3 GUARANTEE OR LETTER OF CREDIT In some instances, the Applicant may be required to obtain either an unconditional guarantee or a clean Letter of Credit in the form provided by our organization. An U.S. issuer acceptable to our organization must provide the guarantee or the Letter of Credit. Whether a guarantee or Letter of Credit is required will be determined by our organization after reviewing the Applicant's organization and financial information requested as part of the supporting documentation requirements. Applicant will be notified if this is a requirement, in such instances. DOCUMENTATION REQUIREMENTS CHECKLIST & INSTRUCTIONS While some parts of the process are incorporated into our, we will require you to upload copies or require originals of certain documents. This checklist is to help guide you in completing your membership application. Attach in Original Required Answers are input into the Along with your answer(s), please provide additional supporting documentation Documents typically requiring an original signature. Please download the appropriate form, execute and return to our offices STAGE 1 Questionnaire and Supporting Document Requirements Tab Membership Questionnaire Please note, the quality and thoroughness of the answers provided on the Questionnaires will affect the amount of time it takes our organization to complete its review of the membership request. Membership Addendum to Questionnaire Please note, the quality and thoroughness of the answers provided on the Questionnaires will affect the amount of time it takes our organization to complete its review of the membership request. Please note that this questionnaire must be signed. Formation Documents Please upload a copy of the Applicant s form of legal entity (e.g., articles of incorporation, articles of formation, charter, partnership articles). Legal Entity Chart Please provide a chart detailing any parents, subsidiaries, affiliated entities or entities under common ownership or control, including the relative ownership percentages of 10% or greater. Please note that this document must be recently dated to show that it is current as of the due date of submission. Annual Audited Financial Statements Applicant Annual Audited Financial Statements of the Applicant for the past three (3) years. If Applicant does not have separate audited financials but is part of a holding company, send annual audited financial statements of the parent company for past three (3) years. Applicant must be named in annual audit. In order to perform the analysis, we require individual reports for each year. They should include the auditor's report, balance sheet, income statement, auditor's notes, the report on internal controls & procedures (if available), etc. FOCUS Filings Copies of all FOCUS filings that the Applicant was required to file with its Primary Regulator for the past twelve (12) month period U.S. I.R.S. Tax Form W9 Blank forms can be found at Attach in Original required Y N N Prospectus Most recent, prospectus, offering memorandum or private placement memorandum or investment objectives & guidelines brochure, if applicable. Page 3 of 5
4 Professional Bios Professional Bios of the Manager of day-to-day operations and a minimum of two back-up personnel including, names, titles, duties and professional experience. Business or Conversion Plan If the applicant is required to file a business or conversion plan with its primary regulator in order to obtain approval to conduct the business for which it is making this application, a copy of that business or conversion plan should also be provided along with any other correspondence with the primary regulator. 17a-11 Reporting Copies of all 17a-11 reporting as filed with the SEC and Primary Regulator for the most recent 12month period. Regulatory Notification of Application Intent A copy of the Applicant s letter to its primary regulator informing the primary regulator of the Applicant s intent to seek membership. This letter should be addressed to the Applicant s core examiner and provide as much detail as possible with regard to the business the Applicant intends to conduct at our organization. FINRA Member Agreement A copy of the applicant s most recent Member s Agreement with FINRA, if applicable. OFAC Letter Requirement for U.S. Entities, Including U.S. Branch Applicant of a Non-U.S. Entity The OFAC Letter is intended to evidence that the Applicant: (i) has the primary relationship with the customers for whom will be conducting activity through our organization; and (ii) has implemented a risk-based program reasonably designed to comply with applicable OFAC sanctions and regulations. Note that if the Applicant is an existing settling member of any of the other DTCC affiliates (DTC, FICC, GSD or MBSD), then this document is not required (affiliated entities to the Applicant do not qualify as an exemption). STAGE 2 Legal Agreements and Forms Tab (Note that any agreements herein requiring counter-signature from our organization will be signed and returned only following the approval and activation of your account) Certificate of Member s Corporate Resolutions Applicant must adopt new resolutions for purposes of becoming a member. Certificate of Incumbency Applicant must submit a listing of authorized signers that are authorized to submit any written request with regards to its account. Applicant is encouraged to designate at least two signers. Attach in Original required Multi-Member s Agreement Legal Opinion To be provided by General Counsel or outside counsel of the firm. Please be advised that counsel rendering an opinion to our organization must be qualified to render an opinion based upon the laws in which the applicant is organized and such other matters as contained in the provided template(s). Appointment of Settling Bank Agreement & Settling Bank Agreement Please complete this form in triplicate. Once this agreement is signed by the Applicant, they must also have it signed by the appointed settling bank before returning it to our organization. Note that all signers, including that of the settling bank, must be recognized as authorized signers by our organization. Settling Banks should contact their respective relationship manager at our organization, should they need assistance. Page 4 of 5
