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17 Jun 2016, 1:44 pm
Marvin Ginn Corp. v Int’l Association of Fire Chiefs Inc., 782 F.2d 987 (Fed. [read post]
30 Nov 2023, 2:02 pm
Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
9 May 2013, 8:21 am
Nonexclusive license to republish granted to Solutions Law Press, Inc. [read post]
2 Jun 2010, 5:23 pm
Please email us if you would like us to add your event to this list. **** June 1 Sponsor: WBR (World Business Research) Event: TradeTech India 2010 Location: Mumbai, India June 1 Sponsor: Infovest 21 Event: Preparing for Impending Regulatory Changes Location: New York, New York June 2 Sponsor: FTF (Financial Technologies Forum, LLC) Event: Understanding Portfolio Management & Trading Location: New York, New York June 2 Sponsor: HedgeWorld Event: CTA 2010: Managed… [read post]
20 Jan 2020, 3:55 pm
§ 100.18(1) provides:No person, firm, corporation or association, or agent or employee thereof, with intent to sell, distribute, increase the consumption of or in any wise dispose of any real estate, merchandise, securities, employment, service, or anything offered by such person, firm, corporation or association, or agent or employee thereof, directly or indirectly, to the public for sale, hire, use or other distribution, or with intent to induce the public… [read post]
30 Aug 2011, 7:19 pm
An FBI agent posed as an Israeli agent in September 2007 and arranged to use a “dead drop” location to exchange information with Doxer to avoid detection. [read post]
22 Feb 2012, 8:56 am
Ms Wong set out (at [80]) that Article I, Section 8, Clause 8 of the US Constitution defined the purpose of copyright: 'To promote the Progress of Science and useful Arts, by securing for limited Times to Authors and Inventors the exclusive Right to their respective Writings and Discoveries'. [read post]
29 Oct 2021, 9:01 am
It has jurisdiction over laws affecting banks, credit unions, savings associations, securities firms, insurance companies and other entities that participate in the country’s financial system. . . . [read post]
29 Oct 2021, 9:01 am
It has jurisdiction over laws affecting banks, credit unions, savings associations, securities firms, insurance companies and other entities that participate in the country’s financial system. . . . [read post]
3 Apr 2013, 12:47 pm
Essentially, though, FINRA Rule 2111 requires that a broker-dealer or associated person “have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the [firm] or associated person to ascertain the customer’s investment profile. [read post]
8 Aug 2012, 7:21 am
Expansion of HIPAA Responsibilities & Liabilities To Business Associates & What Covered Entities & Business Associates Should Do In Response ? [read post]
11 Feb 2007, 12:00 pm
He also authored "The Guide to Background Checks" which he developed for the Illinois Association of Chiefs of Police and is available for download from his web-site at www.integrasecuirty.org. [read post]
15 Dec 2017, 7:38 am
(See generally 1-800 Contacts, Inc. v. [read post]
30 Apr 2024, 9:40 am
About Solutions Laws Press, Inc. [read post]
15 Apr 2022, 6:46 am
GWG Holdings Inc. [read post]
6 Jan 2015, 6:00 am
In re Pharmatrak, Inc. [read post]
8 May 2012, 10:55 am
Private funds should continue to rely on the guidance provided in the Clover Capital Management, Inc. [read post]
18 Apr 2024, 9:01 pm
And it is incumbent on each of us to make sure it does not come to pass and that investors are not harmed by noncompliance with the securities laws when it comes to this new technology. [read post]
18 Mar 2020, 12:36 pm
Email the Roundup Team noteworthy law and security-related articles to include, and follow us on Twitter and Facebook for additional commentary on these issues. [read post]
12 Nov 2013, 7:39 pm
In association with Bloomberg Law [read post]
