Search results

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 Among other changes, it eliminates several registration categories that either have become outdated or have limited utility, permits persons not yet associated with a broker-dealer or employed in the securities industry to take a preliminary registration exam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.

This paper aims to propose a robust method for non-rigid point set registration, using the Gaussian mixture model and accommodating non-rigid transformations. The posterior probabilities of the mixture model are determined through the proposed integrated feature divergence.

The method involves an alternating two-step framework, comprising correspondence estimation and subsequent transformation updating. For correspondence estimation, integrated feature divergences including both global and local features, are coupled with deterministic annealing to address the non-convexity problem of registration. For transformation updating, the expectation-maximization iteration scheme is introduced to iteratively refine correspondence and transformation estimation until convergence.

The experiments confirm that the proposed registration approach exhibits remarkable robustness on deformation, noise, outliers and occlusion for both 2D and 3D point clouds. Furthermore, the proposed method outperforms existing analogous algorithms in terms of time complexity. Application of stabilizing and securing intermodal containers loaded on ships is performed. The results demonstrate that the proposed registration framework exhibits excellent adaptability for real-scan point clouds, and achieves comparatively superior alignments in a shorter time.

The integrated feature divergence, involving both global and local information of points, is proven to be an effective indicator for measuring the reliability of point correspondences. This inclusion prevents premature convergence, resulting in more robust registration results for our proposed method. Simultaneously, the total operating time is reduced due to a lower number of iterations.

This chapter provides an overview of five modes of intellectual property (IP) protection – patents, designs, copyrights, trademarks, and trade secrets – available in the United States, the European Union, and Japan. After describing the purposes of and principal differences among the five types of IP protection and outlining the advantages of each form, the chapter provides country- and region-specific information. The authors highlight the aspects of IP law in which international harmonization has, or has not yet, occurred, and offer insights into the relative advantages of various national and regional IP protection systems.

Paramedics became nationally registered in 2018 in Australia. Prior to this, there was no central regulation of the profession with reliance on organisational regulation through employers. As paramedics expanded their scope, role and range of employers, especially outside statutory agencies, there was increasing need to engage in professional regulation. Regulation is more than a legal and bureaucratic framework. The purpose of the paper states that the way paramedics interact with their new regulatory environment impacts and is influenced by the professionalisation of the discipline. Regulation also redefines their positionality within the profession.

Two mixed-method surveys were undertaken. A pre-registration survey occurred in the month prior to regulation commencing (N = 419) followed by the second survey 31 months later (N = 407). This paper reports the analysis of qualitative data from the post-registration survey and provides comparison to the pre-registration survey which has been previously reported. Analysis was undertaken using interpretive phenomenological analysis (IPA).

Themes from the pre-registration survey continued however became more nuanced. Participants broadly supported registration and saw it as empowering to the profession. Some supported registration but were disappointed by its outcome, others rejected registration and saw it as divisive and oppressive.

Paramedics are beginning to come to terms with increasing professionalisation, of which regulation is one component. Changes can be seen in professional identity and engagement with professional practice; however, this is nascent and is deserving of additional research to track the profession as it continues to evolve.

This chapter provides an overview of the five main modes of intellectual property (IP) protection – patents, copyrights, trademarks, trade secrets, and designs – available in the United States, the European Union, and Japan. After describing the purposes of and principal differences among the five types of IP protection and outlining the advantages of each form, the chapter provides country- and region-specific information. The authors highlight the aspects of IP law in which international harmonization has, or has not yet, occurred, and offer insights into the relative advantages of various national and regional IP protection systems.

Since 2018, Australian paramedics have been regulated under the National Registration and Accreditation Scheme (NRAS) for health practitioners. Established professions have been regulated in Australia for some time, so there is limited knowledge of their entry to regulation. However, as paramedicine has not been previously centrally regulated, this provides a unique case study to explore the transition to regulated practice.

Australian paramedics undertook two surveys: pre- and post-introduction of registration. The first survey was in the month leading up to the commencement of registration (N = 419), and the second survey took place 31 months after registration (N = 407). This paper presents the results of statistical analyses of the post-registration survey including comparisons to the pre-registration survey.

Although support for regulation has increased over time, there remains strong dissent consistent with 2018 levels. After 31 months of regulation, respondents reported increasing knowledge of the scheme and greater ease of navigation. The impacts of regulation are more nuanced and less polarised than in the first survey. Identity is again canvassed, and results suggest a shift from employment status and qualifications as key elements of identity to a community of practice and registration.

Paramedics' experiences and understanding of the rationale for registration are developing. Further support is needed to assist with the emerging professional identity and behaviours. Regulation is one of many occupational factors influencing professional identity and professionalism. Exploring the experience of regulation potentially assists regulators in better supporting practitioners and helps better understand professional evolution.

The purpose of this paper is to explore the factors that influence migrant workers' household registration transfer willingness at both individual and urban levels and to provide empirical evidence on adjusting the household registration system to accommodate economic development and migrant workers' imbalances.

This paper adopts a hierarchical nonlinear model and examines individual and urban influencing factors of migrant workers' household registration transfer willingness, based on the data from China Migrants Dynamic Survey (CMDS) and the Urban Statistical Yearbooks.