5 An in-depth review of each applicant is performed. Submitting the information and the agreements and forms noted above is a condition of membership; however this does not automatically entitle a firm to membership. Please return original supporting documents to: The Depository Trust & Clearing Corporation Account Administration Department 55 Water Street, 1 SubLevel New York, NY Page 5 of 5
DTCC Board Code of Ethics
DTCC Board Code of Ethics 1. Introduction The DTCC Board Code of Ethics (the Code ) applies to all Directors of The Depository Trust & Clearing Corporation ( DTCC ) and its U.S. subsidiaries: The Depository
More informationSIMPLE IRA CUSTODIAL ACCOUNT ADOPTION AGREEMENT
Please complete this application to establish a new SIMPLE IRA. This application must be preceded or accompanied by a current Disclosure Statement and Custodial Agreement. For Additional Copies or Assistance
More informationSIMPLE IRA CUSTODIAL ACCOUNT ADOPTION AGREEMENT
SIMPLE IRA CUSTODIAL ACCOUNT ADOPTION AGREEMENT Please complete this application to establish a new SIMPLE IRA. This application must be preceded or accompanied by a current Disclosure Statement and Custodial
More informationIf No is selected above, provide a detailed explanation of any changes.
Attachment B Form FP-NMA Application Contact Information Provide the following information for the person who will be the primary contact for the Funding Portal ( FP ) Applicant during FINRA s review of
More informationDEVELOPING AN AML (ANTI-MONEY LAUNDERING) PROGRAM:
DEVELOPING AN AML (ANTI-MONEY LAUNDERING) PROGRAM: Although the Department of the Treasury has not issued specific rules for hedge funds and hedge fund managers, hedge fund managers should adopt and implement
More informationInvestment Adviser Firms Filing Reports or Registering with the SEC FINRA Registration and Disclosure Department The IARD/PFRD Entitlement Process
To: From: Re: Investment Adviser Firms Filing Reports or Registering with the SEC FINRA Registration and Disclosure Department The IARD/PFRD Entitlement Process FINRA welcomes you to the Investment Adviser
More informationInvestment Adviser Annual and Other Compliance Matters
2013 Investment Adviser Annual and Other Compliance Matters This annual memorandum provides clients and friends of Finn Dixon & Herling with brief summaries of selected compliance matters relevant to investment
More informationCORPORATE SECURITIES PARALEGAL
CORPORATE SECURITIES PARALEGAL Drafted in 2007 by Karen L. Roberts, and reviewed by Douglas J. Becker, Esq., Otten Johnson Robinson Neff & Ragonetti. Also reviewed by Kenneth Sam, Dorsey & Whitney, LLP.
More informationSEC Proposes Large Trader Reporting System
Financial Institution Advisory and Financial Regulatory Group May 2010 SEC Proposes Large Trader Reporting System I. Overview II. Introduction: Identifying Large Traders On April 14, 2010, the Securities
More informationBusiness Membership Application
ASE Credit Union Questions? Call (334) 270.9011 or (800) 634.9171 Business Membership Application Important Information Account Procedures for Opening a New Account: To help the government fight the funding
More informationWealth Management Platform. - Advisor Managed Portfolios - Part 2A Appendix 1. Program Brochure. For
Wealth Management Platform - Advisor Managed Portfolios - Part 2A Appendix 1 Program Brochure For VISION2020 Wealth Management Corp. One World Financial Center, 15th Floor New York, NY 10281 (800) 821-5100
More informationTHE BOARD OF DIRECTORS OF THE DEPOSITORY TRUST & CLEARING CORPORATION MISSION STATEMENT
THE BOARD OF DIRECTORS OF THE DEPOSITORY TRUST & CLEARING CORPORATION MISSION STATEMENT The Board of Directors of The Depository Trust & Clearing Corporation ( DTCC or the Corporation ) is responsible
More informationWealth Management Platform. - Model Portfolios Program - Part 2A Appendix 1. Program Brochure. For
Wealth Management Platform - Model Portfolios Program - Part 2A Appendix 1 Program Brochure For VISION2020 Wealth Management Corp. One World Financial Center, 15th Floor New York, NY 10281 (800) 821-5100
More informationDTCC RISK COMMITTEE CHARTER
DTCC RISK COMMITTEE CHARTER Purpose The ability to identify, manage and mitigate risk is fundamental to the services that The Depository Trust & Clearing Corporation ( DTCC ) provides to its members and
More informationCHAPTER 3 BROKER-DEALERS AND INVESTMENT ADVISERS REGISTRATION, NOTICE FILING, AND RENEWAL PROCEDURES
CHAPTER 3 BROKER-DEALERS AND INVESTMENT ADVISERS RULE 302 REGISTRATION, NOTICE FILING, AND RENEWAL PROCEDURES 302.02 INVESTMENT ADVISER. (A) GENERAL PROVISIONS. (1) Each non-resident applicant must be
More informationIPO Database Sample: Form of Closing Memorandum
IPO Database Sample: Form of Closing Memorandum [Number] Shares [Company] (a [State] Corporation) Common Stock CLOSING MEMORANDUM [Date] [Place of Closing] The Closing The closing took place at the office
More informationThe text boxes in this document are for explanatory purposes only and are not part of the Instrument or the Companion Policy.
