Search for: "Liquid Capital Exchange, Inc."
Results 121 - 140
of 372
Sorted by Relevance
|
Sort by Date
27 Jan 2020, 3:45 pm
FINRA intends to give particular focus on the impact of underwriting activities on firms’ capital compliance under the Net Capital Rule (Securities Exchange Act Rule 15c3-1). [read post]
19 Dec 2018, 12:41 pm
The fund plans to after five to seven years to engage in a liquidity transaction in which they will sell properties and distribute the net sales proceeds to investors, merge with another entity or list common units on a national securities exchange. [read post]
20 Oct 2011, 7:17 am
Well-known broker-dealer GunnAllen Financial Inc. closed in March 2010 after failing to meet FINRAand#39;s net-capital, and Okoboji Financial Services Inc., another big name, filed forms with FINRA to exit the business in July 2010. [read post]
9 Feb 2018, 5:06 am
Securities and Exchange Commission, on Wednesday, February 7, 2018 Tags: Blockchain, CFTC, Cryptocurrencies, Exchange Act, Financial technology, ICOs, Innovation, Investor protection, SEC, Securities enforcement, Securities fraud Cryptocurrency 2018 Posted by David E. [read post]
30 Sep 2013, 1:29 pm
The New York Stock Exchange suspended trading of Lone Pine’s common stock on September 16, 2013, and the Toronto Stock Exchange suspended trading on September 17, 2013. [read post]
1 Mar 2017, 9:30 am
Proof allowed in Heather Capital case. [read post]
3 Oct 2013, 7:10 am
According to the Caribbean News, this is the first of many legal actions expected to be filed in FINRA against UBS Financial Services, Inc. [read post]
21 Oct 2021, 6:35 am
The report also examined liquidity in GameStop. [read post]
1 Oct 2014, 6:26 am
Furthermore, all brokers must recommend the purchase, sale or exchange of securities that are reasonable given the customers investment objectives and risk tolerances. [read post]
6 May 2020, 10:41 am
American Realty Capital Healthcare Trust, Inc. [read post]
19 Feb 2021, 1:56 pm
One is Brenda Smith, who has been sued by the Securities and Exchange Commission for perpetrating multi-million-dollar Ponzi scheme. [read post]
16 Feb 2021, 12:42 pm
In recent years, the Securities and Exchange Commission (SEC) and FINRA have issued warnings and guidance on REITs, pointing to unreasonably and unfairly high commissions and fees, lack of transparency, and lack of liquidity. [read post]
1 Nov 2009, 5:08 am
The conditions for consummating the exchange offers were not met.Accordingly, CIT's Board of Directors approved the Company to proceed with the voluntary filings for CIT Group Inc. and CIT Group Funding Company of Delaware LLC with the U.S. [read post]
24 May 2012, 6:51 am
But most people, even corporate governance committees at financial exchanges conflate volume for liquidity-they are completely distinct. [read post]
17 Jun 2010, 5:27 am
The government alleges that Taylor Bean began experiencing liquidity problems in 2002. [read post]
18 Nov 2016, 1:00 am
Securities and Exchange Commission, on Tuesday, November 15, 2016 Tags: Accounting, Asset management, Capital formation, Compliance and disclosure interpretation, Cybersecurity, Derivatives, Dodd-Frank Act, FAST Act, Financial technology, Investor protection, JOBS Act, Misconduct, Oversight, Risk oversight, SEC, Securities enforcement, Securities regulation, Swaps, Whistleblowers Actual Share Repurchases, Price Efficiency, and the Information Content of Stock Prices Posted by… [read post]
7 Oct 2016, 6:01 am
Schwarcz, Duke University School of Law, on Tuesday, October 4, 2016 Tags: Banks, Capital markets, Credit risk, Credit supply, Debt securities, Financial crisis, Financial regulation, Housing market, Liquidity, Mortgage lending, Subprime securities, Systemic risk The Investors’ Exchange Posted by Kevin J. [read post]
22 Dec 2019, 9:17 am
Advisor David Miller (Miller), currently employed by PeachCap Securities, Inc. [read post]
16 Sep 2019, 6:18 am
In February 2013 Hyer was permitted to resign from Next Financial Group, Inc. [read post]
19 Apr 2013, 10:00 am
AngelList Advisors will provide initial capital needed in setting up the fund. [read post]
