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14 Dec 2021, 10:00 pm
Among other things, the proposal increases the Financial Industry Regulatory Authority’s ability to look into the activities of non-broker-dealers, including the potential for near-real-time access to a market participant’s entire portfolio holdings of securities. [read post]
14 Dec 2021, 10:00 pm
Among other things, the proposal increases the Financial Industry Regulatory Authority’s ability to look into the activities of non-broker-dealers, including the potential for near-real-time access to a market participant’s entire portfolio holdings of securities. [read post]
14 Dec 2021, 10:00 pm
Among other things, the proposal increases the Financial Industry Regulatory Authority’s ability to look into the activities of non-broker-dealers, including the potential for near-real-time access to a market participant’s entire portfolio holdings of securities. [read post]
14 Dec 2021, 10:00 pm
Among other things, the proposal increases the Financial Industry Regulatory Authority’s ability to look into the activities of non-broker-dealers, including the potential for near-real-time access to a market participant’s entire portfolio holdings of securities. [read post]
3 Mar 2015, 7:38 am
However, the customer’s account was never approved for options transactions. [read post]
24 Jan 2015, 6:00 am
Moreover, the Chancery Court improperly did so without finding that Nabors aided and abetted a fiduciary duty breach and based its holding only on disputed facts that were not adjudicated following a trial. [read post]
21 Feb 2017, 6:30 am
The Essay Mill: The essay mill serves as the middleman in this transaction. [read post]
27 Apr 2012, 4:56 am
Stronach (through a private holding company) received in the transaction. [read post]
20 Oct 2011, 6:18 pm
The Court appears to be holding United States v. [read post]
27 Jun 2010, 8:28 am
Gucci sued companies that process credit card transactions for 'replica' websites. [read post]
2 Jun 2022, 7:30 pm
Update on GWG Holdings Chapter 11 Bankruptcy Case According to a new filing this week, GWG Holdings, Inc. and the U.S. [read post]
6 Mar 2011, 8:59 am
Through the transaction, which closed on December 29, 2010, Behrman also acquired a hospice company, Hallmark Hospice, previously owned and operated by HMR. [read post]
25 Feb 2019, 7:43 am
Court of Appeals for the Fourth Circuit held that a tax payment agreement entered into pursuant to Virginia Code section 58.1-3018 was a consumer credit transaction subject to the federal Truth in Lending Act and Electronic Funds Transfer Act. [read post]
26 Jan 2017, 6:11 am
In Solera Stockholders Litigation (Jan. 5, 2017), a former stockholder of Solera Holdings, Inc. sought post-closing damages in connection with the acquisition of Solera by Vista Equity Partners, a private equity firm, in a $3.7 billion merger. [read post]
9 Nov 2022, 9:00 am
At its core, it is merely the “holding” of significant property documents (like the deed) and the down payment for a piece of property. [read post]
23 Feb 2024, 4:00 am
Yesterday, the SEC announced that it had adopted amendments to its ethics rules that govern the securities holdings and transactions of all agency employees, their spouses, and minor children. [read post]
26 Sep 2020, 1:59 am
Loofbourrow Associates, Inc., Craig Zabala was permanently barred by FINRA for his refusal to produce all documents and information requested by FINRA in connection with its review of Zabala’s outside business activities, and his alleged participation in private securities transactions. [read post]
26 Sep 2020, 1:59 am
Loofbourrow Associates, Inc., Craig Zabala was permanently barred by FINRA for his refusal to produce all documents and information requested by FINRA in connection with its review of Zabala’s outside business activities, and his alleged participation in private securities transactions. [read post]
15 Feb 2011, 6:33 am
Here, the IRA would hold the Note and receive payments on the Note from the IRA owner and spouse, who are disqualified persons with respect to the IRA. [read post]
20 Oct 2009, 8:04 am
As I noted a few weeks back, annual fees are a particularly pernicious form of term repricing by credit card issuers because they deter card-switching and the holding of multiple cards by consumers. [read post]
