Search for: "NATIONAL AUTOMOBILE DEALERS ASSOCIATION v. FEDERAL TRADE COMMISSION" Results 1 - 7 of 7
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31 Jan 2024, 11:31 am by The White Law Group
  The case also involved supervisory failures related to dealer markups on secondary market trades, and Edward Jones undertook remedial efforts to disclose markups on all fixed income retail order trade confirmations. [read post]
16 Mar 2010, 1:14 am
Securities and Exchange Commission's reliance on prospectus language in bringing a Rule 10(b)(5) case against broker-dealer executives. [read post]
16 Sep 2010, 7:06 pm by Dorothy
ARTHUR JAMES CONLAN, Appellee. 4th District.Evidence -- Hearsay -- For purposes of statute requiring commission to investigate certain election law violations after having received sworn complaint or information reported to commission by Division of Elections and further providing that sworn complaint must be based upon personal information or information other than hearsay, administrative law judge properly interpreted “hearsay” according to its common usage, rather… [read post]