Sentences with phrase «securities trading corporation»
Prior to joining Kotak AMC, Me, Abhishek was working with Securities Trading Corporation Of India Ltd where he was looking at Sales & Trading of Fixed Income Products apart from doing Portfolio Advisory.
https://assetmanagement.kotak.com/ Not exact matches
There's growing pressure for the U.S. Securities Exchange Commission to enact rules requiring disclosure of political spending by publicly - traded corporations, although it has yet to move on the issue.
This time, Pomerantz established the right of individual foreign investors who purchased foreign - traded shares of a foreign corporation to pursue claims for securities fraud in a U.S. court, thereby overcoming obstacles created by the U.S. Supreme Court's 2010 read more
Schneiderman and predecessors have used that power to probe national and international corporations on the grounds that their securities are traded in New York.
Shares of VMware, Inc. (NYSE: VMW) were trading higher by more than 1.5 percent late Tuesday morning after the company announced an expansion of its collaboration with Intel Corporation (NASDAQ: INTC) to develop mobile security solutions.
In fact, unlike shares of a corporation, at the time a coin is traded on the blockchain, it may have its intended utility and essentially lost any security characteristic it initially had.
This time, Pomerantz established the right of individual foreign investors who purchased foreign - traded shares of a foreign corporation to pursue claims for securities fraud in a U.S. court, thereby overcoming obstacles created by the U.S. Supreme Court's 2010 decision in Morrison v. Nat» l Australia Bank Ltd..
BETHESDA, Md., June 28, 2011 / PRNewswire / — Marriott International, Inc. (NYSE: MAR) marked progress today toward the planned spin - off by year - end of its vacation club business into a separate publicly traded company, announcing that its subsidiary, Marriott Vacations Worldwide Corporation, the new corporate name for the vacation club business upon spin - off, has filed an initial Form 10 Registration Statement («Form 10») with the U.S. Securities and Exchange Commission.
And Democrats failed to use the bill to reverse a ban engineered last year by McConnell on proposals to allow the Securities and Exchange Commission to require publicly - traded corporations to disclose political spending permitted under the Supreme Court's 2010 decision allowing unlimited political spending by businesses.
(B) «Credit repair services organization» does not include: (i) Any person authorized to make loans or extensions of credit under the laws of this state or the United States who is subject to regulation and supervision by this state or the United States; (ii) Any bank or savings and loan institution whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Savings Association Insurance Fund of the Federal Deposit Insurance Corporation; (iii) Any nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986; (iv) Any person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (v) Any person licensed to practice law in this state if the person renders services within the course and scope of his or her practice as an attorney; (vi) Any broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission if the broker - dealer is acting within the course and scope of those regulatory agencies; or (vii) Any consumer reporting agency as defined in the federal Fair Credit Reporting Act (15 U.S.C. 1681 - 1681t).
National Securities Clearing Corporation (NSCC): Firm that clears trades for the NYSE, the ASE, and the over-the-counter market.
Automated Confirmation Transaction (ACT): A computer system that matches trade information, determines locked - in trades, and submits them to clearing through the National Securities Clearing Corporation (NSCC).
(1) The following shall be exempt from the Credit Services Organization Act: (a) A person authorized to make loans or extensions of credit under the laws of this state or the United States who is subject to regulation and supervision by this state or the United States or a lender approved by the United States Secretary of Housing and Urban Development for participation in a mortgage insurance program under the National Housing Act, 12 U.S.C. 1701 et seq.; (b) A bank or savings and loan association whose deposit or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or a subsidiary of such a bank or savings and loan association; (c) A credit union doing business in this state; (d) A nonprofit organization exempt from taxation under section 501 (c)(3) of the Internal Revenue Code; (e) A person licensed as a real estate broker or salesperson under the Nebraska Real Estate License Act acting within the course and scope of that license; (f) A person licensed to practice law in this state acting within the course and scope of the person's practice as an attorney; (g) A broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (h) A consumer reporting agency; (i) A person whose primary business is making loans secured by liens on real property; (j) A person, firm, corporation, or association licensed as a collection agency in this state or a person holding a solicitor's certificate in this state acting within the course and scope of that license or certificate; and (k) A person licensed to engage in the business of debt management pursuant to sections 69 - 1201 toCorporation or a subsidiary of such a bank or savings and loan association; (c) A credit union doing business in this state; (d) A nonprofit organization exempt from taxation under section 501 (c)(3) of the Internal Revenue Code; (e) A person licensed as a real estate broker or salesperson under the Nebraska Real Estate License Act acting within the course and scope of that license; (f) A person licensed to practice law in this state acting within the course and scope of the person's practice as an attorney; (g) A broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (h) A consumer reporting agency; (i) A person whose primary business is making loans secured by liens on real property; (j) A person, firm, corporation, or association licensed as a collection agency in this state or a person holding a solicitor's certificate in this state acting within the course and scope of that license or certificate; and (k) A person licensed to engage in the business of debt management pursuant to sections 69 - 1201 tocorporation, or association licensed as a collection agency in this state or a person holding a solicitor's certificate in this state acting within the course and scope of that license or certificate; and (k) A person licensed to engage in the business of debt management pursuant to sections 69 - 1201 to 69 - 1217.
