Tag: Financial Industry Regulatory Authority

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Generational Capital Markets Advises BMF Metal Fabrication, LLC in its Sale to Webco ...

Added to Collection on: 2024-11-19 20:42:22

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United States securities law
Employee stock ownership plan
Employee stock ownership
Financial Industry Regulatory Authority
Securities Investor Protection Corporation
Generational Capital Markets Inc.
BMF Metal Fabrication LLC
DALLAS

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KingsRock Advisors Announces Strategic Alliance with Tell - GlobeNewswire

Added to Collection on: 2024-11-19 15:21:28

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United States securities law
Investment banking
Financial services
Financial Industry Regulatory Authority
Securities Investor Protection Corporation
Eaton Partners
XMS Capital Partners
Tell Group
United Kingdom
New York
KingsRock Advisors LLC
STOCKHOLM

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FINRA Facts and Trends: November 2024 | Bracewell LLP - JDSupra

Added to Collection on: 2024-11-23 10:13:25

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United States securities law
Financial Industry Regulatory Authority
Selling away

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DC Circuit Finds Some FINRA Authority Violates Private Nondelegation Doctrine - Inkl

Added to Collection on: 2024-11-24 13:01:42

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United States securities law
Financial Industry Regulatory Authority
U.S. Securities and Exchange Commission
Self-regulatory organization
United States Securities Regulation
Nondelegation doctrine
ACT
Selling away
The Financial Industry Regulatory Authority
Walker
Alpine Securities Corp.

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SEC blocks details of FINRA exams again - Financial Planning

Added to Collection on: 2024-12-11 19:34:05

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United States securities law
Financial Industry Regulatory Authority
U.S. Securities and Exchange Commission
Registered Investment Adviser
United States Securities Regulation
Self-regulatory organization
Financial adviser
OTC Bulletin Board
Selling away

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Edward Jones, Osaic, Cambridge to pay $8.2M over mutual fund fumbles

Added to Collection on: 2024-12-21 09:27:05

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Brokerage firms
United States securities law
Financial Industry Regulatory Authority
Financial markets
Broker-dealer
Mutual fund
Cambridge Investment Research
Selling away
Registered Investment Adviser

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Give YOURSELF a Gift this Year: Check Out Our Year-End Checklist for Feds

Added to Collection on: 2024-12-23 21:35:51

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United States securities law
Brokerage firms
Financial adviser
Financial Industry Regulatory Authority
Securities Investor Protection Corporation
U.S. Securities and Exchange Commission
Broker-dealer
Raymond James Financial
Security
Raymond James Financial Services Advisors Inc.

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Maryland Biotech Gains Regulatory Approval Research Report

Added to Collection on: 2024-12-26 16:08:52

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United States securities law
Corporate crime
U.S. Securities and Exchange Commission
Financial Industry Regulatory Authority
NASDAQ
Securities research
Security
Investment banking

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Michelle Samuel hired as Nationwide Chief Customer Officer

Added to Collection on: 2025-01-08 20:30:53

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Chief customer officer
Financial Industry Regulatory Authority
Customer experience
Customer
Unum
Michelle Samuel

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These legal cases will determine regulatory power in 2025 and beyond - Financial Planning

Added to Collection on: 2025-01-13 20:23:32

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Taxation in the United States
United States administrative law
Sources of law
Chevron Corporation
Chevron U.S.A., Inc. v. Natural Resources Defense Council, Inc.
Natural Resources Defense Council
Loper Bright Enterprises v. Raimondo
Internal Revenue Service
Rulemaking
Tax noncompliance
Administrative law judge
Financial Industry Regulatory Authority
Leila Carney

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