This paper shows that: (1) multi-factors, such as age, education, marital status, household demographics, industry and migrant workers' contract coverage, have significant effects on migrant workers' household registration transfer willingness; (2) The urban public service equalization indicators, such as regional economic, educational resources, medical care and ecological quality, have significant effects on migrant workers' willingness to transfer household registration; (3) The heterogeneity of migrant workers' willingness to transfer household registration is significant in central, eastern and western China.

The authors provide a fresh perspective on population migration research in China and other countries worldwide based on the pull–push migration theory, which incorporates both individual and macro (urban) factors, enabling a comprehensive examination of the factors influencing household registration transfer willingness. This hierarchical ideology and approach (hierarchical nonlinear model) could be extended to investigate the influencing factors of various other human intentions and behaviors.

Micro approaches (individual perspective) have dominated existing studies examining the factors influencing migrant workers' household registration transfer willingness. The authors combine individual and urban perspectives and adopt a more comprehensive hierarchical nonlinear model to extend the empirical evidence and provide theoretical explanations for the above issues.

Large size of aircraft assembly tooling structure and complex measurement environment exist. The laid enhanced reference points (ERS) are subject to a combination of nonuniform temperature fields and measurement errors, resulting in increased measurement registration errors. In view of the nonuniform temperature field and measurement errors affecting the ERS point registration problem, the purpose of this paper is to propose a neural network-based ERS point registration compensation method for large-size measurement fields under a nonuniform temperature field.

The approach is to collect ERS point information and temperature data, normalize the collected data to complete the data structure design and complete the construction of the neural network prediction model by data training. The data learning is performed to complete the prediction model construction, and the prediction model is used to complete the compensation analysis of ERS points. Finally, the algorithm is verified through experiments and engineering practice.

Experimental results show that the proposed neural network-based ERS point prediction and compensation method for nonuniform temperature fields effectively predicts ERS point deformation under nonuniform temperature fields compared with the conventional method. After the compensation analysis, the registration error is effectively reduced to improve registration accuracy. Reducing the combined effect of environmental nonuniform temperature field and measurement error has apparent advantages.

The method reduces the registration error caused by combining a nonuniform temperature field and measurement error. It can be used for aircraft assembly site prediction and registration error compensation analysis, which is essential to improve measurement accuracy further.

There is a long-standing debate about the relationship between land title registration and tenure security. Studies in the developing world point to a tenuous link between land registration and stable land tenure. The reason why people continue to register therefore becomes a mystery if tenure security is not entirely assured. This article focuses on the increase in property value as one such factor that induces title registration. Previous studies have quantified the economic impact of title registration on property values. However, the impact varies from city or country to another. The authors seek to investigate the extent of property value increment in Accra attributable to land title registration.

The authors statistically analyzed a data set from two institutions (First National Bank and the Lands Commission) in Ghana using a quantitative technique.

The authors discovered that, holding all other factors constant, the value of the land in Accra increases by 22.6% due to land title registration. This shows that lessees must register to enhance property values, even though the essential due diligence must be done to make sure the acquisition is free from liens and legal disputes.

This article highlights the implication of the findings for land administration as well as the practice of property valuation, development and brokerage in Ghana and Global South more broadly.

This is one of the first studies in Ghana to investigate the specific premium that housing markets put on land title registration.

A region can be registered as a geographical indication (GI) when its human or natural characteristics influence product attributes. However, GI registration is a complex process that can lead applicants to conflicts and resource waste. Since metabolomics can support product typicality, it can be an effective tool to evidence the place-product link, essential for GI registration. With the aim of increasing GI registration efficiency, this research aimed to map the Brazilian GI registration process from end to end, using business process model and notation (BPMN), and evaluate the application of metabolomics techniques as facilitator.

A qualitative exploratory study was proposed, with the Brazilian GI registration process as unit of analysis. Primary data was obtained through twelve in-depth interviews with GI producers, members of supporting institutions and metabolomics experts. Based on the collected data, the complete GI registration map was designed with bpmn.io software.

Results provided a clear view of the GI registration process. Interviewees considered the selection of the appropriate GI category, the establishment of GI common rules, product specification and the confirmation of the place-product link as the most demanding requirements. Since the last two involve specifying the influence of the origin on products, the use of metabolomics was suggested as a powerful tool to complete these stages.

The theoretical contribution is provided by the interweave of the three scientific fields mentioned (GI, business process management (BPM) and metabolomics) to contribute to the still small body of literature on GI-related processes. Additionally, other theoretical contributions are the presentation of a GI registration map associated to the use of “omics” techniques as process facilitator.

The practical contribution of this work is the establishment of an end-to-end view of the entire GI registration process, which makes easier for applicants to engage, plan resources and achieve the GI label. Furthermore, metabolomics acts as a facilitator since its data can be used for different purposes on the way to GI registration.

Results can be used to facilitate GI registration, reducing resources demanded from applicants. GI labels provide product protection, better selling prices and competitive advantages for producers, which are positive outcomes in countries with a commodity-based economy like Brazil.

The originality of the study lies in the approach used to map the GI registration process, as well as the suggestion of metabolomics as facilitator in some of its stages.