Search for: "BROKER "
Results 301 - 320
of 42,337
Sort by Relevance
|
Sort by Date
8 Apr 2024, 3:10 am
For completeness, REMIT II defines OMPs as an energy exchange, an energy broker, an energy capacity platform or any other system of facility in which multiple third-party buying or selling interests in wholesale energy products interact in a manner that may result in a transaction. 5. [read post]
7 Apr 2024, 9:05 pm
If, for example, a registered securities firm, such as a broker-dealer, investment adviser, or investment company, uses a generic AI model, it is far likelier that the firm, not the model developer, would have an advantage in mitigating securities law risks—including through a dedicated compliance team. [read post]
7 Apr 2024, 7:44 pm
Additionally, the bill carries data security provisions, a section on “executive responsibility,” and a national data broker registry. [read post]
6 Apr 2024, 8:00 am
Figueroa and the government allege that Penta employees worked with a Chinese vendor to mislabel chemicals and submitted falsified documents to Penta’s customs brokers. [read post]
5 Apr 2024, 10:19 am
The post Marcus & Millichap brokers $4.5M sale of Elkton medical office building appeared first on Maryland Daily Record. [read post]
5 Apr 2024, 9:45 am
In the end, the agreement they brokered, which became known as the “Montana Accord,” had the support of many political parties and a stunningly broad array of leaders from religious, human rights, legal, and business organizations, unions, and other popular groups. [read post]
5 Apr 2024, 6:05 am
Under the terms of the agreement Johnson brokered, HJC and HPSCI would each have an opportunity to offer three amendments to RISAA, enabling the full House to decide whether and to what extent it wanted reforms. [read post]
4 Apr 2024, 1:31 pm
While insurance brokers play a valuable role in guiding clients through the process, policyholders may not be able to absolve themselves of this responsibility by relying on their broker. [read post]
4 Apr 2024, 10:23 am
The claim further alleges that the broker of record, Helen Caldwell of Citigroup Global Markets unsuitably invested her client in a risky movie production business. [read post]
4 Apr 2024, 10:15 am
Individual brokers can pursue buy-side commissions, but only off the MLS through negotiations. [read post]
4 Apr 2024, 10:13 am
” The SAFE Act would go a significant way towards closing the “data broker loophole” that the government has been exploiting. [read post]
4 Apr 2024, 8:57 am
., an introducing broker. [read post]
4 Apr 2024, 6:02 am
Notwithstanding the negative attention, OCA, through conversations after the SAB’s issuance, broadened its scope to cover all registered broker-dealers.Enforcement actions expand. [read post]
4 Apr 2024, 6:00 am
Policyholders purchase insurance policies as a safety net, promising financial protection in times of need. [read post]
4 Apr 2024, 5:51 am
Soon thereafter, on March 20, 2024, the House of Representatives unanimously passed a bill intended to prohibit “data brokers” from making available “sensitive data of a United States individual” to foreign adversary countries (China, Russia, Iran and North Korea). [read post]
4 Apr 2024, 4:00 am
Market centers and covered broker dealers have until November 2025 to revamp or implement their Rule 605 reporting systems. [read post]
4 Apr 2024, 3:00 am
During the implementation of the T+1 settlement cycle, the Exchange proposes that the ex-dividend dates will be as follows: Record Date Ex-Dividend Date May 24, 2024 May 23, 2024 May 28, 2024 May 24, 2024 May 29, 2024 May 29, 2024 A record date of Friday, May 24, 2024 would be a date prior to the effective date of the amendments to Rule 15c6-1(a) of the Act to… [read post]
3 Apr 2024, 9:05 pm
Root Martinez and Juricic observe that this more cavalier attitude among lawyers appears different from the attitudes of other professionals such as financial brokers, whose self-regulatory body is more willing to impose severe sanctions. [read post]
3 Apr 2024, 9:03 pm
It is driving broker-dealers to allocate significant capital to their crypto custody businesses or to avoid the business altogether. [read post]
3 Apr 2024, 1:48 pm
CoStar Group Wednesday recognized MacKenzie Commercial Real Estate Services LLC with its “Impact Award Lease of the Year” for brokering a 55,000-square-foot lease with North American Trade Schools (NATS) at Northwest Plaza in Baltimore. [read post]
