Search for: "National Association of Securities Dealers, Inc. v. Securities and Exchange Commission"
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4 Sep 2014, 3:19 am
[v] The SEC Certainly the majority of the federal activity on cyber security issues has come from the SEC. [read post]
23 Jan 2023, 9:01 pm
Restricted competition trading center: Any trading center that is not an open competition trading center and is not a national securities exchange. [read post]
13 Feb 2023, 7:28 am
”Panelist David Olivencia, CEO of Angeles Investors, recalled an exchange with a prospective angel investor who did not qualify as an accredited investor. [read post]
1 Sep 2017, 6:49 am
The Parkers asserted that IB's acts and omissions, involving an extreme degree of risk, were grossly negligent, IB had actual awareness of the risk involved, but proceeded with conscious indifference, and IB had violated the Texas Securities Act.[3] The Parkers claimed that IB's breaches of duty had caused them a loss of $725,779 and IB had profited $44,807 in commissions, fees, and interest. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
5 Apr 2018, 8:24 am
On March 7, 2018, the SEC released a public statement affirming its view that platforms that trade securities and operate as exchanges must register as a national securities exchange or operate under an exemption from registration. [read post]
12 Dec 2017, 4:36 pm
Securities and Exchange Commission (SEC) made two key announcements in September of 2017. [read post]
8 Feb 2007, 5:00 pm
(No. 05-0381)With its review of Ross-Simmons Hardwood Lumber Co., Inc. v. [read post]
19 Apr 2024, 9:27 am
The Securities and Exchange Commission (“SEC”) approved 11 spot Bitcoin exchange-traded funds (“ETFs”) on January 10, 2024, marking a historic moment in the crypto industry. [read post]
1 Feb 2010, 6:36 am
The Numbers and Trends By virtually all statistical measures, the level of enforcement activity has increased substantially under this Commission. [read post]
30 Mar 2007, 1:10 am
High Court Affirms Absolute Privilege for Securities Industry's Termination Notices
New York Law Journal
Employers in the securities industry cannot be sued over the contents of the Form U-5 notices they must file with the National Association of Securities Dealers when terminating employees, New York's high court ruled Thursday. [read post]
24 Oct 2019, 2:40 pm
Securities and Exchange Commission (SEC) initiated three illuminating regulatory and enforcement crypto-related actions, celebrating a virtual Octoberfest of crypto-related initiatives and proclamations. [read post]
16 Apr 2018, 4:48 pm
In the seminal prime bank case SEC v. [read post]
15 Dec 2022, 8:00 am
Generally, every CA RIA (other than those also registered as broker-dealers) that has custody of client funds or securities must maintain a minimum net worth of $35,000. [read post]
15 Dec 2022, 4:00 am
Generally, every CA RIA (other than those also registered as broker-dealers) that has custody of client funds or securities must maintain a minimum net worth of $35,000. [read post]
8 Dec 2021, 7:27 am
Registered CPOs and CTAs must prepare and file Annual Questionnaires and Annual Registration Updates with the National Futures Association (“NFA”), as well as submit payment for annual maintenance fees and NFA membership dues. [read post]
8 Dec 2021, 11:27 am
Registered CPOs and CTAs must prepare and file Annual Questionnaires and Annual Registration Updates with the National Futures Association (“NFA”), as well as submit payment for annual maintenance fees and NFA membership dues. [read post]
26 Dec 2011, 7:12 am
See also: National Post – Supreme Court Won’t Hear U.S. [read post]
25 Dec 2011, 11:54 am
See also: National Post – Supreme Court Won’t Hear U.S. [read post]
16 Apr 2020, 4:55 am
Reg BI establishes a “best interest” standard for broker-dealers and associated persons when making recommendations to retail customers involving securities. [read post]