This document is an unofficial consolidation of all amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) and its Companion Policy,
More informationSIMPLE IRA CUSTODIAL ACCOUNT ADOPTION AGREEMENT
Please complete this application to establish a new SIMPLE IRA. This application must be preceded or accompanied by a current Disclosure Statement and Custodial Agreement. For Additional Copies or Assistance
More informationNATIONAL SECURITIES CLEARING CORPORATION RULES & PROCEDURES
NATIONAL SECURITIES CLEARING CORPORATION RULES & PROCEDURES Effective October 28, 2015 TABLE OF CONTENTS NATIONAL SECURITIES CLEARING CORPORATION RULES... 1 RULE 1. DEFINITIONS AND DESCRIPTIONS... 1 RULE
More informationGLOSSARY OF TERMS Advisory Affiliate: person persons controlling controlled employees employees advisory affiliates employees employees persons
GLOSSARY OF TERMS 1. Advisory Affiliate: Your advisory affiliates are (1) all of your officers, partners, or directors (or any person performing similar functions); (2) all persons directly or indirectly
More informationCharter of the Audit Committee of the Board of Directors of Woodward, Inc.
AUDIT COMMITTEE CHARTER Charter of the Audit Committee of the Board of Directors of Woodward, Inc. Purpose The Audit Committee (the Committee ) is appointed by the Board of Directors to oversee the accounting
More informationINVESTMENT ADVISER REGISTRATION AND NOTICE FILING INSTRUCTIONS AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATION INSTRUCTIONS [Revised April 2011]
STATE OF TENNESSEE DEPARTMENT OF COMMERCE AND INSURANCE SECURITIES DIVISION SUITE 680, 500 JAMES ROBERTSON PARKWAY NASHVILLE, TENNESSEE 37243-0575 615-741-2947 INVESTMENT ADVISER REGISTRATION AND NOTICE
More informationEl Paso Electric Company A Texas corporation (the Company ) Corporate Governance Guidelines. 1. Composition of the Board and Board Membership Criteria
El Paso Electric Company A Texas corporation (the Company ) Corporate Governance Guidelines As Amended September 28, 2015, November 20, 2014, November 18, 2010, March 2, 2007 and September 15, 2005 Originally
More informationWebsite Address: www.ag.ny.gov Click on Investors (212) 416-8222 BROKER-DEALER AND SECURITIES REGISTRATION INFORMATION SHEET*
Page 1 of 5 Revised 8/01 I. ISSUERS OF SECURITIES* Website Address: www.ag.ny.gov Click on Investors (212) 416-8222 BROKER-DEALER AND SECURITIES REGISTRATION INFORMATION SHEET* Statutory Authority General
More informationAuthorised Persons Regulations
Authorised Persons Regulations Contents Part 1: General Provisions Article 1: Preliminary... Article 2: Definitions... Article 3: Compliance with the Regulations and Rules... Article 4: Waivers... Part
More informationINDIVIDUAL RETIREMENT CUSTODIAL ACCOUNT ADOPTION AGREEMENT
INDIVIDUAL RETIREMENT CUSTODIAL ACCOUNT ADOPTION AGREEMENT Please complete this application to establish a new Traditional IRA or Roth IRA. This application must be preceded or accompanied by a current
More informationFrequently Asked Questions Regarding the Large Trader Reporting Rules. (November 21, 2011)
These Frequently Asked Questions are provided as a service to members. They are not intended as legal advice, and they are not a substitute for professional legal counsel. We undertake no duty to update
More informationBest Practices for Engaging With Intermediaries. Introduction
Best Practices for Engaging With Intermediaries Introduction This document is intended to provide IIUSA members with guidance regarding best practices for engaging with intermediaries who will introduce
