National Assoc of Securities Dealers

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288 documents for National Assoc of Securities Dealers

- Scher v. National Assoc. of Securities Dealers, Inc, (2nd Cir. 2007)
UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT ...
- Federal Circuits
- First Investors Corporation, a New York Corporation, Plaintiff-Appellant, v. American Capital Financial Services, Inc., a Texas Corporation, Et Al., Defendants-Appellees., 823 F.2d 307 (9th Cir. 1987)
... and American are members of the National Association of Securities Dealers (NASD). NASD has...
- Federal Circuits
- 15 years of the lists 1996 - 2011: the No 1 comany on each Business Journal list during the past 15 years.
... Automobile Galpin Ford 1997 revenues Dealers North Hills OCTOBER Banks Imperial Thrift Assets a...Assoc Santa Clarita 2001 THE NUMBER ONE COMPANY Issue Li... JUNE Title Companies Fidelity Total National mortgages Title Van insured during Nuys 2002/ L.A.... Company / Ranked by City JANUARY Securities Farmers Number of Brokerage Firms Financial regist...
- San Fernando Valley Business Journal
- June 20, 2011

- John Lippitt, on Behalf of the General Public, Plaintiff-Appellant, v. Raymond James Financial Services, Inc.; Merrill Lynch, Pierce, Fenner & Smith, Incorporated; First Union Securities, Inc.; Salomon Smith Barney, Inc.; Painewebber Incorporated; A.G. Edwards & Sons, Inc.; Edward D. Jones & Co., L.P.; Providian Financial; Prudential Securities, Inc.; e Trade Group Inc.; U.S. Bancorp Piper Jaffray, Inc.; Morgan Stanley Dean Witter & Co., Defendants-Appellees., 340 F.3d 1033 (9th Cir. 2003)
... public to challenge the marketing by national brokerage firms ("Defendants") 1 of an instrument... Exchange (NYSE) 3 or the National Association of Securities Dealers (NASD). See 15 U.S.C. § 78c...
- Federal Circuits
- Part II
... is less than or equal to the current national best bid if the price of that covered security dec... Structure for Trading Centers and Broker-Dealers 2. Discussion of Impacts of Rules 200(g) and 201 o... securities,\1\ and the National Association of. Securities Dealers, Inc.'s (``NASD'') \2\ bid ...
- FR, March 10, 2010
- Separate parts
- Securities and Exchange Commission
- LIPPITT V RAYMOND JAMES, (9th Cir. 2003)
...INCORPORATED; FIRST UNION. D.C. No.SECURITIES, INC.; SALOMON SMITH CV-01-00748-VRWBARNEY, INC.; ... public to challenge the marketing by national brokerage firms ("Defendants")1 of a security know... Exchange (NYSE)3 or the National Association of Securities Dealers (NASD). See 15 U.S.C. §...
- Federal Circuits
- Shareholder activism by public pension funds and the rights of dissenting employees under the First Amendment.
...Johanns v. Livestock Marketing Association 2. Do the Political and Ideological Activities of ...equity securities. But not all institutional holders share the same ... applies to, among others, banks, broker-dealers, and both registered and unregistered investment a... so clear, however, with respect to the National Labor Relations Act (NLRA), which is much broader ...
- Harvard Journal of Law & Public Policy
- Vol. 34 Nbr. 1, January 2011
- LIPPITT V RAYMOND JAMES, (9th Cir. 2003)
...INCORPORATED; FIRST UNION. D.C. No.SECURITIES, INC.; SALOMON SMITH CV-01-00748-VRWBARNEY, INC.; ... public to challenge the marketing by national brokerage firms ("Defendants")1 of a security know... Exchange (NYSE)3 or the National Association of Securities Dealers (NASD). See 15 U.S.C. §...
- Federal Circuits
- Securities fraud.
... security having attributes commonly associated with traditional stock constitutes a section 2(1) ... of the mails, or of any facility of any national securities exchange."(157) Under section 10(b) of ... the power to impose sanctions on brokers, dealers, their associated persons, and individuals seeking...
- American Criminal Law Review
- Vol. 47 Nbr. 2, March 2010
- Jack Solinger, Plaintiff-Appellant, v. A&M Records, Inc., Transamerica Corp., United Artists Corp., United Artists Records, Inc., Eric-Mainland Distributing Co., Musical Isle of America, Record Merchandising Company, Inc., Jerome S. Moss, Robert Fead, Sidney Talmadge, Motown Record Corporation, Defendants-Appellees., 586 F.2d 1304 (9th Cir. 1978)
...73, 570 F.2d 982 (1976); Quinonez v. National Assoc. of Securities Dealers, Inc., 540 F.2d 824 (...
- Federal Circuits