Search for: "Dealer Trade Incorporated"
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15 Nov 2022, 5:09 am
In some cases, firms routed all orders to a clearing firm without either creating a Rule 606 report or incorporating by reference the clearing firm’s Rule 606 report. [read post]
10 Jun 2019, 8:38 am
The FCA visited 19 market sector operators, including investment banks, recognised investment exchanges, clearing and settlement houses, trade bodies, inter-dealer brokers, trading firms and a custodian bank. [read post]
20 Jul 2022, 6:35 am
Despite the implementation of Reg BI, NASAA has found that many broker-dealers have not materially changed their policies, procedures, or practices on the sale of complex and risky products like non-traded REITs. [read post]
20 Sep 2018, 7:21 am
But unlike traditional stock exchanges, private trading venues, and broker-dealers, virtual asset trading platforms have not registered under state or federal securities or commodities laws. [read post]
3 May 2012, 7:18 am
" The Proposed Rules clarify that the term "financial institution" includes any "futures commission merchant, retail foreign exchange dealer, commodity trading advisor, commodity pool operator, introducing broker, swap dealer, or major swap participant that directly or indirectly holds a transaction account belonging to a consumer. [read post]
19 Mar 2021, 9:37 am
Another area holding back the expansion of crypto, in Peirce’s view, is that the SEC has moved too slowly in approving exchange-traded products incorporating crypto assets. [read post]
24 Aug 2020, 4:33 pm
Uber also agreed to not incorporate Waymo’s confidential information into its hardware and software. [read post]
18 Jun 2018, 2:02 pm
The SEC alleged that personnel of Merrill Lynch, acting as broker-dealers engaged in secondary market trading of non-agency RMBS, made false or misleading statements to customers between June 2009 and December 2012 that led customers to accept less or pay more for securities than they otherwise might have accepted or paid. [read post]
9 Jan 2020, 7:53 am
METHOD OF TRANSFER A transfer, whether by assignment or novation, of an existing ECB-compliant lending position may need to be compliant with the Master Direction on External Commercial Borrowings, Trade Credit, Borrowing and Lending in Foreign Currency by Authorised Dealers and Persons other than Authorised Dealers (the “Guidelines”). [read post]
10 Mar 2019, 8:45 am
Allegis was insured under a Broker-Dealers and Investment Advisors Errors & Omissions Policy (the “E&O Policy. [read post]
28 Jul 2016, 1:42 pm
Brown was employed and registered by Ferris, Baker Watts Incorporated from 2003 to 2008, also out of Baltimore, Maryland, according to his BrokerCheck report. [read post]
17 Aug 2009, 3:00 pm
The Proposed Quebec Regulation incorporates by reference various registration-related instruments and material provisions of 31-103 and would (if adopted) introduce an important registration exemption for non-Quebec dealers and advisers in exchange-traded derivatives offered primarily outside Quebec, provided they limit their activities to “accredited counterparties” (as defined in the QDA). [read post]
27 Jun 2018, 2:04 pm
The House Parties do not renew these arguments on appeal, relying only on their new arguments that they could not have assented to delegation by the incorporation of a set of arbitration rules. [read post]
19 Apr 2017, 6:53 am
The White Law Group is investigating potential securities fraud claims involving broker-dealers’ improper recommendation that investors purchase high-risk non-traded REIT investments, like Corporate Property Associates 17 Global. [read post]
27 Feb 2023, 6:34 am
Haipo Yang was listed on the document as Vino Global’s “incorporator. [read post]
28 Jul 2022, 6:57 pm
That license prohibits licensees from disassembling the software code or incorporating it into other software. [read post]
8 Nov 2018, 2:41 pm
The website resembled an online securities trading platform. [read post]
7 Aug 2018, 1:19 pm
” The company incorporated in 2010 and is a self-managed Real Estate Investment Trust (REIT). [read post]
20 Jul 2015, 2:35 pm
Both entities are incorporated in New York and headquartered in Albany. [read post]
13 Dec 2006, 3:11 am
The second no-action letter from 2002 granted an exemption from broker-dealer, agent and investment adviser registration for a Kansas limited liability company that managed the day-to-day operations of a hedge fund.The Pennsylvania Securities Commission in a 1999 no-action letter declared that two limited liability companies proposing to trade securities in Pennsylvania exclusively with brokers or dealers registered under the Securities Act of 1934 fell within an exemption… [read post]