More informationUNITED STATES OF AMERICA DEPARTMENT OF THE TREASURY FINANCIAL CRIMES ENFORCEMENT NETWORK ASSESSMENT OF CIVIL MONEY PENALTY
UNITED STATES OF AMERICA DEPARTMENT OF THE TREASURY FINANCIAL CRIMES ENFORCEMENT NETWORK IN THE MATTER OF: ) ) Number 2015-01 Oppenheimer & Co., Inc. ) New York, NY ) ASSESSMENT OF CIVIL MONEY PENALTY
More informationPursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ( Act ), 1 notice is
SECURITIES AND EXCHANGE COMMISSION (Release No. 34-68159; File No. SR-NSCC-2012-08) November 5, 2012 Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate
More informationFinansinspektionen s Regulatory Code
Finansinspektionen s Regulatory Code Publisher: Finansinspektionen, Sweden, www.fi.se ISSN 1102-7460 This translation is furnished for information purposes only and is not itself a legal document. Finansinspektionen's
More informationSecurities Regulation Update
November 2013 SEC Proposes Crowdfunding Rules The SEC has published for comment proposed Regulation Crowdfunding (the Proposal ), which is intended to enable entrepreneurs and start-up companies to solicit
More informationCoverdell Education Savings Account Application
Coverdell Education Savings Account Application SSBT Use this application to open a Coverdell Education Savings Account (CESA). Accounts are available only to U.S. citizens and U.S. resident aliens. Please
More informationSection 6 - T.I.N. Certification and Backup Withholding Information
LIMITED LIABILITY COMPANY MEMBERSHIP APPLICATION PROFESSIONAL LIMITED LIABILITY COMPANY MEMBERSHIP APPLICATION Section 1 General Member Information Name of Business: Business Address: Business email: Guarantor
More informationDIVISION OF SECURITIES INVESTMENT ADVISOR SELF-INSPECTION CHECKLIST
DIVISION OF SECURITIES INVESTMENT ADVISOR SELF-INSPECTION CHECKLIST July 2013 0 Investment Advisor Self-Inspection Checklist Registration Is the investment advisor properly registered in the IARD System?
More informationDRAFT TEMPLATE FOR DISCUSSION CORPORATE GOVERNANCE COMPLIANCE STATEMENT
DRAFT TEMPLATE FOR DISCUSSION CORPORATE GOVERNANCE COMPLIANCE STATEMENT This template is designed for those companies wishing to report on their compliance with the Code of Corporate Governance of the
More informationINDIVIDUAL RETIREMENT CUSTODIAL ACCOUNT ADOPTION AGREEMENT
INDIVIDUAL RETIREMENT CUSTODIAL ACCOUNT ADOPTION AGREEMENT Please complete this application to establish a new Traditional IRA or Roth IRA. This application must be preceded or accompanied by a current
More informationFinancial Advisor New Account Application
Financial Advisor New Account Application For Trusts, Partnerships, Corporations, Estates, or Other Entities Complete this application to establish an account for a trust, partnership, corporation, estate,
More informationSo You Want to be a Funding Portal? Here s what you need to know about the SEC s Regulation Crowdfunding.
Client Advisory Corporate Department So You Want to be a Funding Portal? Here s what you need to know about the SEC s Regulation Crowdfunding. Raising money via crowdfunding in the United States was previously
More informationHow To Apply For A Debt Collection License In Massachusetts
Company New Application Checklist Jurisdiction-Specific Requirements MA MASSACHUSETTS DEBT COLLECTOR LICENSE This document includes instructions for a company (corporation location) new application request.
