Search for: "IMS Securities"
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18 Feb 2008, 9:00 pm
Here are the brief facts as reported in the New York Times:"[T]he evidence indicates that on Oct. 17, 2007, someone hacked into a computer system that had information on an earnings announcement to be made by IMS Health a few hours later.Minutes after the breach of computer security, Mr. [read post]
6 Nov 2013, 7:42 am
By recommending unsuitable transactions, FINRA found that French violated NASD Rules 2310 and IM- 2310-2 and FINRA Rule 2010. [read post]
25 Apr 2011, 11:09 am
A copy of any IM delivered to a prospective purchaser will need to be delivered to the securities regulatory authority and posted on a website within 10 days after a distribution under the IM. [read post]
20 Sep 2018, 12:46 pm
SEC also found that by way of Ottimo’s Form U4 being misleading and inaccurate, he violated FINRA Rules 1122 and NASD IM-1000-1. [read post]
19 Apr 2021, 3:00 pm
In connection with Securities and Exchange Commission’s new Marketing Rule, I’m expecting the SEC to withdraw a bunch of the no-action letters that address advertising by registered investment advisers. [read post]
20 Nov 2007, 2:31 am
Every site they visit, every IM message they send, every file they download and more. [read post]
15 Sep 2015, 1:45 pm
Caillier without a complete IME of the plaintiff. [read post]
16 Jul 2015, 9:55 am
At IMS, we spend a lot of time creating professional identities for our clients. [read post]
11 Sep 2007, 9:47 pm
"Two and a half years ago more than half of our customers were financial, energy and healthcare organisations that had laws requiring them to log these conversations," said Frank Cabri, vice president of marketing at IM security firm Facetime. [read post]
23 Jan 2018, 7:15 am
The FINRA rules have several provisions pertaining to fraud including IM-2310-2 (covering churning, false accounts, unauthorized trading, and misuse of customer funds) and Rule 2210 (covering communications with the public). [read post]
11 Jun 2009, 7:42 am
Heute hat das Center for Security Studies (CSS) der ETH Zürich seinen Schlussbericht zur Ãâ [read post]
21 Oct 2011, 2:03 pm
Simoneand#39;s conduct violated National Association of Securities Dealers Conduct Rule 2110 and IM-1000-1 for Willful Failure to Disclose Material Information on a Form U4, and FINRA Rule 2010 on Standards of Commercial Honor and Principles of Trade. [read post]
23 Dec 2013, 1:55 pm
Coates recently published this post accusing the Securities and Exchange Commission of making policy and political mistakes in taking... [[ This is a content summary only. [read post]
18 Feb 2010, 3:49 pm
Yesterday, while I was teaching National Security Law, I kept noticing how the thin strip of window on the top of the back classroom wall was full of a rich blue sky.It was quite distracting. [read post]
14 Nov 2007, 8:00 am
" [29] Authentication of any information to be used in court is key, and IMs pose a very serious identification challenge. [30] This kind of problem may be counteracted by enacting stringent security standards for logging into IM programs, such as highly complicated passwords. [read post]
23 Feb 2012, 10:28 am
While hundreds of students sweltered in a long snaking line waiting patiently and by all appearances cheerfully to clear security, the press go round the side and have their own dedicated friskers. [read post]
30 Mar 2014, 10:00 pm
Viele deutsche Unternehmen beschäftigen sich im Rahmen der geplanten Gründung einer US-Tochtergesellschaft mit der Frage, welches Haftungsrisiko sie als Gesellschafter mit dieser Beteiligung eingehen. [read post]
5 Aug 2013, 5:00 am
References: Privately Offered Securities under the Investment Advisers Act Custody Rule (.pdf) IM Guidance Update No. 2013-04 Release No. [read post]
26 Oct 2018, 7:27 am
Morgan Securities LLC Bustamante Family Legacy LLC Daniel Flores Woodbury Financial Services, Inc Princor Financial Services Corporation Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Associates, Inc Joshua Krize Wells Fargo Clearing Services, LLC Country Capital Management Company Francine Lanaia Windsor Street Capital, LP Meyers Associates LP Scott Miozzi … [read post]
29 Jan 2019, 9:52 am
So yes, I’m all for increased border security where we need it. [read post]
