Search for: "National Association Of Securities Dealers, Inc."
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6 Oct 2011, 7:38 am
However, the Court hints that, under Section 19(b) of the Exchange Act, an SRO can potentially address this issue by filing a proposed rule change with the SEC, who must publish notice of the proposed rule change and give interested individuals an opportunity to comment prior to either approving or disapproving the rule (something which FINRA failed to do in this situation).FINRA is the successor to the National Association of Securities Dealers… [read post]
1 Apr 2009, 1:24 pm
Cosmo's broker's license was revoked and he was barred from associating with any members of the National Association of Securities Dealers. [read post]
2 Mar 2011, 1:39 pm
" Witnesses testifying included representatives from: Ohio Coal Association; Industrial Energy Consumers of America; James River Air Conditioning Company, Inc.; Charles River Associates; Steyer-Taylor Center for Energy Policy and Finance at Stanford University; Gina McCarthy, U.S. [read post]
18 Nov 2014, 1:28 pm
.), a case in which I’ve been hired to consult, and which the California Association of Federal Firearms Licensees, The Calguns Foundation, and Second Amendment Foundation are supporting. [read post]
5 Jul 2011, 1:56 pm
Todd has previously served as co-chair of the Colorado Bar Association Labor Law Committee, and is a member of the National Employment Lawyers Association. [read post]
10 Jan 2024, 9:01 pm
Inc., 448 F. [read post]
16 Apr 2020, 4:55 am
Reg BI establishes a “best interest” standard for broker-dealers and associated persons when making recommendations to retail customers involving securities. [read post]
26 Aug 2007, 12:07 pm
The companies share a website and marketing "catelog" which clearly emphasizes a national business and national intent to solicit its services and/or distribute product, including its graphics and exhibits, structured settlement annuities AND securities products (as an aside no broker dealer appears to be identified on the latter). [read post]
24 Oct 2023, 9:01 pm
Our ongoing off-channel communications sweep to ensure that regulated entities, including broker-dealers and investment advisers, comply with their recordkeeping requirements is a good example. [read post]
5 Apr 2018, 8:24 am
Similar to the SEC, the Financial Industry Regulatory Authority, Inc. [read post]
8 Dec 2021, 7:27 am
Registered CPOs and CTAs must prepare and file Annual Questionnaires and Annual Registration Updates with the National Futures Association (“NFA”), as well as submit payment for annual maintenance fees and NFA membership dues. [read post]
8 Dec 2021, 11:27 am
Registered CPOs and CTAs must prepare and file Annual Questionnaires and Annual Registration Updates with the National Futures Association (“NFA”), as well as submit payment for annual maintenance fees and NFA membership dues. [read post]
18 Mar 2021, 8:09 am
The SEC should also consider improving transparency in the securities lending market by establishing an analogous Consolidated Tape for securities lending. [read post]
21 Oct 2011, 2:39 pm
FINRA is the successor to the National Association of Securities Dealers, better know by the acronym "NASD. [read post]
4 Dec 2009, 9:04 pm
Nov. 11, 2009), the court summarizes the facts as follows: [A] panel of arbitrators with the National Association of Securities Dealers, Inc. [read post]
31 Jul 2023, 12:40 pm
According to National Adult Protective Services Association (NAPSA), only 1 in 44 cases of financial abuse ever comes to light. [read post]
8 Aug 2007, 1:43 am
Fass, a partner at Prosskauer Rose, discusses the rules of the National Association of Securities Dealers Inc. applicable to TIC interests being securities. [read post]
17 Aug 2023, 10:49 am
May 2019 – Fidelity Masonic Temple Association, Inc. [read post]
30 Mar 2007, 1:10 am
High Court Affirms Absolute Privilege for Securities Industry's Termination Notices
New York Law Journal
Employers in the securities industry cannot be sued over the contents of the Form U-5 notices they must file with the National Association of Securities Dealers when terminating employees, New York's high court ruled Thursday. [read post]
7 Jun 2022, 3:29 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
