Search for: "Dealer Trade Incorporated"
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19 Apr 2024, 2:04 pm
Incorporated FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
3 Apr 2024, 9:03 pm
It is driving broker-dealers to allocate significant capital to their crypto custody businesses or to avoid the business altogether. [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]
8 Mar 2024, 5:06 am
Whether navigating trade shows or pioneering innovative solutions, my artistic vision has remained at the forefront, driving me to explore new horizons and challenge conventional thinking. [read post]
30 Jan 2024, 5:50 am
”The use of algorithms and other advanced programming have a long history in financial services, and such applications have evolved to incorporate AI, the CFTC noted in its release. [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]
5 Jan 2024, 1:14 pm
Louis No NYLife Securities, LLC Shawn O’Connell Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Incorporated Chanda Park Transamerica Financial Advisors, Inc. [read post]
11 Dec 2023, 1:18 pm
For example, in Virginia, the formation of a corporation requires the filing of Articles of Incorporation with the State Corporation Commission (“SCC”), the formation of an LLC requires the filing of Articles of Organization with the SCC, and the formation of a limited partnership (“LP”) requires the filing of a Certificate of Limited Partnership. [read post]
3 Nov 2023, 11:48 am
FINRA also requires that brokers and dealers maintain records of discretionary trades, including the terms and conditions of the authorization, and the time and price of each trade. [read post]
24 Oct 2023, 4:36 pm
” The Supreme Court in Lachaux did seek to impugn this practice which has now been incorporated into the latest version of the King’s Bench Division Guide (2023) at paragraph 17.34. [read post]
20 Oct 2023, 2:40 pm
The SEC asserted that the Administrator, at the behest of the fund’s sponsor, calculated the fund’s net asset value without including trading losses, resulting in materially overstated values in the investors’ account statements. [read post]
28 Sep 2023, 2:00 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, 2:00 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, 2:00 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]
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, 1:37 pm
Tremblay reportedly was registered as a broker with Cruttenden Roth Incorporated, in Newport Beach, California, from 1995 to 1997. [read post]
28 Sep 2023, 1:37 pm
Tremblay reportedly was registered as a broker with Cruttenden Roth Incorporated, in Newport Beach, California, from 1995 to 1997. [read post]
28 Sep 2023, 1:37 pm
Tremblay reportedly was registered as a broker with Cruttenden Roth Incorporated, in Newport Beach, California, from 1995 to 1997. [read post]
