Search for: "Matter of Trader"
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26 Mar 2009, 9:30 am
This matter is addressed in Rule 105 of Regulation M. [read post]
8 Apr 2017, 3:20 am
It did so without Trader’s permission. [read post]
10 Nov 2017, 2:19 pm
Coinbase has vigorously resisted the John Doe summons, and the matter has been in litigation for the past year. [read post]
13 Jan 2011, 8:00 am
First Derivative Traders is quite challenging and slightly surreal. [read post]
14 Jan 2011, 5:00 am
The adviser allowed 12 traders to trade frequently. [read post]
9 Aug 2011, 11:26 am
The SEC originally intended to consider a fourth matter at the meeting: whether to adopt amendments to require certain institutional investment managers to report their proxy votes on executive compensation matters. [read post]
3 Feb 2009, 3:48 am
The cuts will mostly be in back-office jobs, which entail processing trades, since it trimmed front-office traders and [...] [read post]
4 Jan 2011, 11:30 am
ABSTRACT: In e-commerce, where information collection is essentially costless and geographic location of traders matters very... [read post]
12 Aug 2010, 1:00 am
L.J. 635 (2008) A Structural Critique of Trader Taxation, 8 Fla. [read post]
4 Jan 2011, 11:30 am
ABSTRACT: In e-commerce, where information collection is essentially costless and geographic location of traders matters very... [read post]
29 Jun 2013, 10:28 am
The email asked me the following: Does it really matter whether we go with an agent (a/k/a trader/broker) or a manufacturer? [read post]
8 Sep 2020, 1:03 am
For FINRA, Relevant Is A Large Gray Pachyderm (BrokeAndBroker.com Blog)Request to regulate use of encrypted, un-monitored chatrooms by traders (SEC Public Petitions for Rulemaking)In the Matter of the Claim for an Award in Connection With REDACTED Notice of Covered Action (SEC Order Determining Whistleblower Award Claim)FINRA Arbitrators Grant Motion to Dismiss Finding Respondents Not Associated With Account/Conduct at IssueIn the Matter of the Arbitration Between Louis… [read post]
18 Apr 2012, 8:00 am
First Derivative Trader’s decision. [read post]
8 Apr 2015, 7:01 am
The total award is approximately about $9 million.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
8 May 2011, 4:56 am
” And note to International Business Transactions law students – choice of law and forum clauses matter. [read post]
14 Dec 2015, 5:36 am
The entire series of transactions would take place in a matter of milliseconds. [read post]
19 Feb 2024, 4:00 am
” The SEC argued that Almagarby was a dealer, and not entitled to assert the “trader” exception, because of the “kind” and “amount” of transactions he engaged in.Almagarby argued that the district court should not have relied on precedent that focused on the broader definition of “dealer” under the Securities Act (no trader carve-out). [read post]
18 Feb 2016, 5:00 am
By Lene Powell, J.D.An Illinois federal district court dismissed a private action alleging that anonymous traders manipulated futures markets by “spoofing” trades on the Chicago Board of Trade, ruling that the Federal Arbitration Act required the matter to be arbitrated. [read post]
17 Mar 2014, 6:39 am
It's computerized algorithms versus the last of the human traders. [read post]
24 Jan 2019, 1:00 pm
We have decades of experience in securities litigation matters, including the defense of enforcement actions. [read post]
