registered representative वाक्य
उदाहरण वाक्य
मोबाइल
- In fact, Registered Representative, the leading trade magazine geared to the people who never publicly call themselves brokers, calls itself " The Number One Magazine For Retail Stockbrokers " on every cover.
- The recommendations reflect a movement in the industry away from pushing products to professional techniques like asset allocation, said Dan Jamieson, who edits Registered Representative, an industry magazine published in Irvine, Calif.
- In self-defense, Wall Street powerhouses such as Merrill Lynch _ which alone employs 14, 000 registered representatives _ are allowing some customers to trade stocks over the Internet, bypassing the registered representative and those representatives'commissions.
- In self-defense, Wall Street powerhouses such as Merrill Lynch _ which alone employs 14, 000 registered representatives _ are allowing some customers to trade stocks over the Internet, bypassing the registered representative and those representatives'commissions.
- "There will be a significant decline in the number of registered representatives supporting retail investors within the next five years, " said Schneider, who also discussed the impact of the Internet at the Cyberspace panel.
- Many Pristine students open their trading accounts at Lightspeed under Greg Capra s registered representative license for the advantages he provides through Pristine . com as well as the excellent service and trading platforms provided.
- The SEC found that PFS Investments Inc . had failed to have in place effective policies and procedures to follow up adequately on three complaints received about the Dearborn registered representatives, " selling away " activities.
- The registered representative can use material in the Green Sheet to decide if they want to offer the issue to their clients, and they may elect to read the prospectus if they feel more diligence is warranted.
- A delegation of the Farmers'League ( including the national party secretary Gunnar Jonnerg�rd ) hastily travelled to �rebro to meet the registered representative of the seemingly defunct party to acquire the permission to take over the name.
- To become a registered representative in the United States, one must be sponsored by a broker / dealer firm and must pass the FINRA-administered Series 63 examination ( known as the Uniform Securities Agent State Law Exam ).
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