Search for: "Registration Systems LLC"
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18 May 2023, 9:38 am
These actions may include fines, suspensions, revocations of registrations, or other appropriate sanctions. [read post]
17 May 2023, 11:30 am
The White Law Group reviews the regulatory history of MML Investors Services LLC. [read post]
11 May 2023, 9:01 pm
These platforms, though, are yet to be registered as exchanges or alternative trading systems. [read post]
9 May 2023, 9:01 pm
There is reason to believe the SEC’s new universal proxy Rule 14a-19 will result in more stockholder nominees being elected to the boards of public companies. [read post]
20 Apr 2023, 1:20 pm
CFM Partner David Rothschild and Senior Associate Malhar Oza will be joined by Managing Director Michael Fitzgerald of TD Cowen and Chief Executive Officer Fizza Khan of Silver Regulatory Associates LLC for a lively discussion. [read post]
18 Apr 2023, 5:36 am
Zest Anchors, LLC v. [read post]
17 Apr 2023, 12:40 pm
They must ensure the necessary procedures and systems to detect misconduct. [read post]
14 Apr 2023, 11:27 am
They must ensure the necessary procedures and systems to detect misconduct. [read post]
14 Apr 2023, 8:42 am
The White Law Group reviews the regulatory history of Vanderbilt Securities LLC. [read post]
13 Apr 2023, 1:32 pm
Arbitrations on a broker-dealers CRD (Central Registration Depository) refer to the resolution of disputes between a broker-dealer and a client or between broker-dealers themselves through the FINRA arbitration process. [read post]
10 Apr 2023, 8:56 am
According to the rulemaking petition, the soon-to-be-argued Supreme Court case Slack Technologies, LLC v. [read post]
6 Apr 2023, 10:36 am
In particular, the court first assumed that the work was copyrightable based upon the registration documents. [read post]
5 Apr 2023, 7:14 pm
To use BrokerCheck, simply enter the name or registration number of a broker or firm in the search box on the FINRA website. [read post]
4 Apr 2023, 5:59 pm
The most common types of entities in South Korea are Limited Liability Companies (LLCs) and Joint Stock Companies (JSCs). [read post]
29 Mar 2023, 11:20 am
The CRD is the official registration and licensing system for the securities industry and includes information about registered brokers, brokerage firms, and securities offerings. [read post]
27 Mar 2023, 9:01 pm
Instead, only those shares that do not qualify for an exemption are registered for resale under the registration statement; existing shareholders may publicly sell unregistered shares pursuant to an exemption from registration. [read post]
27 Mar 2023, 8:09 pm
They must ensure the necessary procedures and systems to detect misconduct. [read post]
21 Mar 2023, 7:46 am
FINRA’s CRD system maintains a record of all regulatory and disciplinary actions taken against brokers and firms. [read post]
10 Mar 2023, 5:00 am
Trademark Office issued the following 110 trademark registrations to persons and businesses in Indiana in February 2023 based on applications filed by Indiana trademark attorneys: Reg. [read post]
8 Mar 2023, 9:29 am
Law § 160.59 prepared by the New York sealing lawyers at Katherine O’Brien Law, LLC. [read post]
