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Tag: united states


United States: Don't Let Your Business Get Whacked Like Jimmy Hoffa In The Irishman - Ford & Harrison LLP

2019-12-06 13:43:52| Mondaq.Com

After watching The Irishman on Netflix, I'm left with two overriding thoughts: One, my God, that's a long movie (like, thank God it's on Netflix

Tags business united states united states

 
United States: NFA Proposes Reducing Forex Dealer Member Assessment Fees - Cadwalader, Wickersham & Taft LLP

2019-12-06 13:32:47| Mondaq.Com

NFA proposed reducing the fees on Forex Dealer Members ("FDM") under the Forex Transaction Reporting Execution Surveillance System ("FORTRESS").

Tags member united states united states

 
 
United States: NFA Reminds CPO/CTA Exempt Entities To Submit Annual Affirmations - Cadwalader, Wickersham & Taft LLP

2019-12-06 13:31:52| Mondaq.Com

NFA reminded any person with an exclusion/exemption from CPO or CTA registration to affirm the related notice of exemption by February 29, 2020.

Tags united states united states submit

 
United States: Municipal Securities Dealer Settles FINRA Charges For Providing Inaccurate Information In Issue Price Certificates - Cadwalader, Wickersham & Taft LLP

2019-12-06 13:31:06| Mondaq.Com

A municipal securities dealer settled FINRA charges for providing inaccurate information in the issue price certificates of 22 municipal offerings.

Tags information price united states

 
United States: SEC Charges Entity And Associated Individuals With Misleading Senior Investors - Cadwalader, Wickersham & Taft LLP

2019-12-06 13:30:11| Mondaq.Com

The SEC charged an entity and several associated individuals with misleading 100 investors - most of whom were seniors - resulting in $4.9 million in losses.

Tags united states united states senior

 

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