Search for: "Registration Systems LLC" Results 81 - 100 of 1,015
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18 May 2023, 9:38 am by The White Law Group
These actions may include fines, suspensions, revocations of registrations, or other appropriate sanctions. [read post]
17 May 2023, 11:30 am by The White Law Group
The White Law Group reviews the regulatory history of MML Investors Services LLC. [read post]
11 May 2023, 9:01 pm by renholding
These platforms, though, are yet to be registered as exchanges or alternative trading systems. [read post]
9 May 2023, 9:01 pm by renholding
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 by Marcia Delgadillo
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]
14 Apr 2023, 8:42 am by The White Law Group
The White Law Group reviews the regulatory history of Vanderbilt Securities LLC. [read post]
13 Apr 2023, 1:32 pm by The White Law Group
  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 by Unknown
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 by Dennis Crouch
  In particular, the court first assumed that the work was copyrightable based upon the registration documents. [read post]
5 Apr 2023, 7:14 pm by D. Daxton White
  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 by Sean Hayes
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 by The White Law Group
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 by renholding
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]
21 Mar 2023, 7:46 am by The White Law Group
  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 by Overhauser Law Offices, LLC
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 by Katherine O'Brien
Law § 160.59 prepared by the New York sealing lawyers at Katherine O’Brien Law, LLC. [read post]