Search for: "National Association of Securities Dealers, Inc. v. Securities and Exchange Commission"
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29 Jan 2020, 9:26 am
Securities and Exchange Commission and Commodities and Futures Trading Commission broadly defining a swap. [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]
31 Dec 2019, 8:13 am
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [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]
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]
1 Nov 2017, 10:21 am
NASD (National Association of Securities Dealers, Inc.) [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]
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]
12 Jul 2017, 12:21 pm
See, e.g., Balboa Island Inn, Inc. v. [read post]
29 Aug 2016, 4:00 am
[The National Association for Fixed Annuities, et al, v. [read post]
16 Jun 2016, 2:48 pm
Securities and Exchange Commission’s (SEC’s) cybersecurity regulatory and enforcement onslaught continues . . . [read post]
13 Jan 2016, 5:05 pm
The government response was the enactment of the Securities and Exchange Act of 1934, which created the Securities and Exchange Commission (SEC) and made financial reporting obligatory for public corporations. [read post]
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]
24 Sep 2013, 7:05 pm
Philip Morris USA Inc. v. [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]
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]
3 Apr 2013, 12:47 pm
Barbato, Securities Exchange Act Release No. 41034), Craighead v. [read post]
16 Nov 2012, 9:14 am
[the Oppenheimer Rochester National Municipals Fund]. [read post]
