Search for: "National Association Of Securities Dealers, Inc."
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8 Jun 2017, 11:56 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
15 Mar 2022, 10:35 am
The SEC issued four opinions on appeals from FINRA’s National Adjudicatory Council (NAC). [read post]
1 Dec 2011, 1:58 pm
Established in 2007, FINRA is the result of a merger of two sets of self-regulatory organizations, the New York Stock Exchange's enforcement arm and the National Association of Securities Dealers. [read post]
20 Jun 2023, 8:17 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
14 Feb 2017, 10:36 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
26 May 2017, 6:59 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
5 Apr 2007, 5:31 am
These kinds of concerns are taking on a new importance in the wake of the upcoming consolidation of the NYSE Group Inc.'s New York Stock Exchange and the National Association of Securities Dealers. [read post]
30 Jan 2019, 3:23 pm
If a platform meets the definition of an “exchange” under the federal securities laws, it must register as a “national securities exchange” or operate under an exemption, such as the one available in Regulation ATS requiring registration as a broker-dealer. [read post]
16 May 2011, 9:47 am
Neither Gilliams nor his firm are registered with the Financial Industry Regulatory Authority or the National Futures Association. [read post]
31 Jan 2007, 6:11 am
Jan. 22, 2007):The crux of the motion to compel arbitration is whether MONY Life is a "certain other" under the NASD [National Association of Securities Dealers] Code. [read post]
17 May 2023, 12:30 pm
If you have concerns regarding investments you purchased through a financial advisor and would like to speak with a securities attorney, please call The White Law Group at 888-637-5510.The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois. [read post]
22 Feb 2022, 9:02 am
The first is from the National Association Of Securities Dealers, Inc. [read post]
20 Jul 2023, 10:44 am
On June 6, 2023, the SEC charged Coinbase, Inc. and Coinbase Global, Inc. [read post]
26 Apr 2022, 8:57 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
28 Oct 2016, 1:00 am
Securities & Exchange Commission, on Wednesday, October 26, 2016 Tags: Bonds, Broker-dealers, Dodd-Frank Act, Due diligence, Information asymmetries, Institutional Investors, Investor protection, Misconduct, Municipal securities, Pension funds, Public finance, SEC, SEC enforcement, Securities enforcement, Securities fraud, Securities regulation Gender Differences in Executives’ Access to Information Posted by H. [read post]
30 Mar 2010, 12:01 am
Fraudulent broker-dealer and adviser behavior is surely what is driving the North American Securities Administrators Association (NASAA) to seek changes to federal securities laws, including the proposals, however misguided, to change Reg D, which have had the startup community in an uproar over the past week. [read post]
27 Jul 2021, 9:38 am
Broker dealers are required to inform clients of the risks associated with investment recommendations and to ensure that those recommendations are suitable for the investor in light of the investor’s age, risk tolerance, net worth, and investment experience. [read post]
23 Sep 2021, 6:59 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
20 Feb 2019, 8:07 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
25 Apr 2022, 5:59 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
