Investor Education and Protection Sample Clauses

Investor Education and Protection. Under the Public Dis- closure Program, the Financial Industry Regulatory Authority (“FINRA”) provides certain information regarding the disciplin- ary history of FINRA members and their associated persons via FINRA Regulation’s BrokerCheck Hotline (toll-free (800) 289- 9999). Additional information may be obtained from the FINRA Regulation website at xxx.xxxxx.xxx, including a description of BrokerCheck and access to the FINRA BrokerCheck tool. Stifel is registered with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board (“MSRB”). Additional information may be obtained from the MSRB website at xxx.xxxx.xxx, including an investor brochure that is posted on the website describing the protec- tions that may be provided by the MSRB rules and how to file a complaint with an appropriate regulatory authority. NFA’s Background Affiliation Status Information (BASIC) BASIC is a free tool that NFA Members and investors can use to research the background of derivatives professionals. BASIC is available at xxx.xxx.xxxxxxx.xxx/xxxxxxxx.
Sample 1Sample 2Sample 3
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Investor Education and Protection. Under the Public Dis- closure Program, the Financial Industry Regulatory Authority (“FINRA”) provides certain information regarding the disciplin- ary history of FINRA members and their associated persons via FINRA Regulation’s BrokerCheck Hotline (toll-free (800) 289- 9999). Additional information may be obtained from the FINRA Regulation website at xxx.xxxxx.xxx, and an investor brochure describing FINRA BrokerCheck is available upon request. Stifel is registered with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board (“MSRB”). Additional information may be obtained from the MSRB website at xxx.xxxx.xxx, including an investor brochure that is posted on the website describing the protec- tions that may be provided by the MSRB rules and how to file a complaint with an appropriate regulatory authority.
Sample 1Sample 2
Investor Education and Protection. Under the Public Dis- closure Program, the Financial Industry Regulatory Authority (“FINRA”) provides certain information regarding the disciplin- ary history of FINRA members and their associated persons via FINRA Regulation’s BrokerCheck Hotline (toll-free (800) 289- 9999). Additional information may be obtained from the FINRA Regulation web site at xxx.xxxxx.xxx, and an investor brochure describing FINRA BrokerCheck is available upon request.
Sample 1
Investor Education and Protection. Under the Public Disclosure Program, the Financial Industry Regulatory Authority (“FINRA”) provides certain information regarding the disciplinary history of FINRA members and their associated persons via FINRA Regula- tion’s BrokerCheck Hotline (toll-free (000) 000-0000). Additional information may be obtained from the FINRA Regulation web site at xxx.xxxxx.xxx, and an investor brochure describing FINRA BrokerCheck is available upon request.
Sample 1

Related to Investor Education and Protection

  • Family Educational Rights and Privacy Act The Charter School is subject to all provisions of the Federal Family Educational Rights and Privacy Act, 20 U.S.C. § 1232g. In the event the Charter School closes, it shall transmit all official student records in the manner prescribed by the State Board.

  • General Education University Program Requirements All MTA applicable courses require a grade “C” or higher

  • Continuing Education The Hospital and the Union recognize that continuing education is important for all employees and that they have shared interests and responsibilities in ensuring equitable access to it.

  • Training and Education SECTION 1 – Law Enforcement Supervisors’ Training

  • Special Education Teachers Elementary/Secondary Special Education Coordinators shall be compensated for an extended work day in the amount of four thousand dollars ($4,000).

  • Union Education If the local union indicates to the Hospital that its members have approved a special assessment for union education in accordance with the CUPE constitution and local union by laws, the Hospital agrees to deduct this assessment. Such assessment will be paid on a quarterly basis into a trust fund established and administered by OCHU/CUPE for this purpose.

  • Dimensions Education Bachelor’s or Master’s Degree in Computer Science, Information Systems, or other related field. Or equivalent work experience. A minimum of 10 years of IT and business/industry work experience, with at least 3 years of leadership experience in managing multiple, large, cross-functional teams or projects, and influencing senior level management and key stakeholders. Requires advanced technical and business knowledge in software development life cycle, quality assurance, project management and other related disciplines/processes.

  • Professional and Education Leaves (a) Leave of absence with pay or without pay may be granted to employees to attend professional and educational meetings, courses, or other events which may be judged beneficial to the employee's professional development, especially as it relates to her responsibilities with the Employer.

  • DATA PROTECTION AND PRIVACY 14.1 In addition to Supplier’s obligations under Sections 6, 9, 10, and 15, Supplier will comply with this Section 14 when processing Accenture Personal Data. "Accenture Personal Data" means personal data owned, licensed, or otherwise controlled or processed by Accenture including personal data processed by Accenture on behalf of its clients. “Accenture Data” means all information, data and intellectual property of Accenture or its clients or other suppliers, collected, stored, hosted, processed, received and/or generated by Supplier in connection with providing the Deliverables to Accenture, including Accenture Personal Data.

  • Special Education Special education services, related services, and accommodations for students who are eligible under the Individuals with Disabilities Education Act (IDEA), Section 504 of the Rehabilitation Act of 1973 (Section 504), the Americans with Disabilities Act (ADA), or any applicable provisions of state law, shall be provided in accordance with applicable state and federal law, this Agreement and Authorizer rules and policies. The Authorizer is the LEA for purposes of ensuring compliance with IDEA, Section 504, and all other federal and state laws and regulations concerning accommodation of and education of students with disabilities.

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