Posts tagged with: "2111"
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24 Feb 2023, 3:00 am
Ct. 2111 (2022). [read post]
16 Feb 2023, 6:02 am
FINRA Rule 2111 Suitability If your broker recommends a trade without having a reasonable basis for doing so, he could be violation of FINRA Rule 2111 (Suitability). [read post]
13 Feb 2023, 9:59 am
Below, pinpoint cites are to 142 S.Ct. 2111. [read post]
3 Feb 2023, 10:15 am
Ct. 2111 In Bruen the Supreme Court found that “the [G]overnment must affirmatively prove that its firearms regulation is part of the historical tradition that delimits the outer bounds of the right to keep and bear arms. [read post]
2 Feb 2023, 6:52 pm
Ct. 2111 (2022), it is not…” [read post]
2 Feb 2023, 4:35 pm
Ct. 2111, with Binderup v. [read post]
21 Jan 2023, 11:40 am
It appears to be simple enough. 4 NYCRR 5.31 provides that except as otherwise provide therein, "every resignation shall be in writing" while §31(2) of the Public Officers Law requires that "[e]very resignation shall be in writing addressed to the officer or body to whom it is made. [read post]
21 Jan 2023, 11:40 am
It appears to be simple enough. 4 NYCRR 5.31 provides that except as otherwise provide therein, "every resignation shall be in writing" while §31(2) of the Public Officers Law requires that "[e]very resignation shall be in writing addressed to the officer or body to whom it is made. [read post]
13 Jan 2023, 6:30 am
For the Balkinization 20th Anniversary SymposiumRichard Fallon Although I have never before written anything for inclusion in a blog, I am pleased by this opportunity to celebrate Balkinizationfor its remarkable contributions over the past twenty years. [read post]
12 Jan 2023, 11:57 am
The Letter of Acceptance Waiver and Consent (AWC) discussed how two of Janney’s advisors “recommended that 11 customers unsuitably concentrate their accounts in certain energy-sector securities, including master limited partnerships focused on the exploration or development of natural resources” in violation of the FINRA Suitability Rule, 2111. [read post]
29 Nov 2022, 7:59 am
According to a Letter of Acceptance Waiver and Consent signed on November 25, 2022, FFEC allegedly failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with the suitability requirements of FINRA Rule 2111 in connection with margin use. [read post]
23 Nov 2022, 6:06 am
Ct. 2111 (2022), the Supreme Court rejected the prior New York law under the Second Amendment to publicly carry firearms for self-defense. [read post]
20 Nov 2022, 2:09 pm
This due diligence process is required to be undertaken and is mandated by FINRA Rule 2111, Regulation Best Interest, and several FINRA notices, including most prominently, Regulatory Notice 10-22. [read post]
20 Nov 2022, 9:55 am
Ct. 2111, 2126-27 (2022). [read post]
20 Nov 2022, 9:53 am
Ct. 2111 (2022). [read post]
19 Nov 2022, 3:56 am
Ct. 2111 (2022). [read post]
15 Nov 2022, 6:07 am
___, 142 S.Ct. 2111, 213 L.Ed.2d 387 (2022), is an odd decision. [read post]
14 Nov 2022, 9:04 am
Ct. 2111 (2022), holding that New York could not constitutionally require residents to show a special need (beyond the general concerns about self-defense that any person might have) in order to obtain a permit to carry a handgun outside the home. [read post]
14 Nov 2022, 8:00 am
Bruen, 142 S.Ct. 2111 (2022), narrowed the category of firearm-related acts that the government can regulate. [read post]
14 Nov 2022, 4:00 am
Ct. 2111 (2022). [read post]
