A Rates
Categories: Insurance,
Also known as judgment rates, it is the rates given by the insurer based on an individual's record, and not on a statistical basis. For example, if you are a 19-year-old male with a red sports car, chances are, your rate premium will be pretty high, since statistically, young people are labeled as riskier drivers and red sports car are most likely to be apprehended by the police in event of a traffic violation. However, if you have a stellar driving record and have shown evidence of road responsibility, you will get a lower judgment rate.
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Office Of Compliance Inspections And Examinations (OCIE)
Categories: Estate Planning, Brokerages,
The Office of Compliance Inspections and Examinations ("OCIE") protects investors through administering the SEC's nationwide examination and inspection program. Examiners in Washington DC and in the Commission's 11 regional offices conduct examinations of the nation's registered entities, including broker-dealers, transfer agents, investment advisers, investment companies, the national securities exchanges, clearing agencies, the nationally recognized statistical rating organizations ("NRSRO"s), SROs such as the financial industry regulatory authority ("FINRA") and the municipal securities rulemaking board, and the public company accounting oversight board ("PCAOB"). OCIE's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy. The examination program plays a critical role in encouraging compliance within the securities industry, which in turn also helps to protect investors and the securities market(s) generally.
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