Search for: "National Association Of Securities Dealers, Inc."
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2 Apr 2018, 5:00 am
Cboe Global Markets, Inc. [read post]
24 Aug 2022, 5:01 am
The Securities and Exchange Commission (SEC) conducts regular examinations of broker-dealers and investment firms and has made “identification and assessment of cybersecurity risks” one focus of those exams since at least its 2014 Risk Alert. [read post]
12 Apr 2016, 3:50 pm
The Department has taken an approach to defining “recommendation” that is consistent with and based upon the approach taken by the Financial Industry Regulatory Authority (FINRA), the independent regulatory authority of the broker-dealer industry, subject to the oversight of the Securities and Exchange Commission (SEC). [read post]
12 Apr 2016, 3:50 pm
The Department has taken an approach to defining “recommendation” that is consistent with and based upon the approach taken by the Financial Industry Regulatory Authority (FINRA), the independent regulatory authority of the broker-dealer industry, subject to the oversight of the Securities and Exchange Commission (SEC). [read post]
11 Nov 2014, 8:45 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]
17 Feb 2023, 5:06 am
The National Association of Securities Dealers, Inc. [read post]
23 Jul 2008, 10:02 am
Hilda Solis (PDF 1.46 MB)Letter Regarding a Proposed Exemption to the PCB Import Ban07/22/2008
Letter to FDA Commissioner Andrew von Eschenbach From House Energy and Commerce Chairman John Dingell and Subcommittee on Oversight and Investigations Chairman Bart Stupak (PDF 1.1 MB)Letter Regarding an Energy and Commerce Investigation Into the Sale of Certain Drugs by Ranbaxy, Inc.07/22/2008
Letter to the President of the United States From the National Governors… [read post]
7 Jun 2012, 5:00 am
Chet Helck, Chief Operating Officer, Raymond James Financial Inc., on behalf of the Securities Industry and Financial Markets Association Mr. [read post]
30 Mar 2023, 6:52 am
FINRA has reportedly barred Patatian from associating with any FINRA member in any capacity for these violations. [read post]
12 Sep 2013, 8:09 am
The primary costs associated with variable annuities are as follows: 1. [read post]
2 May 2011, 1:30 pm
On September 8, 2009, the Chamber of Commerce and the National Automobile Dealers Association (NADA) petitioned for judicial review of EPA's waiver decision. [read post]
18 Oct 2018, 7:57 am
The Securities Industry and Financial Markets Association (SIFMA) had challenged the propriety of NYSE Arca’s and Nasdaq’s depth-of-book access fees. [read post]
14 Jul 2012, 5:19 pm
“Four years ago, The National Association of Securities Dealers, Inc. [read post]
29 Jun 2023, 8:30 am
(CRD#:133763), FORT LAUDERDALE, FL B, 06/20/2003 – 08/04/2015, METLIFE SECURITIES INC. [read post]
25 Sep 2009, 10:34 am
Chartwell Insurance Services, Inc. provides art title insurance through ARIS. [read post]
25 Sep 2009, 8:34 am
Chartwell Insurance Services, Inc. provides art title insurance through ARIS. [read post]
1 Oct 2013, 5:44 am
Regulation FD requires an issuer that discloses material nonpublic information to certain individuals (generally holders of the issuer’s securities and securities market professionals) to also make the information publicly available. [read post]
14 Jun 2010, 4:37 am
Availability of absolute or qualified privilege in judicial and quasi-judicial actionsRosenberg v Metlife, Inc, 8 NY3d 359The Rosenberg decision provides an opportunity to explore the issue of the “qualified immunity” and the “absolute immunity” of individuals in the public service sued for alleged libel or slander flowing from their performance of an official duty.The United States Court of Appeals for the Second Circuit asked the New York State Court of Appeals… [read post]
18 Jan 2012, 7:52 am
National Association of Securities Dealers, Inc., a challenge to the legal immunity of private organizations that oversee the country’s financial markets. [read post]
28 Nov 2010, 12:49 am
The plaintiffs argue that the Raifmans in their individual capacity are not the plaintiffs' customers for the purpose of the National Association of Security Dealers Code of Arbitration Procedures. [read post]