More informationLimited Power of Attorney (LPOA)
Limited Power of Attorney (LPOA) Page 1 of 3 Investment Advisor ( IA ) Information (This portion to be completed by IA.) IA Firm Name (Please print.) IA Master Account Number Service Team Advisor Contact
More informationHOW TO REGISTER AS A CALIFORNIA REGISTERED INVESTMENT ADVISER
HOW TO REGISTER AS A CALIFORNIA REGISTERED INVESTMENT ADVISER California Department of Business Oversight 1515 K Street, Suite 200 Sacramento, CA 95814 916-322-6270 Steps to Register Step 1: IARD System
More informationForeign investment managers and other financial
The Investment Lawyer Covering Legal and Regulatory Issues of Asset Management VOL. 22, NO. 8 AUGUST 2015 Investment Management Business in Australia By Jim Bulling, Daniel Knight, and Gabrielle Palmieri
More informationNATIONAL INSTRUMENT 31-103 REGISTRATION REQUIREMENTS AND EXEMPTIONS. Table of Contents
NATIONAL INSTRUMENT 31-103 REGISTRATION REQUIREMENTS AND EXEMPTIONS Table of Contents Part 1 Interpretation 1.1 Definitions of terms used throughout this Instrument 1.2 Interpretation of securities in
More informationCEROS CUSTOMER AGREEMENT SUPPLEMENT Accounts Managed by Unaffiliated Investment Advisers
CEROS CUSTOMER AGREEMENT SUPPLEMENT Accounts Managed by Unaffiliated Investment Advisers This Customer Agreement Supplement ( Agreement ) is for customer accounts of Ceros Financial Services, Inc. ( Ceros
More informationMutual Fund Directors
ICI Investor Awareness Series Understanding the Role of Mutual Fund Directors INVESTMENT COMPANY INSTITUTE Understanding the Role of Mutual Fund Directors Protecting Investors...........................................3
More informationBroker-Dealer Concepts
Broker-Dealer Concepts Broker-Dealer AML Program Checklist/Gap Analysis Published by the Broker-Dealer & Investment Management Regulation Group September 2011 I. GENERAL REQUIREMENTS AML AML Program Components
More informationBUSINESS ACCOUNT APPLICATION
BUSINESS ACCOUNT APPLICATION Thank you for applying for NASA Federal Credit Union s business account services. To expedite the processing of your application, please note the following requirements: Businesses,
More informationArticles. SEC Adopts Rules to Allow Crowdfunding Beginning May 16, 2016. Alan Bickerstaff, Jeff C. Dodd and Ted Gilman December 2, 2015
SEC Adopts Rules to Allow Crowdfunding Beginning May 16, 2016 Alan Bickerstaff, Jeff C. Dodd and Ted Gilman December 2, 2015 Over two years after proposing rules, the Securities and Exchange Commission
More informationNew Customer Identification Procedure Rules for Brokers and Dealers Take Effect
Client Publication October 2003 New Customer Identification Procedure Rules for Brokers and Dealers Take Effect I. INTRODUCTION Origins of the CIP Rule On April 30, 2003, the U.S. Department of the Treasury
More informationFORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT FORM BY EXEMPT REPORTING ADVISERS
OMB APPROVAL OMB Number: 3235-0049 Expires:, 201 Estimated average burden hours per response 10.50 FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT FORM BY EXEMPT
More informationIssuing FDIC-Guaranteed Senior Debt Under the Debt Guarantee Program: A Practical Guide
Corporate & Securities February 27, 2009 Issuing FDIC-Guaranteed Senior Debt Under the Debt Guarantee Program: A Practical Guide by Rodney R. Peck, Patricia F. Young and Nathan D. Cardozo Under the FDIC
More informationFSB Premier Wealth Management, Inc. 131 Tower Park Drive Suite 115. Waterloo, IA 50701 Phone: 800-747-9999. Fax: 319-291-8626. www.fsbfs.
