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5 Jun 2009, 12:34 pm
I just finished reading through FINRA's monthly report of disciplinary actions for May. [read post]
6 Nov 2018, 12:55 pm
The broker-dealer has 30 days from the date of termination to file the U-5, a disclosure to FINRA that modifies the adviser’s U-4 with information regarding the termination. [read post]
31 Dec 2012, 10:02 pm
One may bear in mind the fact that this hearing was held u/s. 15 and not as a pre-grant opposition u/s. 25. [read post]
17 Oct 2018, 3:11 am
” It focused especially on “the suggestive nature of the shared ‘—CORE’ component…as well as the suggestive nature of the ‘U—’ prefix in Opposer’s mark,” the designation “U—” being a recognized term in the fenestration industry. [read post]
7 Aug 2009, 1:00 am
Abbot and Costello Take on Section 465, 17 U. [read post]
20 Feb 2008, 8:57 am
Russell, 473 U. [read post]
19 Jun 2010, 11:59 am
.,2010 NY Slip Op 51053(U)(App. [read post]
24 Jun 2011, 1:00 am
U. [read post]
6 Mar 2013, 12:52 pm
The annual Sefton Memorial Lecture is being hosted this Thursday, March 7th at Woodsworth College at U of Toronto (119 St. [read post]
22 Feb 2024, 9:06 am
” 49 U. [read post]
21 Jun 2018, 12:54 pm
You act like you care because it's useful to look that way, but you don't really care, DO U? [read post]
21 Aug 2024, 6:33 am
Shreyas Meher (U Texas at Dallas) and Pengfei Zhang (U Texas at Dallas, Cornell U) have posted “Two Types of Censorship” on SSRN. [read post]
11 Jun 2020, 7:31 pm
B-u-u-u-u-t AALL has valiantly forged ahead with a virtual Unmasking Our Potential themed conference which will be available to members and non members at a significantly reduced cost while offering a powerful roster of speakers and topics. [read post]
29 Feb 2008, 10:00 am
Let's see, Cass Sunstein's "personal reasons" for leaving U. [read post]
7 Apr 2013, 9:33 am
Stocks Hit '97 Level, Signaling Long Slump (Photo credit: YoTuT) U is for Unrealized Gains and Losses. [read post]
13 Apr 2009, 4:56 am
But this year's crop of M.B.A.'s faces bleak prospects, Breakingviews says. [read post]
2 Jun 2016, 11:27 am
S. [read post]
9 Aug 2012, 7:06 am
" You can access yesterday's ruling of the Supreme Court of Minnesota at this link. [read post]
21 Feb 2010, 3:52 am
We have discussed the issue of TDS u/s 195 of the Income Tax Act, 1961 a few times earlier; and have also discussed a recent judgment of the Karnataka High Court in Samsung Electronics. [read post]
WHAT CONSTITUTES “SUBSTANTIAL EVIDENCE” TO SUPPORT AN SEC FINDING OF A FALSE STATEMENT IN A FORM U-4
31 Aug 2009, 10:49 am
The Panel found that: (1) the representative knew that he was required to disclose the New Jersey action on the Form U-4; (2) the representative discussed with firm’s majority owner what to include on the Form U-4 but failed to disclose the New Jersey action; and (3) the representative failed to review and sign the Form U-4 either before or after firm’s majority owner filed it despite firm’s majority owner’s… [read post]
