Search for: "ATS Operations, LLC"
Results 1 - 20
of 89
Sorted by Relevance
|
Sort by Date
30 Oct 2012, 7:57 am
Second, the SEC found that eBX willfully violated Rule 301(b)(2) of Regulation ATS, which requires an ATS to file an amended Form ATS with the SEC before implementing material changes to its operation or when the Form ATS on file becomes inaccurate. [read post]
24 Sep 2019, 1:18 pm
The Securities and Exchange Commission today announced that TMC Bonds LLC, operator of an alternative trading system (ATS) for fixed income securities, has agreed to pay $2.1 million to settle charges arising from TMC Bonds’ failure to protect…Read the Full Press ReleaseWant to talk to a securities lawyer? [read post]
14 Jan 2023, 6:11 am
The case is entitled Earthmed LLC v. [read post]
15 Jul 2021, 9:01 pm
Although neither of the defendant U.S. corporations operated farms where the alleged child slavery occurred, the plaintiffs alleged that the defendant U.S. [read post]
19 Jul 2010, 9:41 pm
A lawsuit will be filed tomorrow against L & K Tricoli, LLC, which owns and operates Baker Street Restaurant and Pub, on behalf of Tanja Dzinovic. [read post]
30 Nov 2023, 4:25 pm
The company behind an outbreak of high lead levels in children who ate certain cinnamon applesauce has named the supplier of the cinnamon. [read post]
10 Dec 2021, 12:37 pm
Upon information and belief, Inspire Brands, Inc. purchased Jimmy John’s, LLC on October 18, 2019, and, at all times relevant to this matter, operated in conjunction with Jimmy John’s, LLC, and previous owner Jimmy John Liautaud as a brand advisor, to act as the franchisor or operator of all Jimmy John’s restaurants nationwide. [read post]
9 Oct 2019, 2:05 am
The Court of Appeal has handed down judgment in Lloyd v Google LLC [2019] EWCA Civ 1599, a decision with significant implications for data protection law and practice. [read post]
27 Jul 2018, 1:25 pm
(registered as a broker-dealer and licensed to operate an ATS) Keystone Capital Corp. [read post]
26 Sep 2018, 2:39 pm
Such disclosures occur via Form ATS-N, which seeks information regarding the ATS’s manner of operations, its managing broker-dealer, the broker-dealer’s affiliates, and the broker-dealer’s ATS-related activities. [read post]
26 Sep 2018, 2:39 pm
Such disclosures occur via Form ATS-N, which seeks information regarding the ATS’s manner of operations, its managing broker-dealer, the broker-dealer’s affiliates, and the broker-dealer’s ATS-related activities. [read post]
25 Apr 2012, 10:50 am
The Whistleblower agreed to speak to the Journal and be identified, and detailed how he was treated both before and after he blew the whistle on Pipeline's activities.According to papers filed in a settled Administrative Proceeding filed in October 2011, Pipeline operated an alternative trading system ("ATS"), a private stock-trading platform commonly referred to as a "dark pool. [read post]
8 Dec 2011, 3:00 am
LLC),[5] and the other in the District of Columbia Circuit (see Judge Rogers in Doe v Exxon).[6] Both of these opinions support corporate liability under the ATS and likewise reflect the reasoning of Murray, Kinley and Pitts that the rumours of the death of corporate liability under the ATS are greatly exaggerated. [read post]
28 Feb 2024, 9:06 pm
State and local public health officials have interviewed outbreak patients about the foods they ate the week before they became sick. [read post]
23 Aug 2013, 3:12 pm
TA Operating, LLC, US 10th Cir. (8/20/13)Bankruptcy, Constitutional Law, Injury LawPlaintiffs Richard and Susan Queen sued Defendant TA Operating, LLC for an injury Mr. [read post]
25 Apr 2012, 10:50 am
According to papers filed in a settled Administrative Proceeding filed in October 2011, Pipeline operated an alternative trading system ("ATS"), a private stock-trading platform commonly referred to as a "dark pool. [read post]
18 Oct 2012, 10:03 pm
Meantime, eBX LLC, a dark pool operator, must pay $800,000 to settle Securities and Exchange Commission allegations that it did not keep subscribers’ information confidential. eBX LLC runs an alternative trading system LeveL ATS. [read post]
23 Mar 2021, 7:36 am
The remainder of their time was devoted to vessel operations, and the employees ate, slept and performed virtually all of their tasks aboard vessels. [read post]
15 Dec 2023, 3:02 pm
Mexican officials have closed the implicated cantaloupe operation. [read post]
18 Nov 2011, 8:03 am
Securities and Exchange Commission recently imposed a $1 million administrative penalty against Pipeline Trading Systems LLC for misleading investors in connection with the operation of its dark pool. [read post]
