Tag Archives: Registered

List of Registered Charities that filed 2010 T3010 and answered yes for political activities

Read more detail on Recent International Law posts –

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Registered Individuals Suspended by FINRA in March 2018 for Failure to Comply with FINRA Rules

According to FINRA Disciplinary actions for March 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Kean Lynn Bouplon   Morgan … Continue reading

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1 MILLION HAVE REGISTERED TO VOTE ONLINE

Governor Cuomo Announces 1 Million People Registered Through DMV's Online Voter Registration Aligns with the Governor's Democracy Agenda Dedicated to Simplifying the Voting Process and Increasing Voter Turnout Apply to Register to Vote or Change Enrollment Information Here Governor Andrew … Continue reading

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REGISTERED FIRMS: ANNUAL COMPLIANCE OBLIGATIONS—WHAT YOU NEED TO KNOW

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular state (“Investment Advisers”), and commodity pool operators (“CPOs”) … Continue reading

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USPTO Auditing Continued Use of Registered Trademarks

One of my clients received a new type of office action from the U.S. Patent and Trademark Office. It was in response to a declaration of use filed under Section 8 of the Lanham Act to renew its registration for … Continue reading

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