Search for: "SEC v. National Securities, Inc." Results 1 - 20 of 389
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1 Apr 2021, 6:17 am by Astarita
District Court in New York in Hertz Global Holdings Inc. v. [read post]
1 Mar 2017, 5:00 am by John Ikard
National security exchanges are self-regulatory organizations (“SRO”) subject to the Securities and Exchange Commission’s (“SEC”) approval and oversight. [read post]
24 Feb 2017, 5:00 am by Ryan Sharkey
Defendants, national Securities Exchanges (the “Exchanges”), provide information about securities traded on the Exchanges to an exclusive securities processor (“Processor”) pursuant to Regulation National Market System (”Reg NMS”). [read post]
8 Apr 2007, 4:40 am
" A covered security is a security listed on one of the national securities exchanges or issued by investment companies registered by the SEC. [read post]
20 Oct 2019, 7:00 am by Race to the Bottom
The Securities and Exchange Commission (the “SEC”) and Bitqyck, Inc. and its founders, Bruce E. [read post]
4 Apr 2015, 3:32 am by Jon Gelman
Since these investigations included allegations of possible securities law violations, the SEC found that these terms violated Rule 21F-17, which prohibits companies from taking any action to impede whistleblowers from reporting possible securities violations to the SEC. [read post]
14 Aug 2007, 6:00 am
First Union Securities, Inc., ___ Cal.App.4th ___ (Aug. 10, 2007), the Court of Appeal (Second Appellate District, Division Three) interpreted the arbitration rules in the Code of Arbitration Procedure of the National Association of Securities Dealers ("NASD"). [read post]
29 Aug 2011, 2:00 am by Keith Paul Bishop
International Securities Exchange, LLC       Rule 146(b)(1)(iv) (options) The Nasdaq Stock Market LLC Release 87-C (Global Select, Global & Capital Markets) Rule 260.101.2 (Global Market) Rule 260.105.17(b) (Global Market) Sec. 18(b)(1)(A)*** Rule 146(b)(1)(vNational Stock Exchange, Inc.         [read post]
Australia National Bank to claims involving the extraterritorial reach of the federal securities laws. [read post]
28 Jul 2019, 8:40 am by Race to the Bottom
On April 2, 2019 the founder and former Chief Executive Officer of Jumio Inc., Daniel Mattes, agreed to settle with the Securities Exchange Commission (SEC) for more than $17 million for defrauding investors. [read post]