Search for: "SECURITIES CORP." Results 541 - 560 of 11,576
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28 Feb 2008, 7:04 am
Coast Guard's Waterway Suitability Report concludes that additional security measures are necessary to protect LNG tankers transiting to the Sparrows Point LNG terminal proposed by AES Corp. [read post]
7 Aug 2006, 8:05 am
At Xethanol, we discovered that the shareholders whose names appeared in the company’s SEC filings over the past year and a half included no fewer than eight current or former stock brokers who have been the subjects of disciplinary actions by the Securities and Exchange Commission, the National Association of Securities Dealers or other regulatory bodies.One of the five biggest shareholders in Xethanol when it went public last year was William Scott… [read post]
12 Feb 2014, 1:44 pm by Alexandra Mertens
A successful outcome for Ralls Corp. seems unlikely, given the deference the judicial branch has historically given the executive branch with respect to matters of national security. [read post]
11 Mar 2016, 3:13 am by Broc Romanek
I also ran a poll about what folks do – 46% said they call the Corp Fin Staff, 39% merely check the online list and 4% rely on the SEC calling them if there is a stop order. [read post]
9 Jul 2019, 9:48 am by ccollins
Previous brokerage firms that he worked with include McGinn Smith & Co., Benson York Group, RD White & Co., and LCP Capital Corp. [read post]
The class action on behalf of shareholders of Koss Corp. may proceed, at least in part. [read post]
25 Mar 2021, 1:04 pm by jeffreynewmanadmin
The Japanese telecommunications company and investment giant SoftBank Group Corp. is under S.E.C. investigation for alleged market manipulation. [read post]
5 Mar 2009, 4:44 am
Corp Fin's New Chief of Rulemaking: Felicia Kung Congrats to Felicia Kung for being named as the new head of Corp Fin's Office of Rulemaking. [read post]
3 Nov 2017, 4:18 am by Broc Romanek
” I think it was originally all caps, as it was an acronym for National Association of Securities Dealers Automated Quotations. [read post]
6 Dec 2011, 4:55 pm
Bank of America, Corp. has agreed to pay investors $315 million to settle their class action claim accusing Merrill Lynch of misleading them about the risks involved in investing in mortgage-backed securities. [read post]
28 Jan 2017, 8:12 pm by Jordan Brunner
The officials addressed here largely track those in the Bush administration, except Trump has excluded the Administrator of the EPA, the Director of the NSA, the Director of the Peace Corps, and the Chairmen of the Council on Environmental Quality and the Export-Import Bank. [read post]
7 Mar 2011, 4:01 am by Broc Romanek
Securities Act Section 5 - Question 139.32 - Section 132. [read post]
6 Jan 2016, 12:59 pm by D. Daxton White
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 Nov 2013, 7:26 am by James Hamilton
Other central counterparties that have applied include the Canadian Derivatives Clearing Corp., the Tokyo Financial Exchange, Inc., and the Hong Kong Securities Clearing Company, Ltd. [read post]
24 Sep 2007, 3:58 am
The Merrill Corporation, a provider of business communication and information management outsourcing services, will not go through with its planned initial public offering, according to a Securities and Exchange Commission filing on Thursday. [read post]