Search for: "E*Trade Financial Corporation"
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23 Aug 2011, 8:55 am
The SEC staff, upon reviewing the Form 10-K filed by Northern Trust Corporation, inquired whether foreign currency trading services provided by the bank to customers amounted to proprietary trading under the Volcker rule. [read post]
24 Jan 2011, 5:04 pm
Of course, there also will be no shortage of opportunities for financial services industry trade associations to weigh-in on issues of importance to their memberships. [read post]
19 Nov 2010, 1:13 pm
Richard E. [read post]
22 Jul 2013, 12:57 pm
., Corporate Social Responsibility and Corporate Governance: The Contribution of Economic Theory and Related Disciplines (Houndmills: Palgrave Macmillan, 2011). [read post]
26 May 2010, 1:10 pm
The Colon Free Zone was formed in 1948 with 10 companies in 38 hectares, after a 1946 feasibility study was made by U.S. free trade zone consultant Thomas E. [read post]
18 Jan 2013, 2:03 pm
In a complaint filed in April 2006, the SEC alleged that the defendants manipulated the stock of Sedona Corporation and violated record-keeping rules by falsely creating trade tickets. [read post]
29 Dec 2023, 10:56 am
Treasury Department’s Financial Crimes Enforcement Network (FinCEN). [read post]
18 Jun 2019, 6:42 am
For example, the court explained that the company involved did not comply with required corporate formalities such as minutes of board meetings and that it often conducted corporate business informally, including over email, regarding the issues subject to the Section 220 demand. [read post]
11 Jan 2017, 6:21 am
In concluding, Chairman Massad reflected, “[w]e are unlikely to predict what will cause the next financial crisis. [read post]
16 Aug 2017, 12:35 pm
Sansone, Erin E. [read post]
16 Jan 2009, 1:40 pm
(2) Self-dealing by corporate insiders, including: (a) Insider trading; (b) Kickbacks; (c) Backdating of executive stock options; (d) Misuse of corporate property for personal gain; and, (e) Individual tax violations related to self-dealing [read post]
15 Oct 2020, 11:00 am
Note that the form of the business being acquired or sold is irrelevant; the term “significant subsidiary” applies whether the business is a corporation, partnership, limited liability company, or otherwise, and applies even if what is being acquired or sold is just a group of assets. [read post]
10 Nov 2015, 4:28 pm
In a series of recent opinions written by Chief Justice Leo E. [read post]
25 Feb 2009, 7:08 am
The long term opportunities in e-discovery and litigation support will accelerate as the likelihood of lawsuits resulting from the economic fallout increases. [read post]
20 Aug 2023, 4:04 pm
ASIC issues first DDO stop order for failure to take reasonable steps in CFD distribution On 2 June 2023 ASIC made an interim stop order preventing a fund manager from opening trading accounts or dealing in contracts for difference (CFDs) or margin foreign exchange contracts (margin FX) to retail investors. [read post]
14 Nov 2017, 10:56 pm
Does the e-mail system scan attachments to detect malware? [read post]
17 Sep 2023, 6:30 am
For the avoidance of doubt, the CSRD does not apply to securities listed on EU multilateral trading facilities; and Non-EU companies with: (a) an annual net turnover at the consolidated or individual level in the EU exceeding EUR 150 million for each of the last two consecutive financial years; and (b) which have a qualifying EU subsidiary or a branch in the EU that generated an annual net turnover in excess of EUR 40 million in the preceding financial year (the “EU… [read post]
17 Sep 2023, 6:30 am
For the avoidance of doubt, the CSRD does not apply to securities listed on EU multilateral trading facilities; and Non-EU companies with: (a) an annual net turnover at the consolidated or individual level in the EU exceeding EUR 150 million for each of the last two consecutive financial years; and (b) which have a qualifying EU subsidiary or a branch in the EU that generated an annual net turnover in excess of EUR 40 million in the preceding financial year (the “EU… [read post]
4 Nov 2021, 6:08 am
Bebchuk and Roberto Tallarita; For Whom Corporate Leaders Bargain by Lucian A. [read post]
12 Feb 2012, 3:17 am
All this talk about capital for workers is irrelevant to those secondary market trades. [read post]