FSB Premier Wealth Management, Inc. 131 Tower Park Drive Suite 115 Waterloo, IA 50701 Phone: 800-747-9999 Fax: 319-291-8626 www.fsbfs.com This brochure provides information about the qualification and
More informationSEC Approves Amendments to FINRA Communications Rules
CLIENT MEMORANDUM SEC Approves Amendments to FINRA s Rules April 18, 2012 The Securities and Exchange Commission has approved a significant overhaul of FINRA s rules governing members communications with
More informationAMPLIFY SNACK BRANDS, INC. AUDIT COMMITTEE CHARTER. Adopted June 25, 2015
AMPLIFY SNACK BRANDS, INC. AUDIT COMMITTEE CHARTER Adopted June 25, 2015 I. General Statement of Purpose The purposes of the Audit Committee of the Board of Directors (the Audit Committee ) of Amplify
More informationULTRA CLEAN HOLDINGS, INC. a Delaware corporation (the Company ) Corporate Governance Guidelines As Amended and Restated on February 8, 2012
ULTRA CLEAN HOLDINGS, INC. a Delaware corporation (the Company ) Corporate Governance Guidelines As Amended and Restated on February 8, 2012 1. Composition of the Board and Board Membership Criteria The
More informationPursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ( Act ) 1 and Rule
SECURITIES AND EXCHANGE COMMISSION (Release No. 34-76213; File No. SR-FINRA-2015-043) October 21, 2015 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and
More informationWEST VIRGINIA DIVISION OF BANKING
WEST VIRGINIA DIVISION OF BANKING APPLICATION TO OBTAIN A REGULATED CONSUMER LENDER LICENSE APPLICANT: Name Address Telephone Number Facsimile Number Name, Title, Address and Phone Number of Person(s)
More informationJuly 2014. Handbook of Prudential Requirements for Investment Intermediaries. Page 0 of 12 Page 0 of 12
July 2014 Handbook of Prudential Requirements for Investment Intermediaries Page 0 of 12 Page 0 of 12 Handbook of Prudential Requirements for Investment Intermediaries Contents Table of Contents Introduction
More informationTITLE I SAFETY AND SOUNDNESS. Subtitle A Deposit Insurance Funds
Public Law 102-242 102d Congress An Act Dec. 19, 1991 [S. 543] Federal Deposit Insurance Corporation Improvement Act o f 1991. 12, USC 1811 note. To require the least-cost resolution o f insured depository
More informationTHE NASDAQ STOCK MARKET
THE NASDAQ STOCK MARKET Waive-In Membership Application Form To qualify for Waive-In Membership in The NASDAQ Stock Market LLC (NASDAQ), the applicant must be an approved National Association of Securities
More informationListing and Admission to Trading Rules for. Short Term Paper. Release 2
Listing and Admission to Trading Rules for Short Term Paper Release 2 14 April 2014 Scope These Listing and Admission to Trading Rules ( Rules ) relate to the Listing and admission to trading on the Main
More informationAXALTA COATING SYSTEMS LTD. AUDIT COMMITTEE CHARTER
AXALTA COATING SYSTEMS LTD. AUDIT COMMITTEE CHARTER This Audit Committee Charter was adopted by the Board of Directors (the Board ) of Axalta Coating Systems Ltd., a Bermuda exempted company (the Company
More informationACCOUNT OPENING FORM. CUSTOMER INFORMATION (Please fill in where applicable) Customer Name Registration N BRN: Registration Date
ACCOUNT OPENING FORM Domestic Company Global Business / International Company / Investment Fund Parastatal Body Club / Association Societe / Partnership FOR OFFICE USE ONLY CIF NO. ACCOUNT NUMBER/S CUSTOMER
More informationFREQUENTLY ASKED QUESTIONS ABOUT REGULATION S
FREQUENTLY ASKED QUESTIONS ABOUT REGULATION S Understanding Regulation S What is Regulation S? Regulation S provides an exclusion from the Section 5 registration requirements of the Securities Act of 1933,
More informationBSA/AML & OFAC. Volunteer Compliance Training. Agenda
Ideas + Solutions = Success BSA/AML & OFAC Ideas + Solutions = Success Volunteer Compliance Training Presented by Dorie Fitchett HCUL Regulatory Officer April 25, 2013 Agenda 1. Bank Secrecy Act (BSA)
More informationCheck here if you are establishing this Account in connection with a SIMPLE IRA plan maintained by your employer.
LEGG MASON FUNDS 1 BNY Mellon Investment Servicing Trust Company SIMPLE Individual Retirement Custodial Account Application and Adoption Agreement This application should be used to open a SIMPLE IRA investing
More informationMission/Purpose: Committee Responsibilities:
Joint Charter of the Risk Assessment Committees of the Boards of Directors of New York Community Bancorp, Inc., New York Community Bank and New York Commercial Bank The following states the Joint Charter
More informationBusiness Entities Authorized Signers and Traders Form
Business Entities Authorized Signers and Traders Form Complete this form to designate the individuals authorized to act on behalf of your corporation, partnership, or other organization (hereinafter referred
More informationCHARTER PEOPLE S UNITED FINANCIAL, INC. AUDIT COMMITTEE
CHARTER PEOPLE S UNITED FINANCIAL, INC. AUDIT COMMITTEE Purpose and Authority: The Audit Committee (the Committee ) of People s United Financial, Inc. (together with its subsidiary People s United Bank
More information2014 Morrison & Foerster LLP All Rights Reserved mofo.com. Bank Note Programs. January 22, 2014 Bradley Berman
2014 Morrison & Foerster LLP All Rights Reserved mofo.com Bank Note Programs January 22, 2014 Bradley Berman Topics for Presentation Section 3(a)(2) bank note programs Rule 144A bank note programs This
More informationSEC Adopts Crowdfunding Rules
CLIENT MEMORANDUM SEC Adopts Crowdfunding Rules November 19, 2015 On October 30, the SEC voted 3-1 to adopt final rules to permit eligible companies to offer and sell securities through crowdfunding a
More informationCHARTER OF THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF LIVE NATION ENTERTAINMENT, INC.
