Search for: "Exchange Bank"
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6 May 2014, 10:09 am
National Australia Bank Ltd., 561 U.S. 247 (2010), precludes claims arising out of foreign‐issued securities purchased on foreign exchanges, but cross‐listed on a domestic exchange. [read post]
10 Oct 2011, 1:45 pm
Stable value funds enter into different types of stable value contracts, such as guaranteed investment contracts, offered by banks and insurance companies. [read post]
27 Jul 2020, 4:02 pm
Through intermediated exchanges of payments, banks facilitate the flow of funds within our economy and serve important financial risk management and other financial needs of bank customers. [read post]
5 Oct 2010, 11:28 am
He discovered that his employer had been overcharging customers for exchanges from foreign currencies. [read post]
21 Feb 2010, 5:00 am
Consequently, Bank of America’s stock price fell 30% the next day. [read post]
18 Jan 2022, 1:41 am
Cindy: What should people know about the bank secrecy act and how it plays into this whole story? [read post]
10 Jul 2018, 1:38 pm
Under that provision, the SEC promulgated Exchange Act Rule 17a-8—17 C.F.R. [read post]
21 Apr 2009, 12:15 am
The term “other financial account” means any other account maintained with a financial institution or other person who accepts deposits, exchanges or transmits funds, or acts as a broker or dealer for future transactions in any commodity on (or subject to the rules of) a commodity exchange or association. [read post]
28 Sep 2016, 8:27 am
According to reports, Bank of America Corp. [read post]
5 Jun 2023, 8:15 pm
The Securities and Exchanges Commission’s (SEC) suit against the biggest crypto exchange in the world, Binance, could be a huge misstep if other countries allow the crypto industry to develop and it eventually replaces the traditional banking sector, Jim Bianco, president and founder of Bianco Research said. [read post]
24 Jun 2010, 10:59 am
National Australia Bank [Cornell LII backgrounder] that the Securities and Exchange Act of 1934 (SEA) [text, PDF] does not provide a cause of action to foreign plaintiffs suing for misconduct occurring on foreign stock exchanges. [read post]
8 Feb 2007, 5:37 am
Donaldson, who co-founded the investment bank Donaldson, Lufkin & Jenrette and later became chairman of the Securities and Exchange Commission, has joined Perella Weinberg Partners as chairman of its advisory council, the firm said Thursday. [read post]
5 Jun 2023, 6:33 pm
The Securities and Exchanges Commission’s (SEC) suit against the biggest crypto exchange in the world, Binance, could be a huge misstep if other countries allow the crypto industry to develop and it eventually replaces the traditional banking sector, Jim Bianco, president and founder of Bianco Research said. [read post]
5 Dec 2007, 4:52 am
The investment bank agreed Tuesday to take over some assets from Van der Moolen Specialists USA, a New York Stock Exchange market maker, including its portfolio of NYSE-listed stocks. [read post]
16 Sep 2009, 7:37 am
On Monday, September 14, 2009, Rakoff rejected a proposed $33 million settlement of a securities fraud case brought by the Securities and Exchange Commission (SEC). [read post]
18 Jul 2022, 8:15 am
An additional factor was VCL’s approach of placing considerable weight on a belief that other parties involved in the transactions (the banks and the Exchange) were regulated which it viewed as reducing its own money laundering risk. [read post]
18 Nov 2011, 5:46 pm
The remaining 35% of outstanding shares of Hampshire First common stock will be exchanged for $15.00 per share in cash. [read post]
22 Aug 2018, 6:38 pm
Securities and Exchange Commission (“SEC”) detailing their concerns with how the bank worked with its wealth-management clients and six months after four other Wells Fargo financial advisers sent a similar letter to the SEC and the Department of Justice. [read post]
27 May 2011, 5:00 am
As one article (admittedly from 2006) described: U.S. investment banks charge underwriting fees—the percentage of the offering that investment banks keep for themselves—that are the highest in the world. [read post]
1 May 2012, 11:52 am
” Under the new regulation, the information from the banks is reported to the Treasury then the IRS would decide whether to provide the information to foreign governments in exchange for information on US citizens in those countries as part of a broader effort to combat tax evasion. [read post]
