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7 Dec 2023, 7:11 am
While the SEC’s enforcement activities included actions against public companies, gatekeepers, cryto currencies and traders, and other securities issuers, many of the enforcement results focused on investment advisers and their associated industry. [read post]
15 Feb 2011, 12:32 pm
The applicant can expect the consular officer to request additional documentation, to make a determination about eligibility for a treaty trader or treaty investor visa. [read post]
15 Nov 2007, 6:02 am
FIASCO notes that U.S. governmental agencies were large issuers of structured notes, and attributes that to traders in insurance companies, pension funds, and others who were looking to hide what were, in effect, derivatives transactions within investment grade securities - a kind of regulatory arbitrage. [read post]
3 Aug 2017, 3:58 pm
Risk management the requirement to conduct stress testing on a daily basis with respect to each large trader who poses significant risk to a clearing member or the DCO. [read post]
4 Jun 2024, 10:12 pm
On November 29, GHGA recalled pre-cut cantaloupe products sold at Kroger, Sprouts Farmers Market, and Trader Joe’s. [read post]
29 Jan 2019, 3:00 am
Securities and Exchange Commission lawyers who took the stage at Washington’s Rock & Roll Hotel Thursday night have won accolades for suing Goldman Sachs Group Inc. and writing rules for Wall Street traders. [read post]
12 Oct 2010, 2:30 am
Where the trademark is a descriptive phrase “it is necessary for Complainant, in support of its prima facie case, to establish that this trademark has taken on a secondary meaning, denoting goods or services of a particular trader,” Simple Truths, LLC v. [read post]
10 Sep 2009, 4:00 am
But there were traders, funds, investment banks, and other investors who thought something was not right with Madoff. [read post]
15 Jun 2011, 4:35 am
First Derivative Traders, which held that a mutual fund investment adviser cannot be held liable for misstatements in the fund’s prospectuses because it did not “make” the misstatements. [read post]
10 Dec 2018, 4:11 am
First Derivative Traders – at the time. [read post]
16 Jun 2020, 3:15 am
If “Davey the Day Trader” & the gang are willing to sign up to buy stock that the company is basically telling them is worthless, then maybe instead of South Park, I ought to cite 1920s speakeasy impresario Texas Guinan, who famously welcomed her customers by exclaiming, “Hello suckers! [read post]
14 May 2012, 8:35 am
Take his address “The Changling” delivered on March 14 to a Futures Industry Association panel, where he set up a discussion of cheetahs, or high frequency traders, and securitization or equitization of the futures markets, like this: “It is sort of like that old episode of Star Trek, ‘The Changeling’” where the crew of the Enterprise encounters a space probe called Nomad that was designed to explore the galaxy. [read post]
3 Dec 2012, 9:30 pm
-based traders that their actions were illegal. [read post]
16 Apr 2010, 7:37 am
The Supreme Court rejected this contention, holding that s. 145 “recognizes the rights of a trader to adopt either the cash system or the mercantile system of accounting”, and further noted that “[a]ccounts regularly maintained in the course of business are to be taken as correct unless there are strong and sufficient reasons to indicate that they are unreliable. [read post]
3 Jan 2022, 5:01 pm
E Visa Fees to Increase to $485 USD Further, the Department also seeks to increase the E category NIV fee from $205 USD to $485 USD impacting the E category for traders, investors, and their employees who are in executive and supervisory positions, as well as those who possess skills essential to the firm’s operations from countries that have a qualifying treaty of commerce and navigation with the United States. [read post]
26 Sep 2008, 4:53 pm
While this decision strikes a definitive blow to the RIAA's campaign to sue illegal file-traders for copyright infringement, there are still plenty of other cases pending on similar issues. [read post]
3 Dec 2010, 2:54 am
This means that no other traders can use the term for chestnuts -- even if they come from the chestnut's catchment area -- if their products do not comply with the specification for the use of that term. [read post]
17 Dec 2008, 9:45 am
According to the article and the manager"I found him stylistically like a lot of traders: fast-talking, distractable, not remarkable," Hedges says of Madoff. [read post]
29 Apr 2011, 9:57 am
He said many of their cases, typical single trader or bad actor doing bad things, are those that no one else is covering. [read post]
11 May 2012, 2:57 pm
An informal complaint backed by the threat of litigation and administrative investigations was lodged with Charles Schwab by the lawyer for a blind day trader. [read post]
