...are required to file the Form U-5 with FINRA's Central Registration Depository (CRD) no later than 30 days after terminating an associated person...
...The single most important document to review is the broker's Central Registration Depository report, or CRD. The CRD details the broker's employment history...
...and the Netherlands who purchased or otherwise acquired ordinary shares or American Depository Shares ['ADSs'] of Vivendi Universal, S.A. between October 30, 2000 and...
In his Professional Liability column, Norman B. Arnoff discusses how feeder funds are subject to audits in accord with the AICPA Audit and Accounting Guide's professional standards and the provisions
John C. Coffee, Jr., the Adolf A. Berle professor of law at Columbia University Law School and director of its Center on Corporate Governance, writes: Bright line tests invariably prove both overincl
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