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]
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]
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]
25 Aug 2011, 9:10 am
National Practice. [read post]
16 Sep 2010, 7:06 pm
STANDARD CHARTERED BANK INTERNATIONAL (AMERICAS) LIMITED and STANCHART SECURITIES INTERNATIONAL, INC., Defendants. [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]
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]
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]
23 Aug 2008, 1:23 am
: (Part 1 - SPICY IP), (Part 2 - SPICY IP) Global – Copyright International Federation of the Phonographic Industry (IFPI): ‘Three strikes’ effort hit worldwide home run: (Ars Technica), How to attribute a Creative Commons licensed work: (Molly Kleinman), Chrysalis disappoints, as new artists fail to incubate: (IP finance), DRM for streaming music dies a quiet death: (Electronic Frontier Foundation), (Techdirt) Events 26 August:… [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]
8 Feb 2007, 5:00 pm
(No. 05-0381)With its review of Ross-Simmons Hardwood Lumber Co., Inc. v. [read post]