CHARTER OF THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF LIVE NATION ENTERTAINMENT, INC. This Charter identifies the purpose, membership, meeting requirements and committee responsibilities of the Audit
More informationPART I ARTICLE. apply to all insurers domiciled in this State unless exempt. (b) The purposes of this article shall be to:
THE SENATE TWENTY-EIGHTH LEGISLATURE, 0 STATE OF HAWAII A BILL FOR AN ACT RELATING TO INSURANCE BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF HAWAII: PART I SECTION. Chapter, Hawaii Revised Statutes,
More informationSports Bookmaker Licence
Sports Bookmaker Licence Schedule Containing Conditions for the Licence for the Conducting of the Business of a Sports Bookmaker issued to XXXXXXXXXXXXXXXX General: 1. The Sports Bookmaker must conduct
More informationSTATE OF FLORIDA OFFICE OF FINANCIAL REGULATION
STATE OF FLORIDA OFFICE OF FINANCIAL REGULATION Registration of Crowdfunding Intermediary Application (Form FL-INT) Pursuant to Section 517.12, Florida Statutes GENERAL INSTRUCTIONS An intermediary of
More informationRestaurant Brands International Inc. A corporation continued under the laws of Canada. Audit Committee Charter Originally adopted December 11, 2014
Overview Restaurant Brands International Inc. A corporation continued under the laws of Canada Audit Committee Charter Originally adopted December 11, 2014 Amended October 30, 2015 This Charter identifies
More informationStatement of Financial Condition unaudited
Statement of Financial Condition unaudited June 30, 2015 Vanguard Marketing Corporation (a wholly owned subsidiary of The Vanguard Group, Inc.) Vanguard Marketing Corporation (a wholly owned subsidiary
More informationUNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K OMB APPROVAL OMB Number: 3235-0063 Expires: March 31, 2018 Estimated average burden hours per response.... 1,998.78 A.
More informationRALLY SOFTWARE DEVELOPMENT CORP.
RALLY SOFTWARE DEVELOPMENT CORP. CHARTER OF THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS Approved by the Board of Directors on March 19 2013 PURPOSE The primary purpose of the Audit Committee (the Committee
More informationDirectors & Officers Liability Insurance for Financial Institutions
Directors & Officers Liability Insurance for Financial Institutions PROPOsAl FORm Please answer all questions. If you have insufficient space to complete an answer, attach a separate signed and dated sheet
More informationBy David Mainzer. October 2010
By David Mainzer October 2010 One effect of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act ), which came into effect on July 21, 2010, is expected to be an increase the
More informationSTAFF GUIDANCE FOR AUDITORS OF SEC-REGISTERED BROKERS AND DEALERS JUNE 26, 2014
1666 K Street, N.W. Washington, DC 20006 Telephone: (202) 207-9100 Facsimile: (202) 862-8430 www.pcaobus.org STAFF GUIDANCE FOR AUDITORS OF SEC-REGISTERED BROKERS AND DEALERS JUNE 26, 2014 This publication
More informationGuide for Investment Advisers
Guide for Investment Advisers Illinois Securities Department Jesse White Secretary of State Congratulations on your recent registration as an investment adviser with the Illinois Securities Department.
More informationINTEGRATED SILICON SOLUTION, INC. CORPORATE GOVERNANCE PRINCIPLES. Effective January 9, 2015
INTEGRATED SILICON SOLUTION, INC. CORPORATE GOVERNANCE PRINCIPLES Effective January 9, 2015 These principles have been adopted by the Board of Directors (the "Board") of Integrated Silicon Solution, Inc.
More informationThe principal purposes of the Audit Committee ( Committee ) of the Board of Directors ( Board ) of CSRA Inc. (the Company ) are to:
CSRA Inc. AUDIT COMMITTEE CHARTER (EFFECTIVE December 16, 2015) I. PURPOSES OF THE COMMITTEE The principal purposes of the Audit Committee ( Committee ) of the Board of Directors ( Board ) of CSRA Inc.
