Search for: "Dealer Trade Incorporated"
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1 Jul 2014, 9:00 am
At the vortex of the investigation is political research firm and broker-dealer Height Securities, which is regulated by the SEC. [read post]
1 Nov 2010, 2:19 pm
The staff's report noted that countries incorporate IFRS into their GAAP either by adopting IFRS as issued by the IASB or by following a national incorporation process. [read post]
15 Mar 2022, 1:04 pm
Although the rule is lengthy, and incorporates other rules including Federal Reserve Board Regulation T, the essence of the rule allows a broker-dealer to lend a customer up to 50% of the total purchase price of an eligible stock. [read post]
9 Jan 2014, 7:51 am
Louis-based broker-dealers – Stifel, Nicolaus & Company, Incorporated and Century Securities Associates, Inc. [read post]
8 Nov 2021, 9:40 am
” The Authentic Tribal Art Dealers Association(ATADA) derided “the false claims of involvement of the U.S. antiquities trade in general in money laundering or activities supporting terrorism. [read post]
1 Nov 2022, 2:05 pm
” FINRA reportedly started investigating Timothy Higgins during an examination of his employing broker dealer, Spartan Securities, when it allegedly found evidence of excessive trading. [read post]
1 Nov 2022, 2:05 pm
” FINRA reportedly started investigating Timothy Higgins during an examination of his employing broker dealer, Spartan Securities, when it allegedly found evidence of excessive trading. [read post]
1 Nov 2022, 2:05 pm
” FINRA reportedly started investigating Timothy Higgins during an examination of his employing broker dealer, Spartan Securities, when it allegedly found evidence of excessive trading. [read post]
20 Aug 2012, 10:16 pm
The lawyer then allegedly incorporated a competing company Terra Nova Trading, LLC, for Putnam. [read post]
15 Jul 2011, 8:20 am
Back-office services can include such things as software or systems for processing trades, generating client account statements and supervising compliance with regulatory requirements. [read post]
22 Jun 2018, 2:31 pm
According to the SEC’s order released Tuesday, Merrill Lynch admitted to fraudulently deceiving clients about the handling of their millions of orders to buy and trade stock. [read post]
22 Jun 2018, 2:31 pm
According to the SEC’s order released Tuesday, Merrill Lynch admitted to fraudulently deceiving clients about the handling of their millions of orders to buy and trade stock. [read post]
3 Nov 2021, 11:14 am
, trades with other dealers or financial entities), risk mitigation techniques for uncleared SBS. [read post]
3 Nov 2021, 11:14 am
, trades with other dealers or financial entities), risk mitigation techniques for uncleared SBS. [read post]
1 Jul 2019, 5:00 am
Broker-dealer definition exclusion. [read post]
10 Jan 2023, 9:05 am
Cooling-Off Period Under the amended rule, Rule 10b5-1 plans will be required to incorporate a cooling-off period between adoption of such plan and the initial trade thereunder in order to qualify for the Rule 10b5-1 safe harbor. [read post]
14 Jan 2009, 4:05 pm
And to claim that the broker dealer was not involved is just plain wrong.The broker-dealer was clearing the trades, it was executing the trades (to the extent any trades actually existed) and it was carrying the accounts for many of these customers. [read post]
17 Jan 2023, 10:29 am
Cooling-Off Period Under the amended rule, Rule 10b5-1 plans will be required to incorporate a cooling-off period between adoption of such plan and the initial trade thereunder in order to qualify for the Rule 10b5-1 safe harbor. [read post]
27 Oct 2008, 3:11 pm
Hain is a Delaware-incorporated firm, while Oshkosh and Whole Foods are incorporated in Wisconsin and Texas, respectively. [read post]
21 Aug 2017, 5:00 am
CGMI developed several quantitative foreign exchange trading models called the CitiFX Alpha family of strategies and incorporated them into the CitiFX Alpha Program, a financial program that operated as an investment contract to certain brokerage customers and advisory clients of MSSB (the “Relevant Investors”). [read post]
