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Bit Coin Review. CrowdFunDing. Consumer. Banking - Frequently Asked Questions (FAQs) - Federal Reserve Bank of Richmond. How can I check the status of a bank holding company merger or acquisition?
The Board of Governors of the Federal Reserve System's Release H.2a Release "Notice of Formation and Mergers of, and Acquisitions by, Bank Holding Companies; Change in Bank Control," provides the most recent list of bank holding company mergers and acquisitions. Additional information on all bank holding companies is available at the National Information Center Web site. Learn More Where can I find a merger application? Where can I find information about a bank that seems to have closed? What is the Community Reinvestment Act, and where can I find a bank's CRA rating? The results of these periodic ratings are known as "CRA ratings. " What is the Federal Deposit Insurance Corporation (FDIC), and what does it mean if a bank is an FDIC member?
How do I know if a bank is "safe and sound"? How soon after I deposit a check are the funds available to me? Where can I find a list of banks in my area? . Filings & Forms. SaveAndInvest.org - Home. Fighting Fraud, Investor Resource. National Association of Insurance Commissioners (NAIC) National Association of Insurance Commissioners (NAIC) State Web Map. Your Rights Under SIPC Protection. The Securities Investor Protection Corporation (SIPC) was created in 1970 as a non-profit, non-government, membership corporation, funded by member broker-dealers.
Its primary role is to return funds and securities to investors if the broker-dealer holding these assets becomes insolvent. SIPC Membership SIPC’s power to protect customers of former SIPC members ends 180 days after the member loses SEC registration. The SEC normally does not terminate a broker-dealer’s registration if the SEC knows that the broker-dealer owes securities or cash to customers. Customers can therefore better protect themselves and assist the SEC by reporting their losses promptly. SIPC Coverage In general, SIPC coverage is available in two distinct types of situations: Insolvent or Bankrupt Firms SIPC was created to return customer property when a clearing firm became insolvent. Unauthorized Trading SIPC's coverage also includes protection against unauthorized trading in customers’ securities accounts.
North American Securities Administrators Association (NASAA) IAPD - Investment Adviser Public Disclosure - Sitemap. Welcome to the Investment Adviser Public Disclosure website.
You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. This website will also search FINRA's BrokerCheck system and indicate whether an entity is a Brokerage firm. Investment advisers file Form ADV to register with the SEC and/or the states. Some advisers that do not have to register with the SEC or the states ("Exempt Reporting Advisers") must nonetheless complete some of the questions in Form ADV for purposes of reporting to the SEC and/or the states. How to Check Out Your Broker or Investment Adviser - NASAA.
While the vast majority of the stockbrokers, brokerage firms, investment advisers and investment adviser firms are honest and reputable, it pays to remember that just like many other professions, there are those individuals and firms who are not.
State and federal laws require brokers, advisers and firms to be registered or licensed. Canadian securities laws require anyone trading securities, or in the business of advising clients on securities, as well as the company they work for to be registered with their provincial or territorial securities commission, unless a registration exemption applies. State securities regulators should be the first call for an investor before you turn over any money to a broker or investment adviser. Check Out Brokers and Investment Advisers. Tips for Checking Out Brokers and Investment Advisers Federal or state securities laws require brokers, investment advisers, and their firms to be licensed or registered, and to make important information public.
But it's up to you to find that information and use it to protect your investment dollars. The good news is that this information is easy to get, and one phone call or web search may save you from sending your money to a con artist, an unscrupulous financial professional, or a disreputable firm. BrokerCheck: Research Brokers & Investment Advisers. BrokerCheck is a free tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers, as well as investment adviser firms and representatives.
BrokerCheck information is drawn from filings by regulators, firms and investment professionals. It includes current licensing status and history, employment history and, if any, reported regulatory, customer dispute, criminal and other matters. BrokerCheck Search. UN Guiding Principles on Business and Human Rights. Skip the main content if you do not want to read it as the next section.
Main Content UN Guiding Principles on Business and Human Rights Latest additions: - Events: "Business and Human Rights Workshop - Putting the Ruggie-Framework and the Guiding Principles into Practice", CSR Europe Berlin, 15 Apr; "Empresas e Direitos Humanos: como colocar os princípios da ONU em prática? ", Conectas - São Paolo, 26 de março- Company implementation: ”Respecting Human Rights Through Global Supply Chain”, Shift, report of workshop- Uses by NGOs: "A blueprint for Human Rights & Business", Human Rights First 1.
Full text of “Guiding Principles on Business and Human Rights: Implementing the United Nations ‘Protect, Respect and Remedy’ Framework”. Interfaith Center on Corporate Responsibility (ICCR): Corporate Social Responsibility. Seven Generations. Economy. Busyness. Collapsnickity. War - Good for Whom? New Busyness. New Ethics. New Politika. Societal Gumbo. Human Condition. New Found Moolah.