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About 803 results for "national association of securities de..."

CERTNAS - Global Water Resources, Inc. (0001434728) (Filer)

Form CERTNAS - Certification by the National Association of Securities Dealers Automated Quotation approving securities for listing SEC Accession No. 9999999997-16-022545 Filing Date 2016-04-27 2016-04-27 14:21:16 Filing Date Changed ... SEC, 1 week ago
CERTNAS - PAVmed Inc. (0001624326) (Filer) SEC Filings, 1 week ago

SEC Claims Broker-Dealer's Attempt to Escape FINRA Disciplinary Action is Untimely

The Securities and Exchange Commission expressed its intent to file a friend of the court brief in the lawsuit filed by Scottsdale Capital Advisors Corporation and certain of its senior officers against the Financial Industry Regulatory Association ...
 Lexology1 week ago
SPi World News

Wells Fargo Securities Designated a Primary Dealer by the Federal Reserve Bank of New York

NEW YORK--(BUSINESS WIRE)-- Wells Fargo Securities , LLC (WFS), the capital markets and investment banking business of Wells Fargo & Company (NYSE: WFC ), announced today that it has been designated as a Primary Dealer by the Federal Reserve Bank of ...
 CNBC2 weeks ago WELLS FARGO : Securities Designated a Primary Dealer by the Federal Reserve Bank of New York  4 Traders2 weeks ago

Canadian securities regulators seek comment on proposals to enhance the obligations of advisers, dealers and representatives toward their clients

TORONTO , April 28, 2016 /CNW/ - The Canadian Securities Administrators (CSA) today published for a 120-day comment period CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their ...
 Minyanville1 week ago CSA News Release: Canadian securities regulators seek comment on proposals to enhance the obligations of advisers, dealers and representatives toward their clients  Ontario Securities Commission1 week ago

Cherrystone Auctions Use American Stamp Dealers Association Membership To Serve And Protect Client's and Company's Interests

Cherrystone Auctions has utilized their membership to the ASDA to help keep their clients up to date with the goings on of the philatelic world, as well as protect and further their philatelic interests. New York-The American Stamp Dealers ...
 Minyanville1 week ago

Regev Group Joins DFPG Investments, Inc.

- DFPG Investments, Inc. (DFPG: ), a national independent broker-dealer and RIA, announced Friday that Nir Regev with Regev Group, which is based in Missouri, has joined their firm. "We are very pleased that Nir identified the fit with ...
 Digital Journal6 days ago

FINRA Targets AML Programs and Culture of Compliance as 2016 Enforcement Priority, Particularly for High-Risk Broker/Dealers

Introduction Under Securities and Exchange Commission (SEC) authorization, the Financial Industry Regulatory Authority (FINRA) is responsible for regulating (1) all securities firms that do business with the public[,] (2) key stock exchanges, and ...
 JD Supra1 week ago

USDA, FBI Warns Farmers About The Dangers Of Hackable Farm Equipment

Precision Farming Dealer magazine reports: According to a report, farmers who employ Internet-connected and precision farming equipment should be very mindful of the way they configure their devices, the FBI warned in a public ...
 Agri Marketing1 week ago USDA, FBI Warn Farmers about the Dangers of Hackable Farm Equipment  Northern Ag Network1 week ago

States to Enhance Access to E-85 Fueling Stations

WASHINGTON— To help improve the nation's energy security and diversify its transportation fuel supply, the National Governors Association (NGA) today announced partnerships between and General Motors Corporation (GM) and 10 states to enhance ...
 National Governors Association2 weeks ago

Anti-Muslim propagandist to be the keynote speaker at New York police conference

Fox National security analyst Ryan Mauro, appears on Fox News. Despite widespread criticism of his views, an anti-Muslim conspiracy theorist will be the keynote speaker at an upcoming private police conference. Ryan Mauro, a national ...
 Sott.net2 weeks ago
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