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29 Jul 2011, 6:00 am
The Securities and Exchange Commission (SEC) adopted a rule that imposes new identification requirements on traders in large amounts of securities in order to track their trading activity more efficiently. [read post]
16 Aug 2011, 7:36 am
Bloomberg is reporting that Jeffrey Gundlach, the embattled former bond trader from TCW heralded as "the Pope" by Wall Street's bond community, has testified under examination that he attempted to purchase TCW from its owners prior to being fired. [read post]
6 Oct 2014, 12:19 am
Commission for protection of consumers With the latest amendments to the Law on consumer protection was provided when a final decision of the Supreme Administrative Court confirmed an unfair commercial practice, users to have the right to terminate the contract with the trader concluded as a result of using this practice and to claim compensation in front the courts. [read post]
15 Nov 2018, 12:10 pm
” The two men, trader Vahid Mazloumin and one of his associates, were executed for spreading “corruption on earth,” a statute based in Islamic law and punishable by death. [read post]
20 Aug 2012, 9:02 am
The Iran List will assist in determining whether goods fall within no.2 above, and whether traders will need to contact the ECO and apply for a licence for specific exports. [read post]
20 Dec 2007, 3:59 am
The Street long ago rescued compliance officers and in-house lawyers from so-called "business" reporting lines, and for good reason: Try telling a trader who is also your boss that, sorry, her latest brilliant bonus-driving deal is off because you, the earnest lawyer, have spotted a wee regulatory iceberg on the horizon. [read post]
12 Mar 2024, 7:40 am
Responses are invited from a wide range of regulated businesses, including large firms, SMEs and sole traders. [read post]
7 Jun 2007, 3:15 am
As Daniel Fischel brilliantly explains in his book Payback: The Conspiracy to Destroy Michael Milken and his Financial Revolution (Harper-Collins 1995), Jones is a remarkable American success story -- a teenage runaway and high school dropout who worked her way up through the ranks of Drexel to become the top assistant to one of Drexel's most successful traders. [read post]
28 Sep 2011, 7:25 am
Furthermore, one of the whistle-blowers alleges that the rule currently relies on a type of OTC data that the CFTC is not authorized to collect by the large swaps trader reporting requirement passed earlier this year. [read post]
2 Nov 2018, 6:10 am
Specifically, this submission requests the Securities and Exchange Commission (“SEC” or “Commission”) to modify its rules, policies and guidelines to the extent that: When making a voting recommendation, the proxy advisor should be held to the standard of an information trader. [read post]
25 Dec 2016, 4:17 pm
Carroll, of Port Washington, New York, who served as Barclays’ head trader for subprime loan acquisitions. [read post]
25 May 2010, 2:02 pm
Trader Joe's was another big retailer affected by the Salmonella sprouts recall. [read post]
9 Jul 2007, 6:05 am
"We're recruiting, like other firms, some of their brokers and bond traders," he said. [read post]
23 May 2007, 8:12 am
The other problem is that farmers and traders in the Third World become behoven to an unwieldy bureaucracy to ensure they receive a 'fair price' for their goods when, in fact, many of these workers could flourish with simple free trade under the right political conditions. [read post]
17 Apr 2015, 3:25 pm
In its lead plaintiff briefing, the applicant argued that based on the Corrected Complaint, it was not an in-and-out trader and should be appointed. [read post]
7 Aug 2012, 10:14 am
Earlier this month, Denise Rich, the wealthy socialite, songwriter and former wife of pardoned billionaire trader Marc Rich, renounced her U.S. citizenship in order to expatriate from the United States and save money on taxes. [read post]
22 May 2012, 2:06 pm
Trader of Troop D. [read post]
4 Sep 2019, 10:45 am
There is speculation that traders may have been overcharged by their broker-dealers for shorting Beyond Meat. [read post]
19 Dec 2018, 6:01 am
First Derivative Traders, 564 U.S. 135 (2011). [read post]
25 May 2019, 7:29 am
For example, they can condition on the identity of the trader and are aware of the order flow before it hits the market. [read post]
