Search for: "US Trade and Exchange, LLC"
Results 1001 - 1020
of 1,700
Sort by Relevance
|
Sort by Date
20 Nov 2015, 8:00 am
Tier 2 issuers must file current, semiannual, and annual reports that are less burdensome than (but analogous to) Exchange Act reports for public companies. [read post]
13 Nov 2015, 5:05 pm
The recent speculation that the Federal Reserve may increase U.S. interest rates may be the reason one popular exchange traded fund ETF is on the rise. [read post]
8 Nov 2015, 11:34 am
There are also publicly traded REITs that are bought and sold on an exchange with similar liquidity to traditional assets like stocks and bonds. [read post]
26 Oct 2015, 8:05 am
Two Grant Thornton Firms With Violating Auditor Independence RulesGrant Thornton India LLP and Australia-based Grant Thornton Audit Pty Limited have been charged with auditor independence violations that occurred when two Grant Thornton Mauritius partners served on the boards of Mauritius-based subsidiaries of companies that were Grant Thornton audit clients and performed non-audit services prohibited under the SEC’s auditor independence rules.New Jersey Fund Manager Charged With Securities… [read post]
23 Oct 2015, 5:37 am
Copyright © 2015 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
15 Oct 2015, 11:19 am
The LLC owner can allow a third party to invest money in the LLC in exchange for a minority interest. [read post]
7 Oct 2015, 4:46 pm
See, e.g., In re General Motors LLC Ignition Switch Litigation, 80 F. [read post]
6 Oct 2015, 3:05 am
Newman, the Second Circuit considered appeals from the insider trading convictions of Todd Newman, a former portfolio manager at Diamondback Capital Management, LLC, and Anthony Chiasson, a former portfolio manager at Level Global Investors, LP. [read post]
1 Oct 2015, 4:34 am
By Jacquelyn LumbHigh-frequency trading firm, Latour Trading LLC, has settled SEC charges that it violated the market access rule and Regulation NMS, which resulted in its receipt of executions and exchange rebates that it should not have received and that other market participants might have received were it not for Latour’s violations. [read post]
28 Sep 2015, 2:10 pm
Other DOL investigations target a broad range of other long standing and widely used industry practices. [read post]
24 Sep 2015, 8:43 am
LPL Financial LLC has agreed to pay two more settlements, and these are big ones. [read post]
19 Sep 2015, 4:51 am
Copyright © 2015 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
14 Sep 2015, 4:32 pm
That uncertainty can be used to facilitate a settlement even in the face of a nonappealable final judgment. [read post]
11 Sep 2015, 6:16 am
New York – LLC Loophole Penalty Could Hinder NY DonorsAlbany Times Union – Chris Bragg | Publishe [read post]
11 Sep 2015, 2:01 am
[vii] In many respects, Section 17(a) is similar to Rule 10b-5, promulgated pursuant to Section 10(b) of the 1934 Securities Exchange Act, and subject to a few exceptions, the two provisions follow the same structure. [read post]
8 Sep 2015, 8:07 am
Increased volatility in the markets makes leveraged products like Exchange Traded Funds (EFTs) and Exchange Traded Notes particularly risky for most individuals investors, as noted in a recent Wall Street Journal article published on September 4, 2015. [read post]
3 Sep 2015, 5:54 am
” Copyright © 2015 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
3 Sep 2015, 3:10 am
See FN Cellars, LLC vs. [read post]
31 Aug 2015, 7:04 am
They will be joining us from California, Colorado, Georgia, Louisiana, Michigan, New Mexico, Texas, Virginia, and Washington, D.C. [read post]
28 Aug 2015, 7:11 am
A press release on August 7, 2014 noted: Intercontinental Exchange (NYSE:ICE), the leading global network of exchanges and clearing houses, announced today that it has acquired intellectual property rights that relate to computerized trading strategies. [read post]
