Search for: "Dealer Trade Incorporated"
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16 Oct 2018, 8:06 am
Smith is accused of making the trade without consulting the client. [read post]
22 Jun 2015, 8:56 pm
-located trading platforms, and (iii) effected by or through registered broker-dealers, including registered security-based swap execution facilities (“SBSEFs”)…. [read post]
15 May 2018, 11:28 am
Phillips Edison II was incorporated in June 2013 and is a publicly registered, non-traded REIT. [read post]
2 Jul 2008, 3:32 pm
" A political subdivision is defined as "any home rule charter municipality, county, city, borough, incorporated town, township or school district. [read post]
17 May 2023, 11:30 am
He purportedly solicited his MML clients, with whom he attended church, to invest in Mahum, Inc., which Francis incorporated and controlled. [read post]
16 Dec 2011, 4:45 pm
Section 1256(b)(1) defines the term “section 1256 contract” as a regulated futures contract, foreign currency contract, non-equity option, dealer equity option, and dealer securities futures contract. [read post]
11 Jul 2014, 3:59 pm
More broadly, in order to increase transparency in the way that markets operate, the SEC should demand that all trading centers report trade executions in real time, and all routing practices should be disclosed by those trading centers and brokers who touch customer orders. [read post]
3 Aug 2014, 12:29 pm
More broadly, in order to increase transparency in the way that markets operate, the SEC should demand that all trading centers report trade executions in real time, and all routing practices should be disclosed by those trading centers and brokers who touch customer orders. [read post]
26 Feb 2019, 11:47 am
We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities. [read post]
19 Jun 2012, 2:29 pm
For these requirements, U.S. facing transactions would include not only transactions with persons or entities operating or incorporated in the United States, but also transactions with their overseas branches. [read post]
29 May 2024, 10:30 pm
Dealers are free to change the price until the moment the trade is mutually closed. [read post]
11 May 2023, 9:01 pm
On the cash side, in addition to scoping in both sides of the IDB trades, the proposal would scope in trades between clearinghouse members on the one hand and hedge funds, levered accounts, and registered broker-dealers on the other hand. [read post]
31 Jan 2009, 2:34 pm
That said, the SIPA incorporates many provisions of the Bankruptcy Code. [read post]
26 Jun 2009, 12:26 pm
By fully regulating the institutions that trade or hold themselves out to the public as derivative dealers we ensure that all OTC products, both standardized and customized, are subject to robust oversight. [read post]
20 Mar 2019, 5:16 pm
The proposal would eliminate this requirement and instead require affected funds to make incorporated materials readily available on a website.What’s Next? [read post]
25 Jan 2019, 5:58 am
Incorporating Social Activism Posted by Tom C. [read post]
4 Jun 2018, 9:13 am
.), incorporated on June 1, 2010. [read post]
7 Jul 2017, 12:33 pm
The White Law Group is investigating potential securities fraud claims involving broker-dealers’ improper recommendation that investors purchase high-risk non-traded REIT investments, like Corporate Property Associates 17 Global. [read post]
21 Nov 2009, 8:52 am
For a foreign private issuer, Form 6-K requires submission to the SEC of all significant information that (i) must be made public under local law in the issuer’s country of incorporation or domicile, (ii) is filed with any foreign stock exchange on which the issuer’s securities are listed and made public by such exchange or (iii) is distributed to the issuer’s securityholders. [read post]
27 Sep 2022, 6:18 am
Broker-dealer Joseph Stone Capital (JSC) apparently dealt with exactly that. [read post]
