Search for: "BROKER "
Results 501 - 520
of 42,364
Sort by Relevance
|
Sort by Date
26 Feb 2024, 9:01 pm
For the moment, these affirmative “CIP” program requirements will remain applicable only to more highly regulated institutions like banks and broker-dealers, as well as under the laws of certain non-U.S. jurisdictions, although FinCEN anticipates future rulemaking by the end of 2024 to enhance these requirements. [read post]
26 Feb 2024, 1:03 pm
The Lutherville-based group received top honors for the execution of three commercial office leases, two industrial […] The post MacKenzie Commercial Real Estate Services wins 7 Costar Power Broker awards appeared first on Maryland Daily Record. [read post]
25 Feb 2024, 6:45 am
Reports & short pieces:Consolidating Group-Based Refugee Protection (Verfassungsblog, Feb. 2024) [text]Gender and Forced Displacement in Cities (World Bank, Oct. 2023) [text]- See also related guidance note and blog post.Journal articles:"Between tradition and change: Impact of displacement on gender norm perceptions among Rohingya refugees in Nepal," Women's Studies International Forum, vol. 103 (March-April 2024) [open access]"Cultural–legal brokering… [read post]
25 Feb 2024, 3:57 am
Enlarge (credit: Mongkol Chuewong, GettyImages) In 2021, a company specializing in collecting and selling location data called Near bragged that it was “The World’s Largest Dataset of People’s Behavior in the Real-World,” with data representing “1.6B people across 44 countries. [read post]
24 Feb 2024, 8:29 am
Ghacham Inc. submitted the customs invoices to CBP and customs brokers to fraudulently reduce the tariffs owed on the imports, while it maintained the true invoices in its accounting records. [read post]
23 Feb 2024, 11:55 am
FINRA’s Brokercheck report does require firms to disclose settlements with advisors/firms, but the details are often extremely general, and one has to look up the broker directly to find the disclosures. [read post]
23 Feb 2024, 11:19 am
The post Investment News: Ex-Triad Broker’s Company Loses Judgment appeared first on The White Law Group. [read post]
23 Feb 2024, 11:06 am
The post Broker Gary Chang Allegedly Misappropriated Customer Funds appeared first on The White Law Group. [read post]
23 Feb 2024, 9:57 am
., accountant, attorney, financial adviser, insurance broker) Step 2. [read post]
23 Feb 2024, 4:00 am
Prohibitions Against Financial Industry Sector Funds While the Commission has long prohibited employees from investing in stocks of entities directly regulated by the Commission, such as broker-dealers and investment advisers, the rule amendments expand the prohibited holdings restrictions to ban employees from investing in financial industry sector funds, as employee ownership of financial industry sector funds poses similar risks of conflicts of interest and appearance concerns. [read post]
23 Feb 2024, 12:15 am
Currently, it is a months long process to obtain a lenders or brokers license under the CFL. [read post]
23 Feb 2024, 12:01 am
Broker Due Diligence Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:19 am
Examples provided include cryptocurrency businesses, politicians, jewellers and yacht brokers, who are seen as problematic for banks for different reasons. [read post]
22 Feb 2024, 10:17 am
FINRA has recently proposed changes to its Rule 3240, which allows for scenarios where brokers can borrow from or lend to their clients. [read post]
