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28 Oct 2012, 2:52 pm
Each local law enforcement agency shall forward copies of records received by it to the law enforcement agency having jurisdiction in the area in which the buyer or trader resides. (8) In the case of flea markets and similar facilities in which secondhand property is offered for sale or trade, the operator thereof shall inform each secondhand dealer of the requirements of this section and shall provide the forms for recording the information required by subsection (2) of this section. [read post]
16 Dec 2010, 8:03 am
The trader here locates the source of risk in the only institution that could credibly get the economy out of a severe rut, or (more importantly) avoid the rut in the first place. [read post]
17 Jan 2022, 8:04 am
Judge Pregerson reasoned that the traders had purchased the Toshiba common stock in Japan specifically for the plaintiffs’ ADR transaction; had there been no ADR transaction, the traders would not have advanced monies to acquire the common stock shares. [read post]
9 Jun 2009, 1:25 pm
To fully achieve these objectives, both of these complementary regimes must be enacted - Regulating both the traders and the trades will ensure that we cover both the actors and the actions that may create significant risks. [read post]
21 Mar 2016, 10:10 am
The Draft Amendment defines market confusion as “misunderstanding by the general public of product manufacturers, traders or a particular relationship linked to product manufacturers or traders. [read post]
15 Dec 2010, 6:57 pm
The trader here locates the source of risk in the only institution that could credibly get the economy out of a severe rut, or (more importantly) avoid the rut in the first place.MacKenzie's trader's nightmare scenario of a Marxist government is not nearly as plausible as the doomsday on the horizon of leading novelists, historians, environmentalists, and geologists. [read post]
1 Sep 2010, 10:28 am
Free traders and US trade policy in general. [read post]
29 Nov 2009, 6:12 pm
High volume traders use flash orders.[37] These traders use expensive programs that display quotes milliseconds before it reaches the public sphere. [38] Is it unfair for these high volume investors to gain an advantage to these first in time quote displays? [read post]
8 May 2012, 5:58 pm
The SEC echoed similar factors in the adopting release, although focused its analysis on the “dealer-trader distinction” discussed in greater detail under Making a Market in Step 4 of this guide. [read post]
28 Oct 2012, 2:52 pm
Each local law enforcement agency shall forward copies of records received by it to the law enforcement agency having jurisdiction in the area in which the buyer or trader resides. (8) In the case of flea markets and similar facilities in which secondhand property is offered for sale or trade, the operator thereof shall inform each secondhand dealer of the requirements of this section and shall provide the forms for recording the information required by subsection (2) of this section. [read post]
13 Oct 2024, 9:01 pm
On September 17, 2024, the Securities and Exchange Commission (the “SEC” or the “Commission”) announced the settlement of administrative cease-and-desist orders with 11 institutional investment managers for failures to timely report securities holdings required on Form 13F, as required by Exchange Act Section 13(f) and Rule 13f-1.[1] Two of the managers were also charged with failing to file as “large traders” on Form 13H, as required by Exchange Act… [read post]
5 May 2022, 10:25 am
He “exposed a scheme in which a major currency trader and several banks in multiple countries colluded to lower the values of the U.S. dollar and the British sterling pound for their own financial gain,” prior WNN reporting states. [read post]
21 Jan 2014, 9:20 pm
Dan Bane, Chairman and CEO, Trader Joe’s31. [read post]
17 Dec 2010, 5:00 am
The WSJ noted that the cuts would: affect traders, back-office staff and other major employee groups, though unusually strong performers in equity capital markets and investment banking could be spared. [read post]
26 Mar 2023, 8:28 pm
In response to this investigation, Scenic Fruit Company of Gresham, Oregon voluntarily recalled frozen organic strawberries, sold to Costco, Trader Joe’s, Aldi, KeHE, Vital Choice Seafood, and PCC Community Markets in certain states. [read post]
31 Oct 2012, 6:59 am
This year, however, I spent a good chunk of the presentation discussing the ongoing criminal trial of Kweku Adoboli, the alleged UBS rogue trader accused last year of losing $2.3 billion. [read post]
8 Jul 2009, 10:03 pm
On June 18th, four members of WOZA were viciously beaten by police during a protest to call attention to the plight of informal traders struggling to make a living in Zimbabwe. [read post]
1 Sep 2008, 10:52 pm
With electronic trading, the location of the trader is operationally irrelevant and so is the location of the exchange. [read post]
21 Jun 2011, 2:54 pm
“[T]he Commission has opened an investigation and has authorized the use of compulsory process to determine whether certain oil producers, refiners, transporters, marketers, physical or financial traders, or others (1) have engaged or are engaging in practices that have lessened or may lessen competition—or have engaged or are engaging in manipulation—in the production, refining, transportation, distribution, or wholesale supply of crude oil or petroleum products; or (2)… [read post]
18 Jan 2024, 8:37 am
Other sectors concerned by customer due diligence and reporting obligations will be traders of luxury goods, as well as professional football clubs and agents. [read post]
