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10 Jan 2023, 9:05 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]
23 Dec 2022, 8:27 am
This latest measure explicitly prohibits the commercial trade of shark fins in this country, treating the fins as part of an illegal wildlife trade—which, effectively now, they are. [read post]
14 Dec 2022, 9:01 am
Was the trade worth making? [read post]
20 Nov 2022, 9:53 am
Similar language appeared in the incorporation of towns in 1839 and 1840. 1839 Miss. [read post]
15 Nov 2022, 5:09 am
In some cases, firms routed all orders to a clearing firm without either creating a Rule 606 report or incorporating by reference the clearing firm’s Rule 606 report. [read post]
11 Nov 2022, 9:39 am
In 2013, FINRA announced in a regulatory notice that the scope of Rule 8210 had been clarified, stating that “all aspects of the relationship between a broker-dealer and its associated persons are potentially the subject of a Rule 8210 request. [read post]
4 Nov 2022, 7:56 am
Members of the British art trade received helpful guidance from the British Art Market Federation (‘BAMF’),[5] which explained the expectations and spelled out what art dealers would have to do to avoid fines and criminal liability. [read post]
4 Nov 2022, 7:56 am
Specifically, freeports are useful to a kind of ML scheme referred to as trade-based money laundering (TBML) based on the “ability of the perpetrator of the crime to distance themselves with the illicit proceeds through the creation of a network of legal entities around the world linked to financial institutions […] which are difficult if not impossible for law enforcement to follow,” according to the FATF and the Organization of Economic Cooperation and Development… [read post]
1 Nov 2022, 2:05 pm
” FINRA reportedly started investigating Timothy Higgins during an examination of his employing broker dealer, Spartan Securities, when it allegedly found evidence of excessive trading. [read post]
1 Nov 2022, 2:05 pm
” FINRA reportedly started investigating Timothy Higgins during an examination of his employing broker dealer, Spartan Securities, when it allegedly found evidence of excessive trading. [read post]
1 Nov 2022, 2:05 pm
” FINRA reportedly started investigating Timothy Higgins during an examination of his employing broker dealer, Spartan Securities, when it allegedly found evidence of excessive trading. [read post]
31 Oct 2022, 7:56 am
Background On February 23, 2021, Marianne Boesky Gallery, incorporated as Art Works, Inc., (“Art Works”) filed a complaint against sculptor and mixed media artist Diana Al-Hadid declaring that Art Works had an ownership interest in Al-Hadid’s unsold works and was entitled to share in the proceeds from any sale.[1] On May 9, 2022, Justice Louis Nock entered a judgment in favor of Al-Hadid. [read post]
12 Oct 2022, 9:53 am
Claire Methven O’Brien and I are delighted to announce the commencement of a new project: The current state and future trajectories of human rights due diligence laws. [read post]
27 Sep 2022, 6:18 am
Broker-dealer Joseph Stone Capital (JSC) apparently dealt with exactly that. [read post]
26 Sep 2022, 1:56 pm
(CRD# 7059) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD# 7691), also of El Paso. [read post]
22 Sep 2022, 8:41 am
Isaac Stewart Merrill Lynch, Pierce, Fenner & Smith Incorporated Gregory Williams Presidential Brokerage, Inc. [read post]
6 Sep 2022, 12:07 pm
Those sources are incorporated by reference into the text of this blog and are the governing materials in case of any inconsistencies or typos in this blog. [read post]
6 Sep 2022, 12:07 pm
Those sources are incorporated by reference into the text of this blog and are the governing materials in case of any inconsistencies or typos in this blog. [read post]
6 Sep 2022, 12:07 pm
Those sources are incorporated by reference into the text of this blog and are the governing materials in case of any inconsistencies or typos in this blog. [read post]
22 Aug 2022, 1:18 pm
[2] A similar aggregation rule applies with respect to any trades or businesses (whether or not incorporated) under common control. [read post]
