Search for: "Dealer Trade Incorporated"
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23 Dec 2022, 8:27 am
This latest measure explicitly prohibits the commercial trade of shark fins in this country, treating the fins as part of an illegal wildlife trade—which, effectively now, they are. [read post]
21 Jun 2018, 8:26 am
According to the SEC’s order, Merrill Lynch allegedly falsely informed customers that it had executed millions of orders internally when it actually had routed them for execution at other broker-dealers, including proprietary trading firms and wholesale market makers. [read post]
12 Mar 2024, 1:44 pm
Security Tokens may be acquired in platforms that are registered with the Securities and Exchange Commission (SEC) as Alternative Trading Systems (ATS), such as tZero and OpenFinance, broker-dealers and crowdfunding platforms such as Kickstarter and StartEngine. [read post]
17 Feb 2022, 2:51 pm
Once all comments are received, the SEC will review and incorporate the comments into the proposed rule, as it deems appropriate. [read post]
25 Jan 2017, 3:30 am
Gilson and Kraakman were the first to identify and map out the key channels through which any particular piece of new information, depending on the cost of acquiring and processing it, gets incorporated into the publicly-traded stock prices. [read post]
21 Dec 2012, 4:49 am
According to the companies own announcement, the EcoRexNS™ incorporates barcode technology, already widely used in hospitals to track drug utilization and prevent medication errors, and a proprietary, continuously updated database of more than 140,000 National Drug Code (NDC) products, to instantly categorize waste medicines. [read post]
23 Jun 2022, 1:19 pm
Unfortunately, the highly touted L bonds Were neither publicly traded nor liquid, and highly risky. [read post]
7 Oct 2009, 8:13 am
The temporal standard now begins when an adviser "makes an investment or trading decision" (emphasis added). [read post]
28 Sep 2023, 1:45 pm
Those sources are incorporated by reference into the text of this blog and are the governing materials in case of any inconsistencies or typos in this blog. [read post]
28 Sep 2023, 1:45 pm
Those sources are incorporated by reference into the text of this blog and are the governing materials in case of any inconsistencies or typos in this blog. [read post]
28 Sep 2023, 1:45 pm
Those sources are incorporated by reference into the text of this blog and are the governing materials in case of any inconsistencies or typos in this blog. [read post]
27 Feb 2020, 3:13 pm
To avoid the pitfalls of such third-party arrangements, firms should incorporate these relationships into their regular risk assessments. [read post]
16 Jun 2020, 6:40 am
In 2013, FINRA announced in a regulatory notice that the scope of Rule 8210 had been clarified, stating that “all aspects of the relationship between a broker-dealer and its associated persons are potentially the subject of a Rule 8210 request. [read post]
13 Feb 2013, 11:16 am
Another problem with non-traded REITs is the extremely high commission fee broker-dealers receive. [read post]
10 Jul 2019, 12:00 pm
First Capital Real Estate Trust Incorporated is a public non-traded REIT based in New York City and founded in 2012. [read post]
25 Jul 2012, 11:26 am
Indeed, FINMA seriously doubts if CFTC registration as a swaps dealer by a Swiss bank can be reconciled with Swiss practice.In particular, proposed reporting requirements on trade data and end-customer data, as well as access requirements, may raise Swiss privacy and data protection issues, along with enforcement difficulties. [read post]
26 Jan 2024, 8:27 am
(CRD#:7059), EL PASO, TXB, 04/12/2005 – 08/08/2007, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), EL PASO, TX Failure to Supervise FINRA Rule 3110 specifically outlines the supervisory obligations of broker-dealers. [read post]
6 Apr 2021, 7:45 am
Many NFTs incorporate multiple features, so one must balance Howey and Forman. [read post]
21 Oct 2015, 1:14 pm
FINRA Rule 2010 requires members, in the conduct of their business, to observe high standards of commercial honor and just and equitable principles of trade. [read post]
18 Dec 2015, 9:09 am
-based horse slaughter plants, retain Endangered Species Act provisions for gray wolves, and allow restrictions on the domestic ivory trade to protect elephants from poaching. [read post]
