FINRA REGULATION is an independent subsidiary of FINRA that regulates the activities of broker/dealers in the over-the-counter industry and the NASDAQ Stock Market. FINRA Regulation carries out its regulatory responsibilities through education, examinations, market surveillance, registration of securities personnel, advertising and underwriting reviews, disciplinary actions for rule violations, investigation of customer complaints, and forums to resolve disputes. FINRA Regulation also regulates the sale of mutual funds, direct participation programs, and variable annuities.
GIFTS-IN-KIND are non-cash gifts of tangible or intangible property. Tangible property can fall into two distinct categories, and its value is derived from its physical existence: 1. objects, such as equipment, software, automobiles, printed materials, etc.; or, 2. services, such as providing photography services. Intangible personal property is property whose value stems from intangible elements, e.g. patents and copyrights.
SBIC is Small Business Investment Company.
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