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To explain a new set of rules, detailed in FINRA Regulatory Notice 17-30, proposed by the Financial Industry Regulatory Authority (FINRA) and approved by the US Securities and Exchange Commission (SEC), that revise and streamline the number and types of proficiency exams broker-dealer personnel must take in order to become registered, as well as the categories of registration.

Discusses the background, including FINRA’s consolidation of National Association of Securities Dealers (NASD) rules; the new registration regime; conditions for waivers; criteria for “permissive” registration; firms’ requirement to designate “Principal Financial Officers” and “Principal Operations Officers”; new categories of principal registration; FINRA’s elimination of certain registration categories; research analyst, research principal and supervisory analyst exam requirements; the ability of a registered representative to function as a principal for a limited period; the prohibition of unregistered persons to accept orders from customers; and the Securities Industry Essentials (SIE) Examination Content Outline.

The new structure is intended to bring greater consistency and uniformity to the qualification process. Among other changes, it eliminates several registration categories that either have become outdated or have limited utility, permits persons not yet associated with a broker-dealer or employed in the securities industry to take a preliminary registration exam prior to entering the securities industry, and makes other changes intended to modernize the registration and examination regime for broker-dealer personnel.

Practical guidance from lawyers with broad stock brokerage, investment management and related financial services experience.

Using visual materials to understand a social object requires the researcher to know that object's purpose, and this is true whether the object is an artifact, a restricted event, a small social world, or something as massive as the modern city. I argue that the purpose of the city as a settlement is driven by the need to safely sleep in peace at night while satisfying other basic biophysical needs during the day as conveniently as possible. An examination of these needs identifies 10 functional prerequisites for human settlement, entangling its inhabitants in involuntary community with entities and events other than themselves, whether they like it or not. In addition, the rise of the modern city exacerbates the challenge of living in a reluctant community and pressures its inhabitants to come to terms with the consequences for how these relationships affect daily life. I highlight nine challenges posed as questions that have been particularly salient in American urban history since the mid-nineteenth century. How these challenges have been addressed indicates not only what it takes to make a modern city a settlement suitable for satisfying human needs, but also just how deeply invested its residents are in making the city work. Finally, the 10 functional prerequisites and nine moral challenges not only provide a framework for researching the city, but also suggest a coherent outline for imagining a “shooting script” or guide for conducting visual research.

This essay employs a visual approach to explore some of the ways that spatial practices become markers of a globalising and glocalizing world. Images are offered that reflect some of the symbolic competition created by more and less recent migrants as they lay claim to ‘contested terrains’ by changing what they look like. Although often dismissed as mere “marking” of territory, such ordinary practices by migrants of symbolic home or community building are crucial to understanding global cities. One indicator of their importance is the, often hostile reactions by the dominant society to them. A brief review of some of the most important theoretical perspectives on these interrelated phenomena, such as those of Saskia Sassen, David Harvey, and Manuel Castells, isolates common expectations about the visibility of resulting competing spatial practices in shared multiethnic residential and commercial environments. It is argued that many of the contradictions created by the concentration of global capital can be seen in the neighborhood streetscapes of global cities. From Georg Simmel, through Henri Lefebvre, and Lyn H. Lofland, the visible, and the symbolic, have been central to urban analysis. Therefore, the ubiquitous aspects of what Jackson called ‘vernacular landscapes,’ such as commercial signs and graffiti in Berlin, Frankfurt am Main, London, New York, and Rome are addressed.

Although none of the new music reference books of the past year totally replaces the old stand‐bys, some significant works did appear, especially in the areas of contemporary music, opera, and classical music discography.

Ever since Robert Ezra Park and Ernest Burgess published their classic research on Chicago which described “how” residential neighborhoods follow a distinct ecological pattern, generations of urban practitioners and theoreticians have been arguing about “why” they are spatially distributed. This essay is designed to demonstrate the utility of Visual Sociology and the study of Vernacular Landscapes to document and analyze how the built environment reflects the changing cultural identities of neighborhood residents. It is strongly suggested that a visual approach can also help build a bridge between various theoretical and applied disciplines that focus on the form and function of the metropolis. While discussing some of these often-competing models, the text is illustrated by a selection of photographs taken in Brooklyn, New York whose neighborhoods over the past century have been a virtual Roman fountain of ethnic transitions. Although many of the oldest and newest residents of Brooklyn such as Chinese, Italians, Jews, and Poles would be familiar to Park and Burgess, others such as Bangladeshis, Egyptians, and Koreans would not. Ideas about Old and New cities from the “classical” to the “post-modern”; from Park and Burgess to Harvey and Lefebvre are also synthesized via the insights of J. B. Jackson.

This introductory chapter starts off by discussing the differences and interconnections of visual sociology and urban sociology in their quest to understand human settlements. It then moves to argue for expanding the focus to other disciplines that are equally geared toward researching aspects of the city in visual and multimodal ways, since the urban context cannot be studied comprehensively without engaging a multitude of disciplines and trying to make productive connections between them. The chapter continues with a concise overview and discussion of each of the contributions in this first of two volumes of “Visual and Multimodal Urban Sociology” in the “Research in Urban Sociology” series. These twin volumes explore multiple ways in which the city and city life may be approached, studied, and expressed through visual and multimodal means and methods, thereby as much as possible including sensory experiences other than those related to seeing and hearing. It concludes with drawing some contours and challenges of visual and multimodal urban studies and the critical role of technology in advancing this cross-disciplinary field of inquiry.

Pleasing and satisfying as it is for the national ego to record that Australian book production continues to expand — and the commercial benefits that accrue therefrom to Austrialian authors, publishers and booksellers are surely swelling the pocket books of a small sector of Australian society — the year under review included three events which are perhaps of greater interest to those who care for Australian literature in its broad sense.

COVID-19 lockdown imposed by the government in India affected markets, factories, industries, construction sites, restaurants, transport services, etc. in which migrant workers were engaged. Migrant workers expected that after the imposition of the lockdown government will facilitate transportation facilities to their hometowns as they lost their jobs. But due to negligence from both the central and the state governments, neither transportation was arranged nor food, shelter or health facilities were arranged. This paper aims to investigate the causes of the death of migrant workers under the theoretical framework of negligence theory.

The authors have applied the content analysis method and collected 926 death cases of migrant workers from 28 Indian states. The researchers applied this technique as the newspapers in India are one of the largest and most useful sources to generate a report/record on migrant workers causes during the COVID-19 lockdown. During the lockdown period, due to lack of attention from the government, police atrocities, hunger and accidental cases increased which resulted in the death of migrant workers.

The finding of the study proves that during the first phase of COVID-19 lockdown the death cases of migrant workers increased due to negligence by the governments. The number of death cases of migrant workers has been analysed through applying negligence theory which included duty, breach, cause, in fact, proximate cause and harm which increased the death cases. It has been noticed that the central government without any prior notice-imposed lockdown all over India, in which all the states were not received any guidelines or communication which indicate what they have to do or how to handle the Covid-19 situation.

To the best of the authors’ knowledge, this is an original work of researchers which is basically based on negligence theory.