Search for: "APPLICATION OF MORGAN"
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13 Nov 2017, 1:14 pm
Supervisory Issues According to FINRA, the firm’s supervisory system did not provide for supervision reasonably designed to achieve compliance with respect to certain applicable securities laws and regulations, and/or FINRA rules. [read post]
31 Dec 2020, 12:55 pm
Morgan Stanley reportedly initiated a review of its supervisory systems and procedures applicable to 529 plan recommendations, and corrected supervisory deficiencies it identified during that review, as well as establishing a plan to provide remediation to affected customers. [read post]
9 Aug 2019, 5:38 am
“This was decided on a legal argument that has universal application. [read post]
10 Jun 2016, 7:12 am
Morgan Stanley’s policies and procedures were not reasonable, however, for two internal web applications or “portals” that allowed its employees to access customers’ confidential account information. [read post]
17 Aug 2010, 10:20 am
Morgan. [read post]
18 Oct 2019, 7:20 am
Graves School of Business and Management at Morgan State University invites applications for a full-time, tenure-track Assistant Professor appointment in Business Law. [read post]
8 May 2013, 6:29 am
Current Legal Problems has made Simon Halliday and Bronwen Morgan's 'I Fought the Law and the Law Won? [read post]
12 Oct 2021, 7:33 pm
Job Requirements:The successful applicant will:· Have a minimum 5 years of prior experience as a U.S. [read post]
23 Sep 2006, 5:32 pm
In this episode, Erin Morgan talks about Canadian law schools, and the application process for getting into them. [read post]
23 Sep 2006, 1:32 pm
In this episode, Erin Morgan talks about Canadian law schools, and the application process for getting into them.Download the episode (9:28) [read post]
17 Jul 2019, 2:07 pm
Unless prohibited by applicable law, sanctions may include, but are not limited to:• Assessing monetary penalties payable to one or more parties; . . . [read post]
25 Feb 2024, 10:01 am
Instead, there was this ex parte injunction application to the High Court by Mr Morgan acting in person. [read post]
4 Feb 2020, 9:11 am
If you have any questions or would like assistance with your trademark applications, please contact us at 604-688-4900 or by email at morgan@barbeau.co or paul@barbeau.co. [read post]
12 Jan 2015, 12:44 pm
Judge Forrest also granted lead plaintiffs’ application for approximately $17.2 million in attorneys’ fees and expenses. [read post]
24 Aug 2010, 4:28 am
Morgan Stanley on Monday became the first Wall Street firm to launch an application for its financial research in Apple's App Store. [read post]
20 Feb 2013, 9:17 am
However, associations are permitted to require owners to water to the maximum level permitted under any applicable water restriction. [read post]
19 Aug 2020, 12:33 pm
Morgan Securities LLC for Volatility ETPs appeared first on The White Law Group. [read post]
31 Aug 2021, 7:59 am
· Experience drafting patent applications and patent prosecution or experience examining patent applications at the U.S. [read post]
14 Nov 2022, 3:19 am
Instead, the Board found that the term, a vanity phone number, would be perceived by consumers as merely informational, a means to contact the applicant or its licensee, the Morgan & Morgan law firm. [read post]
3 Mar 2016, 7:24 am
Morgan Stanley Cushing® MLP High Income Index ETNs due March 21, 2031 Based on the Performance of the Cushing® MLP High Income Index April 2013 Page 6 – The ETN Calculation Agent can postpone the determination of the Final VWAP Level and thus the applicable Repurchase Date, the Call Settlement Date or the Maturity Date if a market disruption event occurs during the applicable measurement period. [read post]
