At the time of the election, West was a registered securities salesperson licensed to a registered securities dealer.
12.
At the time of the election, West was a registered securities salesperson licensed to a registered securities dealer.
13.
Olde has a sales force of about 1, 200 registered securities representatives in 181 offices across the United States.
14.
Richardson said that requirement is a measure of net worth applicable to a registered securities broker-dealer such as Sunpoint.
15.
The SEC has the permanent legal authority to collect a fee equal to one-50th of the value of registered securities.
16.
The Capital Markets segment primarily operates as a registered securities broker dealer, a residential mortgage loan manager and a commercial mortgage loan originator.
17.
James M . McConnell, the SEC's executive director, said companies registered securities at five times the pace of an average day.
18.
On the contrary, section 1 ( 1 ) provides that that registered securities may be transferred by means of an instrument under hand .
19.
United Properties Ltd . plans to sell hotel suites through a registered securities sale, offering investors an unusual way to bet on the lodging industry.
20.
In combination with previously registered securities, the Hartford, Connecticut-based insurer can now raise as much as $ 2 billion through the sale of debt.
