Search for: "Walls vs. Woods"
Results 41 - 42
of 42
Sorted by Relevance
|
Sort by Date
8 Sep 2010, 2:57 am
: The massive Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which Congress enacted this past July, represents the most significant reform of financial regulation in decades. [read post]
11 Feb 2010, 7:12 am
Over the weekend didn’t contact DTC.23, 27, 41 FINRA/NASD regarding is he trading.24, 25 SEC superiors sometimes called a halt.26 Should have contacted custodians.28 Representing that he no longer uses options.28, 29 Ignoring non insiders; not following tips.31, 34, 35, 36, 37 Suh’s amazing failure to understand the necessary role of banks.31, 32 Learning from NASD he had not held options on relevant days.32 Many on Wall Street were dubious.35 … [read post]
