10 ENGLISH BOOKS RELATING TO «BROKER-DEALER»
Discover the use of
broker-dealer in the following bibliographical selection. Books relating to
broker-dealer and brief extracts from same to provide context of its use in English literature.
1
Broker-
dealer law and regulation
From duties under the common law to obligations imposed by the federal securities statutes, The new Second Edition of BROKER-DEALER LAW AND REGULATION covers the full range of the law that protects the relationship between broker-dealers ...
2
Broker-
dealer Regulation in a Nutshell
This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets.
3
SEC's Oversight of Bear Sterns and Related Entities: ...
Details the results of the SEC audit on the Div. of Trading and Market's (TM) Broker-Dealer Risk Assessment program.
4
Broker-
Dealer Law and Regulation, Fourth Edition
contract with the broker-dealer under which it will certify annually that it has
implemented an anti-money laundering program and will perform the specified
requirements of the broker-dealer's CIP.253 Moreover, FinCEN has recently
taken a ...
5
The Boston Institute of Finance Stockbroker Course: Series 7 ...
LICENSING/REGISTRATION REQUIREMENTS It is unlawful for any person,
broker/dealer, or issuer under the Uniform Securities Act to • Transact business in
a state as an agent unless that person is registered as an agent under the Act or
ex- ...
Boston Institute of Finance, 2005
6
Riskbased capital regulatory and industry approaches to ...
When a broker-dealer's net capital drops below its minimum net capital
requirements, SEC requires the broker-dealer to cease operations immediately
and get additional capital to come into capital compliance or liquidate its
operations.
7
United States Securities Law: A Practical Guide
18 long as such contacts are made through a registered broker-dealer who is
fully responsible for any subsequent transaction. Over the years, the number of
problems relating to application of Section 15(a) increased, partly because of the
...
8
International Securities Law Handbook
Persons performing, for example, transfer agent, securities clearing, or broker-
dealer functions must register with the SEC. Many State laws also apply
registration requirements to some of these activities (for example, most States
have ...
Jean-Luc Soulier, Marcus Best, 2005
9
Redeeming fallen brokers: managing the aftermath of ...
This work summarizes relevant portions of the major securities statutes, state blue sky laws, and the rules of each of the major securities and commodities organizations.
Ralph C. Ferrara, Gregory S. Crespi, 1988
10
Federal
Broker-
Dealer Insurance Corporation, Hearings Before ...
United States. Congress. Senate. Committee on Banking and Currency. NYSE
member firms. This will be true first because the earnings of member firms are too
highly leveraged and because many are simply badly managed. There is ...
United States. Congress. Senate. Committee on Banking and Currency, 1970
10 NEWS ITEMS WHICH INCLUDE THE TERM «BROKER-DEALER»
Find out what the national and international press are talking about and how the term
broker-dealer is used in the context of the following news items.
Independent Broker Dealer Money Concepts Spotlights Succession …
Money Concepts Capital Corp. is a privately owned independent broker-dealer and dually registered as a Registered Investment Advisor ... «PR Web, Jul 15»
LPL Financial Welcomes Advisory Firm Retirement Plan Analytics
LPL Financial LLC, the nation's largest independent broker-dealer*, an RIA custodian, and a wholly owned subsidiary of LPL Financial ... «MarketWatch, Jul 15»
Securities Commission issues July deadline for capital market …
Under the new capital requirements, minimum capital base for broker-dealer was raised by 329 per cent, from the existing N70million to ... «Premium Times, Jul 15»
Banks' 'living wills' aim to prevent more bailouts
... nonessential units if the companies were to fail, with JPMorgan Chase & Co. slashing its broker-dealer operations by as much as two-thirds. «Boston Globe, Jul 15»
Suspended Stocks and Go-Karting Lawyers
... with JPMorgan Chase & Co. slashing its broker-dealer operations by as much as two thirds," and "Goldman Sachs, Citigroup and Morgan ... «Bloomberg View, Jul 15»
Signature Bank (SBNY) - Analysts' Weekly Ratings Updates
... products and services through its subsidiary, Signature Securities Group Corporation, a licensed broker-dealer and investment adviser. «Dakota Financial News, Jul 15»
Fantex, Inc. Acquires Ownership Interest In Additional Jamba Juice …
Fantex Brokerage Services is a FINRA-member broker-dealer offering investors access to the unique asset category of stocks, issued by Fantex ... «Business Wire, Jul 15»
Stocks end volatile session down; Starbucks raising prices …
... non-essential units if the companies were to fail, with JPMorgan Chase & Co. slashing its broker-dealer operations by as much as two thirds. «cleveland.com, Jul 15»
Behavioral finance
Wells Fargo Advisors Financial Network, LLC, member SIPC, is a registered broker-dealer and a separate non-bank affiliate of Wells Fargo ... «The Southern, Jul 15»
Jonathan Brook, Janney Montgomery Debt Director, Dies at 44
Brook also held fixed-income positions at the New York office of Vining Sparks IBG, a broker-dealer, and at Redi Markets, a financial services ... «Bloomberg, Jul 15»
