Search for: "Dealer Trade Incorporated"
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21 Aug 2022, 7:01 am
The United States has reportedly been willing to trade a dangerous arms dealer, Viktor Bout, for Griner’s freedom. [read post]
15 Aug 2022, 2:35 pm
Special rules apply for foreign-parented multinational groups and foreign corporations engaged in a U.S. trade or business. [read post]
28 Jul 2022, 6:57 pm
That license prohibits licensees from disassembling the software code or incorporating it into other software. [read post]
21 Jul 2022, 10:39 am
However, the amendment is “scaled back” from the original version of the ENABLERS Act, introduced last year, which had included investment advisors, art and antiquities dealers, and public relations firms. [read post]
20 Jul 2022, 6:35 am
Despite the implementation of Reg BI, NASAA has found that many broker-dealers have not materially changed their policies, procedures, or practices on the sale of complex and risky products like non-traded REITs. [read post]
23 Jun 2022, 1:19 pm
Unfortunately, the highly touted L bonds Were neither publicly traded nor liquid, and highly risky. [read post]
19 Jun 2022, 9:08 pm
The adoption of the P&S Act, which applies to meatpackers and poultry dealers, followed debates over antitrust and trade regulation that resulted in the passage of the Clayton Act and Federal Trade Commission Act. [read post]
10 Jun 2022, 4:00 am
Kushner incorporate Affinity in Delaware in January 2021, shortly after Trump exited the White House. [read post]
1 Jun 2022, 9:16 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]
18 May 2022, 9:01 pm
It is good to be here alongside Federal Trade Commission Chair Khan. [read post]
18 May 2022, 6:39 am
The clients alleged unsuitable and unauthorized trading in their account. [read post]
2 May 2022, 1:59 pm
Thomas Hagan Morgan Stanley Wells Fargo Advisors, LLC Forrest Jones Merrill Lynch, Pierce, Fenner & Smith Incorporated Fortune Financial Services, Inc. [read post]
27 Apr 2022, 9:11 am
In particular, the proposal addresses firms that assume certain dealer functions, including proprietary (or principal) trading firms. [read post]
11 Apr 2022, 9:01 pm
Companies should review: relevant law of its state of incorporation, including laws setting forth capital or surplus requirements to repurchase shares. [read post]
15 Mar 2022, 1:04 pm
Although the rule is lengthy, and incorporates other rules including Federal Reserve Board Regulation T, the essence of the rule allows a broker-dealer to lend a customer up to 50% of the total purchase price of an eligible stock. [read post]
22 Feb 2022, 12:09 pm
Christopher Ogbuehi Noe Ramirez III Merrill Lynch, Pierce, Fenner & Smith Incorporated Chase Investment Services Corp. [read post]
17 Feb 2022, 2:51 pm
Once all comments are received, the SEC will review and incorporate the comments into the proposed rule, as it deems appropriate. [read post]
26 Jan 2022, 9:32 am
Premier Dealer Services, Inc., 993 N.E.2d 938 (Ill. [read post]
30 Dec 2021, 1:08 pm
The report also mentions the role of real estate agents, company service providers, and art and antiquities dealers. [read post]
30 Dec 2021, 1:08 pm
The report also mentions the role of real estate agents, company service providers, and art and antiquities dealers. [read post]
