Search for: "Components Exchange, LLC"
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20 Sep 2022, 12:11 pm
Via Matt Levine, I learn of a SEC complaint against MorganStanley Smith Barney (MSSB): The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately 15 million customers. [read post]
14 Apr 2010, 11:27 am
Another key component of the Executive Order is a green procurement policy requiring 95% of new federal contracts and acquisitions to meet sustainability requirements which promote environmentally responsible products and technologies. [read post]
17 Feb 2010, 11:23 am
Please call The Doss Firm, LLC for a free consultation. [read post]
17 Feb 2010, 11:23 am
Please call The Doss Firm, LLC for a free consultation. [read post]
27 Aug 2015, 3:31 pm
During the 13 year operating period, MDOT will make service payments to FLP quarterly in exchange for performance of services with a component of such payment subject to FLP’s actual energy consumption being less than MDOT’s theoretical energy consumption. [read post]
9 Mar 2011, 4:54 pm
Specifically, the ALJ found genuine factual disputes regarding APM’s alleged sales to MicroJet for importation, including: (1) whether MicroJet intentionally withdrew from the U.S. market; (2) whether APM components are included in the accused products that have been allegedly imported; and (3) whether APM knew or should have known about the alleged importation of the inkjet cartridges containing APM components. [read post]
30 Oct 2019, 8:38 am
Nelson, J.D.A no-action letter issued by the SEC’s division of Trading and Markets to Paxos Trust Company, LLC will allow Paxos to conduct a 24-month test of its Paxos Settlement Service (PSS) using distributed ledger technology (DLT). [read post]
24 Mar 2012, 8:51 pm
The report analyzed agreed-upon settlement amounts, as well as disclosed the values of noncash components. [read post]
11 Feb 2024, 8:55 am
The care obligations includes three components. [read post]
17 Aug 2017, 4:11 am
The facts must be viewed “in the light most favorable to the non-moving party” (Ortiz v Varsity Holdings, LLC, [*2]18 NY3d 335, 339 [2011]). [read post]
26 Apr 2020, 12:59 pm
LLC v. [read post]
9 Jul 2021, 7:07 am
The exchanges had filed a challenge to the plans 65 days after the Commission’s action, falling outside of the Exchange Act’s deadline of 60 days for challenging Commission orders. [read post]
13 Mar 2018, 8:34 am
Moss & Associates, LLC v. [read post]
13 Mar 2018, 8:34 am
Moss & Associates, LLC v. [read post]
13 Mar 2022, 11:24 am
ESG has become such a large component of my law practice that I am now collaborating with a group of daring, innovative and creative attorneys in ESG Legal Solutions, LLC, a boutique ESG driven non-law and consulting firm “powering sustainability, today, for tomorrow’s business. [read post]
18 Mar 2021, 7:43 am
This general obligation is satisfied only if a broker-dealer complies with four-component obligations: a Disclosure Obligation, a Care Obligation, a Conflict of Interest Obligation, and a Compliance Obligation. [read post]
17 Dec 2021, 5:35 am
Morgan Securities LLC (JPMS), a broker-dealer subsidiary of JPMorgan Chase & Co., for widespread and longstanding failures by the firm and its employees to maintain and preserve written communications. [read post]
26 Sep 2011, 5:00 am
Barr Rosenberg Research Center LLC was the registered investment adviser. [read post]
21 Oct 2013, 10:23 am
Heritage Estate Services, LLC (“Heritage”), an entity owned or operated by McKye, prepared revocable trusts for its clients. [read post]
29 May 2022, 4:45 pm
ESG has become such a large component of my law practice that I am now collaborating with a fabulous group of attorneys in ESG Legal Solutions, LLC, a new law consulting firm. [read post]
