Search for: "Dealer Trade Incorporated"
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4 Aug 2023, 7:16 am
Morgan Securities LLC Mulan Greenway David Morris Stifel, Nicolaus & Company, Incorporated UBS Financial Services Inc. [read post]
24 Jul 2023, 3:58 am
Some examples include trademarks used by trade guilds, social clubs, educational institutes, cooperatives and collective groups, for example, trademarks for the famous Xinhua bookstores are owned by the China Xinhua Bookstore Association. [read post]
20 Jul 2023, 10:44 am
On June 5, 2023, the SEC charged Binance Holdings Limited, BAM Trading Services Inc., BAM Management US Holdings Inc., and Changpeng Zhao, founder and chief executive officer (collectively, “Binance”), for failure to register as an exchange, a broker-dealer, and a clearing agency, and failure to register the offering and sale of securities via the Binance trading platform in accordance with the Exchange Act. [read post]
18 Jul 2023, 9:01 pm
In finance, AI already is being used for call centers, account openings, compliance programs, trading algorithms, sentiment analysis, and more. [read post]
20 Jun 2023, 7:26 am
Morgan Securities, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Kenneth Wade Cetera Advisors Networks LLC PFS Investments Inc. [read post]
19 Jun 2023, 9:05 pm
In all of these contexts, private actors incorporating measures of social impact invest in concepts and practices that public actors may later incorporate into law. [read post]
5 Jun 2023, 9:01 pm
In addition, the information included in Form F-SR filed by FPIs would be deemed incorporated by reference into filings under the Securities Act of 1933, as amended. [read post]
1 Jun 2023, 12:05 pm
Most M&A brokers provide advisory services to clients rather than executing securities trades or other activities associated with traditional brokers, but many M&A transactions do involve the purchase or transfer of securities, and thus they could conceivably cause the M&A broker to fall within the SEC’s definition of a broker-dealer who would be required to register. [read post]
17 May 2023, 11:30 am
He purportedly solicited his MML clients, with whom he attended church, to invest in Mahum, Inc., which Francis incorporated and controlled. [read post]
11 May 2023, 9:01 pm
On the cash side, in addition to scoping in both sides of the IDB trades, the proposal would scope in trades between clearinghouse members on the one hand and hedge funds, levered accounts, and registered broker-dealers on the other hand. [read post]
23 Apr 2023, 9:01 pm
That statute covers intermediaries, such as exchanges and broker-dealers, as well as requires ongoing disclosures by companies trading on the stock exchanges. [read post]
14 Apr 2023, 9:24 am
Merrill Lynch, Pierce, Fenner & Smith Incorporated Ikenna Ubaka FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
14 Apr 2023, 5:01 am
” In contrast, the Federal Trade Commission (FTC), when it enters into settlement agreements with companies over alleged cybersecurity failings, requires companies to adopt comprehensive cybersecurity plans that incorporate increasingly long lists of controls, but it does not review or approve the plans. [read post]
28 Feb 2023, 7:11 am
Morgan Securities LLC Austin Lazarus Merrill Lynch, Pierce, Fenner & Smith Incorporated J.P. [read post]
27 Feb 2023, 6:34 am
Haipo Yang was listed on the document as Vino Global’s “incorporator. [read post]
30 Jan 2023, 12:55 pm
Some broker-dealers that are also investment advisors aim to incorporate these predictions into their investment strategies to generate alpha for the portfolio. [read post]
23 Jan 2023, 9:01 pm
Restricted competition trading center: Any trading center that is not an open competition trading center and is not a national securities exchange. [read post]
20 Jan 2023, 7:01 am
In normal times, HFTs contribute to market liquidity by passively trading against the pricing errors created by dealers’ aggressive trade flows. [read post]
18 Jan 2023, 10:04 am
To prevent further ACATS Fraud, FINRA advises member firms that offer online account opening services to confirm that their reviews of red flags of new account fraud are incorporated into their customer onboarding process. [read post]
17 Jan 2023, 10:29 am
Cooling-Off Period Under the amended rule, Rule 10b5-1 plans will be required to incorporate a cooling-off period between adoption of such plan and the initial trade thereunder in order to qualify for the Rule 10b5-1 safe harbor. [read post]
