Supervisory, financial reporting, recordkeeping, net capital, and operational requirements for broker-dealers. Article 4 registration of securities 81-4-1. Registration of securities 81-4-2. Small company offering registration (scor) 81-4-4. Registration requirements for not-for-profit issuers. Article 5 exemptions 81-5-3. Isolated nonissuer transactions 81-5-6. Uniform limited offering exemption for rule 505 offerings 81-5-7.
List of amendments to the, united States Constitution
Regulations can be searched and reviewed on the website of the Office of the secretary of State at:. The official versions of regulations as approved the department of Administration and the Attorney general are on file in the Office of the secretary of State pursuant. Download the, kansas Securities Regulations. . Table of Contents, article 1 definition of terms 81-1-1. Definition of terms, article 2 filing, fees, and forms 81-2-1. Forms and adoptions by reference. Article 3 dauphin licensing; broker-dealers and agents for 81-3-1. Registration procedures for broker-dealers and agents 81-3-2. Broker-dealer and agent registration fees 81-3-5. Sales of securities at financial institutions 81-3-6. Dishonest or unethical practices of broker-dealers and agents 81-3-7.
15, 1986; 56 fr 57255, nov. 8, 1991; 58 fr 14682, 14685, mar. 18, 1993; 59 fr 67765, dec. 30, 1994; 62 fr 36459, july 8, 1997; 64 fr 61465, nov. 10, 1999; 73 fr 17814, apr. Kansas Securities Regulations, state of Kansas, office of the securities Commissioner. Regulations as of January, 2016, this website contains digital regulations based on regulations submitted to british and published by the Office of the secretary of State in the kansas Register and the kansas Administrative regulations (K.A.R.). While every attempt has been made to ensure accuracy and reliability, the Office of the securities Commissioner makes no warranties, either express or implied, regarding the content of this information.
(d) Extend the length of a tender offer without issuing a notice of such extension by press release or other public announcement, which notice shall include disclosure of the approximate number of securities deposited to date and shall be issued no later than the earlier. Eastern time, on the next business day after the scheduled expiration date of the offer or (ii if the class of securities which is the subject of the tender offer is registered on one or more national securities exchanges, the first opening of any one. (e) The periods of time required by paragraphs (a) and (b) of this section shall be tolled for any period during which the bidder has failed to file in electronic format, absent a hardship exemption ( 232.201 and 232.202 of this chapter the Schedule. If such documents were filed in paper pursuant to a hardship exemption (see 232.201 and 232.202(d) the minimum offering periods shall be tolled for any period during which a required confirming electronic copy of such Schedule and tender offer material is delinquent. 44 fr 70348, dec. 6, 1979, as amended at 51 fr 3035, jan. 23, 1986; 51 fr 25883, july 17, 1986; 51 fr 32630, sept.
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full Text see history, policies, and Laws for more information. To top learn More submit Studies : This section of the site is a resource for clinical research professionals, sponsors, and investigators who are responsible for registration and results submission to ClinicalTrials. How to register your Study : learn about registering studies. How to submit your Results : learn about submitting study results. This page last reviewed in June 2018 to top). 240.14e-1 Unlawful tender offer practices.
As a means reasonably designed to prevent fraudulent, deceptive or manipulative acts or practices within the meaning of section 14(e) of the Act, no person who makes a tender offer shall: (a) Hold such tender offer open for less than twenty business days from the. Provided, however, That, pet for purposes of this paragraph, the acceptance for payment of an additional amount of securities not to exceed two percent of the class of securities that is the subject of the tender offer shall not be deemed to be an increase. For purposes of this paragraph, the percentage of a class of securities shall be calculated in accordance with section 14(d 3) of the Act. (c) fail to pay the consideration offered or return the securities deposited by or on behalf of security holders promptly after the termination or withdrawal of a tender offer. This paragraph does not prohibit a bidder electing to offer a subsequent offering period under 240.14d-11 from paying for securities during the subsequent offering period in accordance with that section.
Selected Trial Registration Laws and Policies. A summary of key laws and policies requiring clinical trial registration is provided in the table below: Name type Intervention Type registration Policy Scope results Submission Policy Scope final Rule for Clinical Trials Registration and Results Information Submission (42 cfr part 11). Federal regulation implementing fdaaa 801 effective in 2017 Drug, biological, and device products Clinical trials of a food and Drug Administration (FDA)-regulated drug, biological, or device product other than Phase 1 (drug/biological products) or small feasibility studies (device products) Same scope as registration nih policy. Federal law enacted in 2007 Drug, biological, and device products Controlled clinical investigations of an fda-regulated drug, biological, or device product, other than Phase 1 (drug/biological products) or small feasibility studies (device products) Same scope as registration, but interventional studies of fda-approved drug, biological,. "Researchers have a duty to make publicly available the results of their research on human subjects. Negative and inconclusive as well as positive results should be published or otherwise made publicly available" (para.
