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About 808 results for "national association of securities de..."

CERTNAS - M I Acquisitions, Inc. (0001653558) (Filer)

Form CERTNAS - Certification by the National Association of Securities Dealers Automated Quotation approving securities for listing SEC Accession No. 9999999997-16-025717 Filing Date 2016-09-12 2016-09-12 13:13:51 Filing Date Changed ... SEC Filings, 2 weeks ago

160 images for national association of securities dealers

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NAMAD and EFG Companies Announce 2nd Annual Northwood University Scholarship Recipients

EFG Companies, with the National Association of Minority Automobile Dealers (NAMAD), announce Northwood University students Norma Benavides and Isabelle Daoud are the recipients of 2016 scholarship. EFG Companies, the innovator behind the ...
 Minyanville3 weeks ago
Home Channel News

NLBMDA welcomes The Murkin Group

The National Lumber and Building Material Dealers Association (NLBMDA) has welcomed The Murkin Group to its Manufacturers and Services Council (MSC). As part of the MSC, The Murkin Group will join the association of product and service providers ...
 Home Channel News2 weeks ago

Audit Trail Is SEC's Top Market Task for Rest of 2016

By Rob Tricchinelli Sept. 14 — The Securities and Exchange Commission's top market-structure agenda item for the rest of 2016 is finishing the consolidated audit trail, Chairman Mary Jo White said Sept. 14. The CAT is designed to be a vast ...
 Bloomberg BNA2 weeks ago Equity Market Structure in 2016 and for the Future  SEC Filings2 weeks ago SEC United States Securities and Exchange : Keynote Address, Security Traders Association, 83rd Annual Market Structure Conference  4 Traders2 weeks ago

The Financial Report 8 September 2016 US Exchanges and Self-Regulatory Organizations

FINRA FINRA seeks comment on proposal relating to OTC equity securities inter-dealer quotation system. FINRA published a Regulatory Notice requesting comment on a proposal to provide a FINRA-sponsored inter-dealer quotation facility for all OTC ...
 Lexology2 weeks ago Proposed Amendments to FINRA Gifts, Gratuities and Non-Cash Compensation Rules  JD Supra2 weeks ago

Academy Securities and Alembic Global Advisors Announce Partnership

NEW YORK--( BUSINESS WIRE )--Academy Securities Inc. (Academy Securities), a disabled veteran-owned and operated broker-dealer, and Alembic Global Advisors LLC (Alembic Global Advisors), an independent equity research firm, today announced a ...
 Business Wire3 weeks ago Cambridge Earns 9 out of 10 Advisor Satisfaction Rating  Business Wire2 weeks ago

K'taka FPS demands Rs 179 cr margin amt for selling under NFSA

Karnataka Fair Price Shop Dealers Association today demanded the Centre to clear at the earliest Rs 179 crore margin amount of last two years payable to 22,000 ration shops in the state for selling foodgrains under the National Food Security Act ...
 Business Standard2 months ago

ADISA's 2016 Annual Conference & Trade Show on Pace for Record Attendance

LAS VEGAS, Sept. 14, 2016 (GLOBE NEWSWIRE) -- ADISA, the nation's largest trade association representing the alternative and direct investment industry, announced today that its 2016 Annual Conference & Trade Show is on pace for record attendance, ...
 Financial Buzz2 weeks ago

Bates Group Welcomes Four New Experts: Recent SEC, FINRA and...

Recent senior securities and insurance regulators join Bates Group, the nation's preeminent financial services consulting firm, providing end-to-end solutions on litigation, regulatory and compliance matters for financial services firms and their ...
 San Francisco Chronicle2 weeks ago
Federal Register

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings to Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules A

. On May 24, 2016, NYSE MKT LLC (Exchange) filed with the Securities and Exchange Commission (Commission), pursuant to Section 19(b)(1) of the Securities Exchange Act Start Printed Page 63544 of 1934 (Act)  [] and Rule 19b-4 thereunder, [] a ...
 Federal Register2 weeks ago Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.18 To Address the Exchange's Liability for System Failures; Amend Rule 2.11 To Provide for an Error Account  Federal Register3 weeks ago
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