More informationGODADDY INC. CORPORATE GOVERNANCE GUIDELINES. Adopted as of February 3, 2015
GODADDY INC. CORPORATE GOVERNANCE GUIDELINES Adopted as of February 3, 2015 The following corporate governance guidelines have been adopted by the Board of Directors (the Board ) of GoDaddy Inc. (the Company
More informationFINRA Regulation of Broker-Dealer Due Diligence in Regulation D Offerings
FINRA Regulation of Broker-Dealer Due Diligence in Regulation D Offerings EDWARD G. ROSENBLATT, MCGUIREWOODS LLP, WITH PRACTICAL LAW CORPORATE & SECURITIES This Note discusses broker-dealers' affirmative
More informationMain Securities Market LISTING RULES. and Admission to Trading Rules
Main Securities Market LISTING RULES and Admission to Trading Rules Release 2 14 April 2014 CONTENTS Chapter 1 Compliance with and Enforcement of the Listing Rules 1.1 Preliminary 1.2 Modifying Rules and
More informationAccount Opening Disclosures
Account Opening Disclosures Arbitration of Disputes Your agreement contains a pre-dispute arbitration clause. By signing an arbitration agreement the parties agree as follows: a) All parties to this agreement
More informationInternational Monetary Fund Washington, D.C.
2010 International Monetary Fund May 2010 IMF Country Report No. 10/129 United States: Publication of Financial Sector Assessment Program Documentation Detailed Assessment of Observance of the National
More informationDodd-Frank Act Changes Affecting Private Fund Managers and Other Investment Advisers By Adam Gale and Garrett Lynam
Dodd-Frank Act Changes Affecting Private Fund Managers and Other Investment Advisers By Adam Gale and Garrett Lynam I. Introduction The Dodd-Frank Wall Street Reform and Consumer Protection Act ( Dodd-Frank
More informationAlert. Client PROSKAUER ROSE LLP. Regulation of Non-U.S. Investment Advisors and Portfolio Managers Doing Business in the United States
PROSKAUER ROSE LLP Client Alert Regulation of Non-U.S. Investment Advisors and Portfolio Managers Doing Business in the United States A number of non-u.s. investment counseling firms and investment dealer
More informationUNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 75992 / September 28, 2015 ADMINISTRATIVE PROCEEDING File No. 3-16835 In the Matter of
More informationChanges to Broker-Dealer Reporting & Auditing Requirements
Changes to Broker-Dealer Reporting & Auditing Requirements Reporting and auditing requirements for broker-dealers changed significantly starting June 1, 2014. These changes are the culmination of several
More informationAmended and Restated. Charter of the Audit Committee. of the Board of Directors of. Tribune Publishing Company. (As Amended November 11, 2014)
Amended and Restated Charter of the Audit Committee of the Board of Directors of Tribune Publishing Company (As Amended November 11, 2014) This Charter sets forth, among other things, the purpose, membership
More informationSELF-REGULATION RULES OF THE ASSOCIATION ROMANDE DES INTERMÉDIAIRES FINANCIERS (ARIF)
1 SELF-REGULATION RULES OF THE ASSOCIATION ROMANDE DES INTERMÉDIAIRES FINANCIERS (ARIF) A. GENERALITIES Purpose of the Rules 1 The Self-Regulation Rules, enacted by the Association romande des intermédiaires
More informationClaymore/BNY Mellon Frontier Markets ETF
Date: To: From: Re: ETP Holders James C. Yong Chief Regulatory Officer CLAYMORE/BNY MELLON FRONTIER MARKETS ETF TO BEGIN TRADING ON NSX Pursuant to Regulatory Circular 08-005, we are issuing this Information
More informationEVOGENE LTD. (THE COMPANY ) AUDIT COMMITTEE CHARTER
EVOGENE LTD. (THE COMPANY ) AUDIT COMMITTEE CHARTER The Board of Directors (the Board ) of the Company has constituted and established an Audit Committee (the Committee ) with the authority, responsibility
More informationCompany New Application Checklist Agency Requirements NEW HAMPSHIRE MOTOR VEHICLE SALES FINANCE COMPANY LICENSE
Company New Application Checklist Agency Requirements NH This document includes instructions to apply for an application for a Motor Vehicle Sales Finance company (principal/headquarter location) license.
More information