Search for: "SEC v. National Securities, Inc."
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8 Dec 2021, 11:27 am
Registered CPOs and CTAs must prepare and file Annual Questionnaires and Annual Registration Updates with the National Futures Association (“NFA”), as well as submit payment for annual maintenance fees and NFA membership dues. [read post]
8 Dec 2021, 7:27 am
Registered CPOs and CTAs must prepare and file Annual Questionnaires and Annual Registration Updates with the National Futures Association (“NFA”), as well as submit payment for annual maintenance fees and NFA membership dues. [read post]
16 Nov 2021, 6:08 am
Zenergy International, Inc. and an $80,000 penalty against the orchestrator of a pump-and-dump scheme in SEC v. [read post]
19 Oct 2021, 10:10 am
Jan. 27, 2016); Bartnett v. [read post]
29 Jun 2021, 2:27 pm
Ripple Labs Inc., Docket C.A. [read post]
12 Feb 2021, 5:57 am
Silk, Sabastian V. [read post]
22 Jan 2021, 7:56 am
The amici are the Council for Institutional Investors, the Securities Industry and Financial Markets Association, Inc., Investors' Exchange LLC, and MEMX LLC (The Nasdaq Stock Market LLC v. [read post]
22 Dec 2020, 9:43 am
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
1 Sep 2020, 6:23 am
In addition, a petition for a writ of certiorari was filed in National Retirement Fund v. [read post]
19 Jul 2020, 7:17 am
Vasquez, Inc. v. [read post]
10 Jul 2020, 5:58 am
Securities and Exchange Commission, on Wednesday, July 8, 2020 Tags: Corporate liability, Disclosure, ESG, Institutional Investors, Materiality, SEC, Securities regulation, Sustainability 8 Steps for Audit Committees to Navigate the Pandemic Posted by Hille R. [read post]
20 May 2020, 1:58 pm
Guest Post by Colleen V. [read post]
13 May 2020, 8:24 am
Publicly-available Form D and Form D amendments filed with the SEC list the following firms as receiving sales compensation for selling The Parking REIT: Accelerated Capital Group; Centaurus Financial, Inc.; Coastal Equities, Inc.; Crown Capital Securities, L.P.; Forest Securities, Inc.; Great Point Capital LLC; NI Advisors; Sandlapper Securities, LLC; Whitehall-Parker Securities, Inc. [read post]
16 Apr 2020, 4:55 am
District Judge Kevin Castel of the Southern District Court of New York issued an injunction against Telegram Group Inc. [read post]
15 Apr 2020, 6:06 am
3M Company v. [read post]
2 Apr 2020, 4:14 pm
In Salzberg v. [read post]
30 Mar 2020, 4:59 am
Hart v. [read post]
13 Mar 2020, 6:31 am
National Australia Bank Ltd. [read post]
28 Jan 2020, 9:58 pm
Accordingly, Coix filed the Coix Health, LLC v. [read post]
24 Jan 2020, 5:00 am
Petitioner Dennis Malouf is the former CEO and majority owner of an investment adviser, UASNM, Inc. [read post]
