broker dealer वाक्य
उदाहरण वाक्य
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- The remaining 18.9 percent of profits stem largely from mutual fund sales through PFS Investments, a broker dealer arm.
- "This case, simply put, involves fraud by a broker dealer, " he said in a statement.
- Among remaining differences between the House and Senate versions is the question of how much power states should have to regulate broker dealers.
- CSG is a franchise that licenses its name to brokers who want to set up their own business, without forming a broker dealer.
- The Capital Markets segment primarily operates as a registered securities broker dealer, a residential mortgage loan manager and a commercial mortgage loan originator.
- Only " Independent RIAs " ( those not affiliated with ( or restricted by ) a broker dealer ) can be considered true fiduciaries.
- National Planning Holdings manages one of the largest broker dealer networks in the U . S . with over 3, 500 registered representatives.
- He was also actively involved in the operations of the Securities and Exchange Commission ( SEC ) regulated broker dealers owned by both banks.
- Due to the economic decline, John Utendahl's broker dealer, Utendahl Capital Partners, went out of business on January 31, 2010.
- Lightspeed Financial is the parent company of Lightspeed Trading LLC which is a mid-sized broker dealer and well known in the active trading community.
- AIOC, whose Swiss unit also is targeted by the broker dealers'filing, didn't say whether it plans to consent to the bankruptcy.
- The Securities and Exchange Commission unveiled today a preliminary proposal to regulate 20 alternative trading systems such as Instinet as stock exchanges rather than as broker dealers.
- The report's " framework " would apply to affiliates of broker dealers firms that engages heavily in the over the counter derivatives business.
- Most investors are looking toward the bulk of this week's new offerings, with few attractive existing bonds found among those being offered by broker dealers.
- Amerivest Financial Group Inc ., a Los Angeles broker dealer owned by Anderson and Kerns, was accused of fraud in the sale of the partnership interests.
- If they had been a broker dealer, they would have been regulated; if they had been a futures commission merchant, they would have been regulated.
- The NASD, which regulates broker dealer companies, charged in January that many of the axchanges that Waddell & Reed recommended were unsuitable for customers.
- The institutional brokerage business, meanwhile, might appeal to a rival like Knight Securities or perhaps a foreign broker dealer looking to expand in the United States.
- Several other large accounting firms, including Andersen ( the firm formerly known as Arthur Andersen ), already have independent corporate finance subsidiaries that are registered broker dealers.
- Deloitte & Touche is in the process of having its subsidiary registered as a broker dealer, said Joe Angileri, national managing director of corporate finance.
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