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9 Oct 2018, 5:21 am by John Jascob
SEC Enforcement Co-Director Stephanie Avakian also signaled that the Division of Enforcement will likely soon begin recommending substantial penalties against ICO issuers that fail to comply with securities registration requirements. [read post]
9 Oct 2018, 5:02 am by MOTP
One of them involves a challenge to arbitration based on an arbitration agreement within a contingent-fee contract that does not comply with Government Code §82.065(a). [read post]
7 Oct 2018, 9:01 pm by News Desk
The warning says failure by Vinill Inc. to comply means Clostridium botulinum growth and toxin formation is reasonably likely to occur. [read post]
6 Oct 2018, 11:28 am by Badrinath Srinivasan
We had a guest post in this blog providing a descriptive comment on the decision of the two judge Bench in Union of India v Hardy Exploration & Production (India) Inc (2018: SCI)("Hardy I") referring the matter to a larger Bench of the Supreme Court. [read post]
6 Oct 2018, 6:04 am by Arina Shulga
For those businesses that offer money transmission services, their choice is to either comply with each state’s licensing procedures or to rely on one or more of the exemptions from being a money transmitter. [read post]
4 Oct 2018, 12:37 pm by Renae Lloyd
” “Brokerage firms are required to supervise their advisors to ensure that they are complying with FINRA rules. [read post]
3 Oct 2018, 3:23 pm by Limore Torbati
Google, Inc., 50 Cal.4th 512 (2010): The Legislature affirmed reliance on the “stray remarks” standard articulated in Reid. [read post]
2 Oct 2018, 7:25 am by Sam Brunson
Reams, Inc., Internal Revenue Acts of the United States: The Revenue Act of 1954 with Legislative Histories and Congressional Documents at 1574-78.) [read post]
2 Oct 2018, 6:56 am by Robert Brammer
The company that discovered the shipwreck in question in 2016, Global Marine Salvage, filed an in rem action titled, Global Marine Exploration, Inc. v. [read post]
2 Oct 2018, 5:44 am by Silver Law Group
According to FINRA Disciplinary actions for September 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Heath Bowen   Allegis Investment Services, LLC   Signator Financial Services, Inc   William Eaton   LPL Financial, LLC   Wells Fargo Advisors, LLC   Yosef Fox   Ditto Trade, Inc   Web Street… [read post]
27 Sep 2018, 12:12 pm by Phyllis H. Marcus and Perie Reiko Koyama
Although Cross Brands agreed during the course of the NAD proceedings to discontinue claims, it did not provide the NAD-required Advertiser’s Statement indicating its intent to comply. [read post]