It never described accurately most U.S. corporations whose securities are publicly traded.
Your trades are executed by Interactive Brokers LLC, a member of the Securities Investor Protection Corporation (SIPC).
A loan broker shall comply with the provisions of the federal Gramm - Leach - Bliley Act, 15 United States Code, Section 6801 et seq. (1999) and the applicable implementing federal Privacy of Consumer Information regulations, as adopted by the Office of the Comptroller of the Currency, 12 Code of Federal Regulations, Part 40 (2001); the Board of Governors of the Federal Reserve System, 12 Code of Federal Regulations, Part 216 (2001); the Federal Deposit Insurance Corporation, 12 Code of Federal Regulations, Part 332 (2001); the Office of Thrift Supervision, 12 Code of Federal Regulations, Part 573 (2001); the National Credit Union Administration, 12 Code of Federal Regulations, Part 716 (2001); the Federal Trade Commission, 16 Code of Federal Regulations, Part 313 (2001); or the Securities and Exchange Commission, 17 Code of Federal Regulations, Part 248 (2001), if the loan broker is a financial institution as defined in those regulations.
A subsidiary of Depository Trust & Clearing Corporation that provides clearing, settlement and related services for most U.S. securities trades.
A subsidiary of Depository Trust & Clearing Corporation involved in processing securities trades and maintaining positions in traded securities on behalf of beneficial owners.
Wedbush Securities provides excess Securities Investor Protection Corporation («SIPC») coverage for each Cobra Trading client account.
«Credit Services Organization» does not include any of the following: (i) a person authorized to make loans or extensions of credit under the laws of this State or the United States who is subject to regulation and supervision by this State or the United States, or a lender approved by the United States Secretary of Housing and Urban Development for participation in a mortgage insurance program under the National Housing Act (12 U.S.C. Section 1701 et seq.); (ii) a bank or savings and loan association whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Federal Savings and Loan Insurance Corporation, or a subsidiary of such a bank or savings and loan association; (iii) a credit union doing business in this State; (iv) a nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986, [FN1] provided that such organization does not charge or receive any money or other valuable consideration prior to or upon the execution of a contract or other agreement between the buyer and the nonprofit organization; (v) a person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (vi) a person licensed to practice law in this State acting within the course and scope of the person's practice as an attorney; (vii) a broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (viii) a consumer reporting agency; and (ix) a residential mortgage loan broker or banker who is duly licensed under the Illinois Residential Mortgage License Act of 1987.
The material provided by E * TRADE Securities or E * TRADE Futures, or by a third party not affiliated with E * TRADE Financial Corporation or any of its direct or indirect subsidiaries (E * TRADE), is for educational purposes only and is not an individualized recommendation.
The material provided by E * TRADE Securities or by a third party not affiliated with E * TRADE Financial Corporation or any of its affiliates is for educational purposes only and is not an individualized recommendation.
A security's distributions will not be reinvested if the security has a low average daily trading volume or if the corporation is involved in a corporate reorganization or other corporate action, such as a merger.
In addition, a liquid secondary market for particular options, whether traded over-the-counter or on an exchange, may be absent for reasons which include the following: there may be insufficient trading interest in certain options; restrictions may be imposed by an exchange on opening transactions or closing transactions or both; trading halts, suspensions or other restrictions may be imposed with respect to particular classes or series of options or underlying securities or currencies; unusual or unforeseen circumstances may interrupt normal operations on an exchange; the facilities of an exchange or the Options Clearing Corporation may not at all times be adequate to handle current trading value; or one or more exchanges could, for economic or other reasons, decide or be compelled at some future date to discontinue the trading of options (or a particular class or series of options), in which event the secondary market on that exchange (or in that class or series of options) would cease to exist, although outstanding options that had been issued by the Options Clearing Corporation as a result of trades on that exchange would continue to be exercisable in accordance with their terms.
RBC Capital Markets Corporation («RBC») is a global, full service securities firm engaged in securities trading and brokerage activities, and providing investment banking, investment management and financial advisory services.
Schneiderman and predecessors have used that power to probe national and international corporations on the grounds that their securities are traded in New York.
