Search for: "National Association Of Securities Dealers, Inc."
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3 Jan 2011, 9:45 pm
Mazda Motor Am., 21 No. 12 Westlaw Journal Insurance Coverage 3, Westlaw Journal Insurance Coverage December 23, 2010The American Association for Justice says in an amicus brief filed with the U.S. [read post]
27 Oct 2019, 11:00 am
Editor’s note: This article grew out of work done in our Georgetown University class on national security and social media. [read post]
16 Jun 2016, 2:48 pm
According to the SEC: The federal securities laws require registered broker-dealers and investment advisers to adopt written policies and procedures reasonably designed to protect customer records and information. [read post]
28 Dec 2011, 11:30 am
United Egg Producers, Inc., U.S. [read post]
24 Sep 2013, 7:05 pm
to be kept” by a federally licensed firearm dealer under Section 924(a)(1)(A). [read post]
23 Apr 2021, 4:00 am
Some of the companies will provide stand-alone climate lobbying reports that lay out direct and trade association activities, while others will include disclosures in sustainability reports. [read post]
2 May 2022, 12:59 pm
National Association of Securities Dealers, Inc., 336 F.3d 1373 (Fed. [read post]
16 Sep 2022, 4:00 am
National/Federal A Record Number of Black Candidates for Higher Offices Aim to Reshape U.S. [read post]
29 Jan 2020, 9:26 am
, MetLife Inc. and Prudential Financial Inc. [read post]
16 Apr 2018, 4:48 pm
Securities and Exchange Commission (SEC) charged two co-founders of Centra Tech, Inc., (Centra) a purported financial services start-up, with orchestrating a fraudulent initial coin offering (ICO), a term that is meant to describe the offer and sale of digital assets issued and distributed on a blockchain, that raised more than $32 million from thousands of investors. [read post]
6 Jan 2023, 3:00 am
National/Federal Advocacy Groups Denounce GOP Proposals to ‘Gut’ Ethics Office MSN – Kate Ackley (Roll Call) | Published: 1/3/2023 Ethics advocacy groups are sounding alarms that a proposal from House Republicans to change the Office of Congressional Ethics (OCE) could eviscerate the watchdog, leaving it unable to function. [read post]
5 Mar 2009, 11:46 pm
DOJ Nominees Move Ahead
Legal Times
Three of President Barack Obama's nominees for the Justice Department -- Elena Kagan, nominee for solicitor general; David Kris, nominee for assistant AG in charge of the National Security Division; and Thomas Perrelli, nominee for associate AG -- won the Senate Judiciary Committee's endorsement on lopsided votes Thursday. [read post]
21 May 2024, 9:01 pm
This determination is an objective standard, and it is intended to be construed in a manner consistent with the SEC’s framework in Regulation Best Interest for assessing whether a broker-dealer has made a recommendation to a retail investor. [read post]
13 Jan 2016, 5:05 pm
For instance, after suffering a cyber-attack, a corporation must not only bear the substantial regulatory and litigation costs associated with potential privacy violations – that is just the tip of the iceberg. [read post]
9 Jan 2020, 7:53 am
DHFL will be the first non-bank lender to be reviewed by the National Company Law Tribunal (the “NCLT”). [read post]
[Eugene Volokh] Do Critics of Police Have the First Amendment Procedural Protections That Nazis Get?
22 Jan 2021, 8:26 am
Plain Dealer (1994), 69 Ohio St.3d 395, 397. [read post]
13 Aug 2021, 4:00 am
They and other national and local GOP officials cast their opposition to such measures as an effort to protect personal choice. [read post]
22 Feb 2008, 6:00 pm
Signature Financial Group, Inc., and AT&T Corp. v. [read post]
6 Sep 2019, 3:00 am
A similar scheme happened at Axor Experts-Conseils Inc. [read post]
18 Jul 2014, 10:40 am
The National Futures Association (“NFA”) announced that effective on June 1, 2014 it will impose a $1,000 late fee when a firm or individual does not disclose a disciplinary matter upon registration or fails to promptly update an existing registration to disclose a new disciplinary matter. [read post]
