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14 Oct 2011, 1:06 pm
Second, Jim challenged state officials to work harder to develop markets and market-promoting mechanisms that will enable developers to get projects into the water sooner. [read post]
14 Oct 2011, 2:00 am
” Section 621 directed the SEC to issue implementing rules within 270 days of the enactment of the Dodd-Frank Act, and the statutory provision will take effect on the effective date of those rules. [read post]
14 Oct 2011, 1:03 am
Google (Technology & Marketing Law Blog) Happy Halloween – Just in time for Halloween, a Seattle dispute over Screams.com domain name (Seattle Trademark Lawyer) [read post]
13 Oct 2011, 3:47 pm
" If direct negotiations should fail to resolve a dispute encompassed by the Resolution Agreement, the Procedure Agreement specifies resolution by arbitration before a panel of American Arbitration Association arbitrators, pursuant to AAA rules. [read post]
13 Oct 2011, 3:08 pm
"It has always been part of our strategic plan to add multi-line dealerships to the mix and the timing is now right for us to move in this direction. [read post]
13 Oct 2011, 2:00 am
In the Alert, OCIE cautions broker-dealers regarding the special compliance risks associated with offering master-sub account trading arrangements, in which a master account with the firm is subdivided to allow direct trading by others in sub-accounts. [read post]
13 Oct 2011, 12:00 am
“The New York City Regulatory & Business Externship is ideal for me because of my strong interest in financial regulation and capital markets,” says third-year law student David Myrie, who is pursuing a joint JD/MBA degree. [read post]
12 Oct 2011, 11:31 am
The guidelines consist of a set of "basic principles" together with definitions and directions for implementing those principles. [read post]
12 Oct 2011, 11:31 am
The guidelines consist of a set of "basic principles" together with definitions and directions for implementing those principles. [read post]
12 Oct 2011, 11:25 am
As a direct result Hurricane Katrina, interactions among New Orleans and Houston illegal drug traffickers are reportedly growing. [read post]
11 Oct 2011, 7:58 pm
The SFC website today released the result of a Securities and Futures Appeal Tribunal hearing where two individuals associated with sponsoring an IPO in Hong Kong were banned from the industry for substantial periods of time. [read post]
11 Oct 2011, 2:07 pm
This action not only increased the emotions and tension associated with the Board’s unwarranted decision, it guaranteed litigation. [read post]
11 Oct 2011, 8:48 am
Scott Garrett, Chair of the Capital Markets Subcommittee. [read post]
10 Oct 2011, 1:45 pm
As a result, stable value contracts cannot, in the estimation of the associations, be cleared by a clearinghouse. [read post]
10 Oct 2011, 11:45 am
As with prohibitions on discrimination under external agreements and in a similar way to the competition principles applicable within the European internal market, this rule is capable of having direct application. [read post]
10 Oct 2011, 6:30 am
Most firms that do offer additional allowances for associates with children limit the increase to $10,000 or $20,000 per child.Also, a growing minority (but still a small minority) of top US firms also provide direct tuition reimbursement assistance for associates with school aged children. [read post]
9 Oct 2011, 6:23 pm
It markets these products by associating them with sports and athletes, including the South Florida PGA. [read post]
9 Oct 2011, 10:38 am
If it leads us on the road to a healthier economy, and my vision of a free market society (even if that is not the movement's goal) that is great too. [read post]
8 Oct 2011, 5:40 pm
"Further, as crowdfunding centers on community investment, the oversight should be vested in the regulator with the most direct interest in protecting that community. [read post]
7 Oct 2011, 4:03 pm
In 2000, a panel of the National Association of Securities Dealers andndash; FINRAandrsquo;s predecessor -- found that Fiero Bros., a registered broker-dealer, had engaged in market manipulation and illegal short selling. [read post]
