Search for: "National Association of Securities Dealers, Inc. v. Securities and Exchange Commission"
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13 Nov 2012, 11:54 am
Securities and Exchange Command#39;n, 415 F.2d 589, 596-7 (2nd Cir.1969). [read post]
15 Aug 2013, 12:45 pm
The high commissions associated with oils and gas investments often provides some broker-dealers with enough incentive to overlook suitability requirements set forth by the Securities and Exchange Act of 1934. [read post]
FINRA Proposal Giving Collective Actions Exemption from Arbitration Gains SEC’s Accelerated Approval
24 Apr 2012, 11:13 am
The Securities and Exchange Commission has given accelerated approval to a proposed rule change by the Financial Industry Regulatory Authority. [read post]
10 Jan 2024, 9:01 pm
Securities and Exchange Commission. [read post]
25 Aug 2011, 9:10 am
National Practice. [read post]
29 Aug 2016, 4:00 am
[The National Association for Fixed Annuities, et al, v. [read post]
1 Nov 2017, 10:21 am
NASD (National Association of Securities Dealers, Inc.) [read post]
16 Nov 2012, 9:14 am
[the Oppenheimer Rochester National Municipals Fund]. [read post]
16 Nov 2021, 6:08 am
Its shares are not listed and do not trade on a registered national securities exchange. [read post]
24 Jan 2020, 5:00 am
The Exchange Act and Investment Advisers Act, for example, require exhaustion, but contain an exception if there are "reasonable grounds" for failing to urge the objection before the Commission. [read post]
3 Apr 2013, 12:47 pm
Barbato, Securities Exchange Act Release No. 41034), Craighead v. [read post]
13 Mar 2020, 6:31 am
National Australia Bank Ltd. [read post]
12 Sep 2013, 8:09 am
Of course, it is all of these costs that make the investments so profitable for insurance providers and this is why they are willing to pay such a high commission to the financial advisors willing to sell the products. v. [read post]
31 Jan 2024, 11:31 am
The review includes regulatory sanctions from the Financial Industry Regulatory Authority (FINRA), the US Securities Exchange Commission (SEC) and state regulators. [read post]
27 Dec 2023, 6:09 pm
FINRA, the regulator that oversees brokers and brokerage firms, and the Securities and Exchange Commission may impose regulatory actions against a broker-dealer such as censures, fines, suspensions and restitution, among others. [read post]
29 Apr 2010, 2:08 pm
Securities and Exchange Commission (SEC), one fully supported by the relevant statute, Section 10 of the Securities Exchange Act of 1934, that investors do have a right of action against these defendants. [read post]
24 Aug 2022, 5:01 am
The Securities and Exchange Commission (SEC) conducts regular examinations of broker-dealers and investment firms and has made “identification and assessment of cybersecurity risks” one focus of those exams since at least its 2014 Risk Alert. [read post]
22 Aug 2017, 9:10 am
“Many of these documents are on file with the Securities and Exchange Commission and can be view on its website. [read post]
24 Oct 2023, 9:01 pm
It detailed Perella Weinberg’s self-report and cooperation.[13] In that case, the Commission ordered a $2.5 million penalty – a very substantial reduction from the penalties imposed on other broker-dealers and advisers. [read post]
3 Nov 2009, 3:41 am
They also alleged that Vinar was negligent in failing to seek reformation of the National Association of Securities Dealers, Inc., Form U-5 (hereinafter the U-5), provided by the plaintiff's employer to remove an allegedly false or defamatory statement contained therein regarding the reason for the termination of her employment. [read post]
