Search for: "Matter of NMS" Results 161 - 180 of 400
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22 Jan 2021, 7:56 am by John Jascob
In May 2020, the SEC issued an order directing the exchanges and FINRA to draft a new national market system plan (NMS plan) with a modernized governance structure for the production of public consolidated equity market data and the dissemination of trade and quote data from trading venues. [read post]
15 Jan 2021, 11:49 am by Monica Williamson
Pueblo of Isleta General Counsel, Isleta, NM. [read post]
8 Jan 2021, 9:46 am by Monica Williamson
Pueblo of Isleta Associate General Counsel, Isleta, NM. [read post]
5 Jan 2021, 11:32 am by Silver Law Group
Upon receipt of the Form U5, FINRA began its own investigation into the matter and found that Engelmann twice made loans with firm customers. [read post]
23 Oct 2020, 3:00 am by Jim Sedor
National/Federal Back from the Supreme Court, House Pushes DC Circuit for Trump Financials Courthouse News Service – Megan Mineiro | Published: 10/20/2020 A three-judge panel on the District of Columbia Circuit Court of Appeals indicated there is little need for a swift ruling in the legal battle over access to President Trump’s financial records The panel previously upheld the subpoena brought by the House but considered the case for the second time after the U.S. [read post]
9 Oct 2020, 7:54 am by John Jascob
In particular, the SROs propose that the following actions of the company be subject to a majority vote of only the members: (1) the selection of officers other than the chair and secretary, if needed; and (2) certain decisions related to indemnification, dissolution, and tax-related matters. [read post]
25 Sep 2020, 3:00 am by Jim Sedor
National/Federal Behind Trump’s Turkish ‘Bromance’: Lev Parnas, oligarchs and a lucrative lobbying deal NBC News – Aubrey Belford, Adam Klasfeld, Andrew Lehren, and Dan De Luce | Published: 9/22/2020 On January 19, 2017, Turkey’s foreign minister, Mevlüt Çavusoglu, sat down with Brian Ballard, a well-connected lobbyist serving as vice chair of Donald Trump’s inaugural committee. [read post]
21 Aug 2020, 9:30 am by Monica Williamson
The Mescalero Apache Tribe Chief Judge, Mescalero is located in southcentral New Mexico (2 hours north of El Paso, TX and 3 hours south of Albuquerque, NM). [read post]
26 Jun 2020, 1:32 pm by Monica Williamson
Western Environmental Law Center (WELC) Staff Attorney, Taos, NM or Santa Fe, NM. [read post]
12 Jun 2020, 9:45 am by Monica Williamson
New Mexico Legal Aid Native American Program Managing Attorney, Santa Ana Pueblo, NM. [read post]
5 Jun 2020, 2:28 pm by Monica Williamson
  New Mexico Legal Aid  Managing Attorney, Santa Ana Pueblo, NM. [read post]
8 May 2020, 2:58 pm by Monica Williamson
Water Protector Legal Collective Staff Attorney, Albuquerque, NM. [read post]
1 May 2020, 12:31 pm by Monica Williamson
New Mexico Legal Aid Staff Attorney, Gallup, NM. [read post]
14 Apr 2020, 1:11 pm by Hedge Fund Lawyer
Moreover, CPOs should thoroughly document the activation and application of any relevant business continuity policy in response to COVID-19 as the matter could easily become an item of interest on future NFA exams. [read post]
7 Apr 2020, 3:00 am by Kevin Kaufman
All these details will matter now that the longest period of economic expansion in U.S history has given way to a sharp, pandemic-linked economic contraction. [read post]