Moreover, the Firm failed to establish and implement controls reasonably designed to achieve compliance with the Bank Secrecy Act, in violation of NASD Rule 3011(b) and FINRA Rule 3310(b).
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Having thought much about it, I think we can now rule out (b).
Rule 2111(b) provides an exemption to customer-specific suitability regarding institutional investors if the conditions delineated in that paragraph are satisfied.
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With respect to the claims for punitive damages, we remand so that the district court may consider whether to certify the class under Rule 23(b)(2) or (b)(3).
Further, by producing and then distributing these summaries to his customers, Iola was deemed to have violated NASD Conduct Rules 2110 (for conduct before December 15, 2008), 2210(d)(1)(A) and 2210(d)(1)(B), and FINRA Rule 2010 (for conduct after December 14, 2008).
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We also remand with respect to the claims of putative class members who no longer worked for Wal-Mart when the complaint was filed so that the district court may consider whether to certify an additional class or classes under Rule 23(b)(3).
Additionally, SDNY declined to interpret Rule 10b-16(b) as requiring UBS to provide advance notice to Willow Creek before it changed its margin rules (in apparent contradistinction to its credit terms and conditions ).
The subsidiary does not recognize gain on the distribution of any appreciated assets to the parent, which is an exception to the general rule of Section 311(b) that treats a corporate distribution of appreciated assets as a sale.
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Third, agencies are to publish their Statements of Energy Effects, or a summary thereof, in each related Notice of Proposed Rulemaking (NPRM) and in any resulting Final Rule (Sec. 3(b)).
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The pre-eminent statutory authority for civil and criminal liability exposure for failure to disclose in securities transactions is Section 10(b) of the 1934 Act and its regulatory offspring Rule 10b-5.
The rule it issued yesterday is known as 408(b)(2) and requires service providers such as Fidelity, Vanguard, T.
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The story, narrated by the aged Ptolemy (Anthony Hopkins) and unfolding in flashback, takes us from a princely boyhood in Macedonia, under the raging rule of Val Kilmer, to the rout of Darius at Gaugamela in 331 B.
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