Posts tagged with: "2111"
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8 May 2011, 2:56 pm
Japan Times reports that Prime Minister Kan has stated an opinion on the question I raised earlier here. [read post]
2 May 2011, 9:09 pm
" FINRA's new Rule 2111 expands a broker's responsibility toward the customer. [read post]
13 Apr 2011, 1:53 pm
FINRA filed with the SEC a proposed rule change to delay the implementation date for FINRA Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability), as approved in SR-FINRA-2010-039, until July 9, 2012 (from Oct. 7, 2011). [read post]
12 Apr 2011, 8:15 am
Last week FINRA filed a request with the SEC to delay the implementation date of new FINRA Rule 2090, the know your customer rule, and FINRA Rule 2111, the new suitability rule. [read post]
9 Apr 2011, 10:23 am
The new rules, FINRA Rule 2090 and FINRA Rule 2111, take effect in October 2011. [read post]
17 Mar 2011, 8:55 am
March 2111:10am Career Focus Cost Effective Research12:10pm Career Focus Cost Effective ResearchMonday, March 2812:10pm Career Focus Cost Effective Research Wednesday, March 3011:10am Career Focus Cost Effective Research12:10pm Career Focus Cost Effective ResearchTuesday, April 511:10am Career Focus Cost Effective Research12:10pm Career Focus Cost Effective ResearchWednesday, April 1311:10am Career Focus Cost Effective Research12:10pm … [read post]
1 Mar 2011, 4:43 pm
My mother left my father 3 years ago. [read post]
9 Feb 2011, 6:34 am
., 534 F.Supp.2d 1204, 2111 (D.Kan. 2008);Patrick Patterson Custom Homes, Inc. v. [read post]
21 Jan 2011, 3:49 pm
The recent shootings in Tucson, Arizona rocked the nation and the world. [read post]
11 Jan 2011, 10:27 am
FINRA Rule 2111(a). [read post]
11 Jan 2011, 10:27 am
Among other things, the term andldquo;strategyandrdquo; would capture a brokerandrsquo;s explicit recommendation to hold a security or securities.14 The rule recognizes that customers may rely on firmsandrsquo; and associated personsandrsquo; investment expertise and knowledge, and it is thus appropriate to hold firms and associated persons responsible for the recommendations that they make to customers, regardless of whether those recommendations result in transactions or generate transaction-based… [read post]
7 Dec 2010, 10:00 pm
On Tuesday, December 7, the Wisconsin Supreme Court decided to review the extent to which outpatient hospital departments, including outpatient facilities that are located away from the main hospital campus, are eligible for property tax exemption under Wisconsin law. [read post]
7 Dec 2010, 10:00 pm
On Tuesday, December 7, the Wisconsin Supreme Court decided to review the extent to which outpatient hospital departments, including outpatient facilities that are located away from the main hospital campus, are eligible for property tax exemption under Wisconsin law. [read post]
19 Nov 2010, 7:58 am
Robbery. 18 USC 2111. [read post]
18 Nov 2010, 12:24 pm
The SEC granted approval, on an accelerated basis, to FINRA's proposed rule change to adopt FINRA Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability) in the consolidated FINRA rulebook. [read post]
30 Sep 2010, 11:00 pm
La Primera Sala de la Suprema Corte de Justicia negó a Ford Motor Company y ADT Private Security Services sendos amparos que promovían en contra de las reformas a la Ley del Seguro Social, que los convierte en responsables solidarios del registro de un trabajador ante el seguro social. [read post]
9 Sep 2010, 9:54 am
August 2009-July 2010 August 2008-July 2009 DWI Cases Pending at Start of Period 6,687 6,039 New DWI Cases Filed 12,315 11,341 DWI Motions to Revoke Probation Filed 775 656 Other DWI Cases Reaching Docket 10 7 Total DWI Cases on Docket 19,787 18,043 DWI Convictions (Guilty Pleas) 8,187 8,917 DWI Convictions (Bench Trial) 2 1 DWI Convictions (Guilty Plea to Jury) 8 1 DWI Convictions (Not Guilty Plea to Jury) 96 86 Total DWI Convictions 8,293 9,005 DWI Deferred Adjucation* 1 1 … [read post]
31 Aug 2010, 4:20 am
" §2111 states that a school district officer "may resign to a district meeting. [read post]
13 Aug 2010, 1:28 pm
” MPEP § 2111. [read post]
13 Aug 2010, 2:03 am
High Court (Queen’s Bench Division) VL (A Child) v Oxfordshire County Council [2010] EWHC 2091 (QB) (05 August 2010) High Court (Chancery Division) Abbar & Anor v Saudi Economic & Development Company (Sedco) Real Estate Ltd & Ors [2010] EWHC 2132 (Ch) (05 August 2010) High Court (Administrative Court) Grimsby Institute of Further and Higher Education, R (on the application of) v Learning and Skills Council [2010] EWHC 2134 (Admin) (12 August 2010) Asliturk v The City of… [read post]
