Search for: "Richard Andrew Broker"
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21 Feb 2024, 4:47 am
” Richard C. [read post]
31 Jan 2024, 4:43 am
Andrew Gray reports for Reuters. [read post]
17 Jan 2024, 4:44 am
Andrew Solender reports for Axios. [read post]
22 Dec 2023, 4:39 am
Everyone is happy with the deal brokered by President Biden and House Speaker Kevin McCarthy. [read post]
11 Dec 2023, 10:19 am
Sources: SEC Chair Warns Against “AI Washing” By Kevin LaCroix in The D&O Diary SEC Chief Gensler Warns of AI ‘Herding Effect’ Leading to a Market Crash Proposed Rule: Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Fact Sheet SEC Proposal on Predictive Data Analytics Lacks Statutory Authorization by Andrew Vollmer SEC Probes Investment Advisers’… [read post]
6 Nov 2023, 4:44 am
Yusri Mohamed, Ahmed Mohamed Hassan, Simon Lewis,Aidan Lewis, Andrew Mills and Nafisa Eltahir report for Reuters. [read post]
2 Nov 2023, 9:05 pm
EDITOR’S CHOICE In an essay in The Regulatory Review, Richard J. [read post]
3 Oct 2023, 9:01 pm
July 5, 2023, settled) In the Matter of Andrew B. [read post]
18 Jul 2023, 9:01 pm
In finance, conflicts may arise to the extent that advisers or brokers are optimizing to place their interests ahead of their investors’ interests. [read post]
26 Apr 2023, 2:43 am
Andrew Higgins reports for the New York Times. [read post]
16 Apr 2023, 9:01 pm
First, the proposal would require certain entities in the government securities markets known as interdealer brokers (IDBs) to comply with Regulation ATS and Regulation Systems Compliance and Integrity. [read post]
17 Mar 2023, 4:00 am
Broker: George Santos. [read post]
25 Feb 2023, 6:50 pm
The critics and cheerleaders of Dr. [read post]
15 Feb 2023, 9:01 pm
The adoption will allow brokers to achieve these enhancements either through written agreements or through policies and procedures. [read post]
1 Aug 2022, 9:30 pm
Congratulations to Cynthia Nicoletti, Virginia Law, for winning the George and Ann Richards Prize for the best article published in the Journal of the Civil War Era in 2021. [read post]
8 Jun 2022, 3:36 am
Despite this, no deal has been brokered between the two nations on the matter. [read post]
3 Jun 2022, 8:59 am
These two brokers would then have to go to an ad exchange to facilitate the deal, bringing three different brokers into the mix. [read post]
18 Feb 2022, 3:00 am
National/Federal Arizona GOP Rep. [read post]
5 Nov 2021, 4:00 am
The very next minute, Burr’s brother-in-law, Gerald Fauth, called his broker. [read post]
9 Jul 2021, 4:00 am
National/Federal 6 Months After Capitol Assault, Corporate Pledges Fall Flat ABC News – David Klepper (Associated Press) | Published: 7/4/2021 After the insurrection at the U.S. [read post]