Clinical Trials Directive 2001/20/ec, article 11 (and associated Regulations and guidelines) European Union directive adopted in 2001 Drugs and biological products Phase 24 adult trials and Phase 14 pediatric trials Same scope as registration (includes products without marketing authorization applications) who international Clinical Trials Registry. Results reporting even when not required." Section 113 of the food and Drug Administration Modernization Act. Federal law enacted in 1997 Drugs and biological products Efficacy trials of fda-regulated investigational new drugs for "serious or life-threatening diseases and conditions" N/A Adapted from: Zarin da, ide nc, tse t, harlan wr, west jc, lindberg. Issues in the registration of clinical trials. Zarin da, tse t, williams rj, califf rm, ide. Gov results database—update and key issues. N engl j med.
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The final Rule has been in effect since january 18, 2017. For more information on the final Rule: Required for journal Publication, the International Committee of Medical journal Editors (icmje) requires trial registration as a lab condition of the publication of research results generated by a clinical trial. To fulfill this obligation organizations and individuals can provide the world health Organization (WHO). Trial Registration Data set required by icmje to ClinicalTrials. The icmje expects authors to meet all results reporting requirements of their funding and regulatory agencies. If there are no such reporting requirements, the icmje encourages authors to submit results information to the same database on which their trials are registered. See the, icmje section of the support Materials page or visit the, icmje web site.
Results Database purpose Group That Benefits. Provide a public record of halloween basic study results in a standardized format. Researchers, journal editors, irbs, ethicists, promote the fulfillment of ethical obligations to participants and the overall contribution of research results to medical knowledge. Reduce publication and outcome reporting biases. Users of the medical literature, facilitate systematic reviews and other analyses of the research literature. Researchers, policymakers, to top, why do i need to register my trial and Submit Results to ClinicalTrials. Required by law, the. Final Rule for Clinical Trials Registration and Results Information Submission (42 cfr part 11) clarifies and expands the regulatory requirements and procedures for submitting registration and results information for certain clinical trials to ClinicalTrials. Gov, in accordance with Section 801 of the food and Drug Administration Amendments Act (fdaaa 801).
publication bias, users of the medical literature, help editors and others understand the context of study results. Journal editors, users of the medical literature. Promote more efficient allocation of research funds. Granting agencies, the research community, help institutional review boards (IRBs) determine the appropriateness of a research study. Irbs, ethicists, results Database purposes and Benefits for Various Groups.
With respect to proposal number 4, finra also seeks specific comment on the proposed numeric threshold and surgery criteria that would trigger a materiality consultation. A detailed economic analysis of the proposed rule amendments, including the numeric threshold and criteria used for identifying brokers that would be impacted by the proposed amendments, is discussed below, and the exhibits referenced in this economic impact assessment are available in Attachment b, exhibits. In addition, finra is focusing attention on high-risk brokers by publishing Regulatory notice 18-15 to reiterate the existing obligation of member firms to adopt and implement tailored heightened supervisory procedures under Rule 3110 (Supervision) for high-risk brokers; and revising finras qualification examination waiver guidelines and. Questions concerning this Notice should be directed to: Kosha dalal, associate vice President and Associate general counsel, Office of General counsel, at (202) 728-6903. Questions concerning the Economic Impact Assessment in this Notice should be directed to: Jonathan sokobin, senior Vice President and Chief Economist, Office of the Chief Economist (oce at (202) 728-8248; and. Hammad Qureshi, senior Economist, oce, at (202) 728-8150. Contents, what Is the purpose of Trial Registration and Results Submission? Registering clinical trials when they begin, providing timely updates, submitting summary results, and making this information publicly available fulfills a number of purposes and benefits a variety of people.
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Finra seeks comment on proposed rule amendments that would impose additional restrictions on member firms that employ brokers with a history of significant past misconduct. These brokers, while relatively small in number, may present heightened risk of harm to investors, and any misconduct by them also may undermine confidence in the desk securities markets as a whole. The rule proposals would strengthen the existing controls, some of which are highlighted below, finra has applied to such brokers to further promote investor protection and market integrity. The new proposals are one part of finras initiatives to confront high-risk brokers. Finra will continue to evaluate various rules, examination and riskmonitoring programs, and technologies to determine further enhancements that finra can make to keep high-risk brokers from potentially harming investors and compromising the integrity of the financial markets. Finra is requesting comment on proposed amendments to: the rule 9200 Series (Disciplinary Proceedings) and the 9300 Series (review of Disciplinary Proceedings by national Adjudicatory council and finra board; Application for sec review) to allow a hearing Panel to impose conditions or restrictions on the. Specified risk events (as described in detail below) generally means final, adjudicated disclosure events disclosed on a persons or firms Uniform Registration Forms. The proposed rule text is available in Attachment.