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30 Oct 2020, 3:21 am
Dwight Dykstra Suspended, Fined, and Ordered Disgorgement by FINRA In October 2018 while investment adviser Dwight Dykstra was associated with Vision Brokerage Services (VBS), he allegedly participated in private securities transactions without providing prior written notice to his firm which is a violation of FINRA Rules. [read post]
26 Apr 2012, 10:59 am
Under the bill, the short title of which is The Investment Adviser Oversight Act of 2012, registered investment advisors would be required to register with a newly created self-regulatory organization(s) called National Investment Adviser Associations (NIAAs) that would be registered and overseen by the SEC. [read post]
20 May 2021, 8:53 am
Perrone, Research Associate Professor, Universidad Andres Bello, Chile; (Author, Investment Treaties and the Legal Imagination) [read post]
21 Apr 2017, 4:04 am
Rodney Moore (Mecklenburg) and provides that: beginning October 1, 2017, all community association managers must have an NC real estate broker license association community managers would not be permitted to exercise control over (a) the reserves or investment … Continue reading → [read post]
17 Jan 2011, 4:53 pm
The Alternative Investment Management Association (AIMA) comments were a consultation response sent to the new European Securities and Markets Authority (ESMA). [read post]
5 Jul 2011, 8:45 am
Daniel Sokol Arthur Fishman (Bar-Ilan University) and Nadav Levy (IDC Herzliya) discuss Search Costs and Risky Investment in Quality. [read post]
5 Jul 2011, 8:45 am
Daniel Sokol Arthur Fishman (Bar-Ilan University) and Nadav Levy (IDC Herzliya) discuss Search Costs and Risky Investment in Quality. [read post]
29 Oct 2013, 6:29 am
Here's a new piece from research associate Michal Krol entitled "The Case for an EU-China investment agreement": http://www.ecipe.org/media/publication_pdfs/ECIPE_Bulletin_6_FINALPDF.pdf An excerpt: all the BITs that China has with EU countries are not of top standard. [read post]
22 Mar 2018, 12:43 pm
If Horter Investment Management sold you shares of LJMIX and you lost money, you may be able to recover those losses by bringing a private arbitration action against the firm through the American Arbitration Association (AAA). [read post]
23 May 2019, 6:52 am
The North American Securities Administrators Association, Inc. [read post]
26 Jun 2018, 6:46 am
The two were associated with Signator out of the firm’s Grand Rapids, Michigan branch. [read post]
23 Aug 2017, 2:50 pm
The required annual investment for RDM is $5M growing to $10M per year over the five years. [read post]
5 Nov 2017, 7:33 am
Since 2001 Smith has been associated with Kestra Investment out of the firm’s St. [read post]
20 Jan 2017, 10:18 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Donnie Ingram (Ingram) currently associated with Centaurus Financial, Inc. [read post]
16 Feb 2009, 9:59 pm
By Donald Zuhn -- In December, the National Venture Capital Association (NVCA), a trade association representing the U.S. venture capital industry, issued its forecast for venture investment in the coming year, predicting that most sectors would see a continued slowdown in investment in 2009 (see "NVCA Predicts Another Slow Year for Venture-backed Businesses in 2009"). [read post]
11 Dec 2009, 12:48 pm
An amendment to the House financial regulation legislation that would have subjected investment advisers associated with broker-dealers to FINRA regulation was defeated by voice vote. [read post]
15 Nov 2021, 6:22 am
Rowland is partner, Sarah Kim is counsel, and Leon Salkin is an associate at Davis Polk & Wardwell LLP. [read post]
5 Oct 2018, 12:44 pm
(CRD #17609) of Delray Beach, FL, Thomas James Associates, Inc. [read post]
2 Nov 2007, 8:28 am
The Times and the Association of Investment Companies report that HMRC has withdrawn its appeal. [read post]
19 Mar 2012, 12:35 pm
In a letter to the SEC and other federal financial regulators crafting regulations implementing the Dodd-Frank Volcker Rule provisions, the Investment Industry Association of Canada said that the Volcker Rule also runs counter to G20 and Financial Stability Board objectives for coordinated policymaking across jurisdictions. [read post]