On August 25, 2009, the Alberta Securities Commission dismissed an application by TransAlta Corporation to cease trade the shareholder rights plan of Canadian Hydro Developers Inc..
Helped manage security breaches for various clients (including corporations operating in the financial services and retail trade industries) involving different Canadian jurisdictions.
Clients that are mentioned include the Service de police de la Ville de Montréal (SPVM) in «many highly publicized and important labour relations cases,» the Société des alcools du Québec, the government - owned corporation for liquor trade in the province, and the Canadian Air Transport Security Authority (CATSA).
He has represented corporations and individuals under investigation by government authorities in the UK, including the Financial Conduct Authority and the Serious Fraud Office, and in the US, including the Department of Justice, the Securities and Exchange Commission and the Commodities and Futures Trading Commission, and in Europe and Asia.
Such vital data which are usually shielded utilizing top information security providers can be used by unauthorized individuals to commit crimes tender etc. that were repair, such as insider - trading States around the globe have regulations to prevent such unauthorized information access and noncompliance with the guidelines is cognizable offense against the corporations spending substantial fees to the government, if the data security measures are broken.
Justice Perell cited three instances of when a foreign company might be a «responsible issuer» under Part XXIII.1: (1) Where the foreign corporation's securities trade in Ontario's secondary market; (2) Where the foreign corporation's securities trade on secondary markets in both Ontario and a foreign jurisdiction; and (3) Where the foreign corporation's securities do not trade in Ontario, but the corporation otherwise has a real and substantial connection to Ontario.
Representing publicly traded corporations, Amy I. Pandit counsels clients on corporate governance; executive compensation; and in federal securities laws, stock exchange, Sarbanes — Oxley Act, and Dodd — Frank Act compliance matters.
The following departments or agencies provided loan repayment assistance to one or more attorneys: Commerce, Defense, Energy, Health and Human Services, Housing and Urban Development, Justice, State, Transportation, Treasury, Veterans Affairs, Chemical Safety and Hazard Investigation Board, Commodity Futures Trading Commission, Environmental Protection Agency, Federal Energy Regulatory Commission, Federal Retirement Thrift Investment Board, Federal Trade Commission, Government Accountability Office, Library of Congress, Nuclear Regulatory Commission, Pension Benefit Guaranty Corporation, Postal Regulatory Commission, Securities and Exchange Commission, and Surface Transportation Board.
The IEL covers 25 topics: civil procedure, commercial and economic law, constitutional law, contracts, corporations and partnerships, criminal law, cyber law, energy law, environmental law, family and succession law, insurance law, intellectual property, intergovernmental organisations (including the North American Free Trade Agreement or NAFTA), labour law and industrial relations, media law, medical law, migration law, private international law, property and trust law, religion law, social security law, sports law, tort law, transport law.
(ii) a corporation or other entity in which the other lawyer has an interest other than a corporation or other entity whose securities are publicly traded, or
The following departments or agencies provided loan repayment assistance to one or more attorneys: Commerce, Defense, Energy, Health and Human Services, Housing and Urban Development, Justice, Labor, State, Transportation, Treasury, Veterans Affairs, Environmental Protection Agency, Federal Regulatory Commission, Federal Trade Commission, Government Accountability Office, National Aeronautics and Space Administration, Nuclear Regulatory Commission, Pension Benefit Guaranty Corporation, Postal Regulatory Commission, Securities and Exchange Commission, and Surface Transportation Board.
The following departments or agencies provided loan repayment assistance to one or more JD advantage positions: Agriculture, Commerce, Defense, Education, Energy, Health and Human Services, Homeland Security, Housing and Urban Development, Interior, Justice, Labor, State, Transportation, Treasury, Veterans Affairs, Chemical Safety and Hazard Investigation Board, Federal Regulatory Commission, Federal Trade Commission, Pension Benefit Guaranty Corporation, Postal Regulatory Commission, and Securities and Exchange Commission.
The range of federal regulators with specific, and at times, different voices on the role of Fintech include the Commodities Future Trading Commission, the Office of the Comptroller of the Currency, The US Securities and Exchange Commission, The Financial Industry Regulatory Authority and The Federal Deposit Insurance Corporation.
The TMX Group, which operates the Toronto Stock Exchange, TSX Venture Exchange, Montréal Exchange, Canadian Derivatives Clearing Corporation, and a number of other securities trading platforms in Canada, also owns a digital currency - focused subsidiary, Shorcan Digital Currency Group (DCN).
It is also a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC) but these protections DO NOT extend to its crypto trading platform yet.
• Orchestrated internal investigations for informal and formal corporate investigations and Securities and Exchange Commission proceedings for several major international publicly traded corporations.