MOTS EN ANGLAIS EN RAPPORT AVEC «SECURITIES DEALER»
securities dealer
securities
dealer
stock
broker
municipal
blanket
bond
check
agent
registration
status
link
below
will
take
financial
industry
regulatory
authority
finra
public
disclosure
dealers
fintrac
transactions
reports
following
summary
legislative
requirements
under
pcmltfa
applies
traderstatus
stevens
found
that
could
regarded
customer
certain
circumstances
based
holding
jamaica
association
knowledgeable
investor
already
aware
what
institutions
would
fall
this
category
many
term
still
compliance
guide
regulation
document
provides
comprehensive
including
laws
rules
regulations
davis
10 LIVRES EN ANGLAIS EN RAPPORT AVEC «SECURITIES DEALER»
Découvrez l'usage de
securities dealer dans la sélection bibliographique suivante. Des livres en rapport avec
securities dealer et de courts extraits de ceux-ci pour replacer dans son contexte son utilisation littéraire.
1
Code of Federal Regulations, Title 17, Commodity and ...
RULES l'thiLlA'l'lNG TO OVER-THE-COUNTER MARKETS § 240.15c1-1
Definitions. As used in any rule adopted pursuant to section 15(c)(l) of the Act: (a)
The term customer shall not include a broker or dealer or a municipal securities
dealer; ...
Office of the Federal Register (U S ), 2012
2
Annotated British Columbia
Securities Legislation 2001
34(2), BC Form 31-902F] • if the applicant is applying as an investment dealer,
securities dealer or exchange contracts dealer, an audited Joint Regulatory
Financial Questionnaire and Report for a period ending no more than 90 days
before ...
Joanne Dolfato, British Columbia, Kathleen Jones-Lepidas, 2001
3
The Code of Federal Regulations of the United States of America
Section 15B(c)(2), 15 U.S.C. 78o-4(c)(2) (suspension or revocation of registration
, or censure of a municipal securities dealer). Section 15B(c)(4), 15 U.S.C. 78o-4(
c)(4) (censure, suspension or bar of an associate of a municipal securities ...
4
United States Code 2006, Volume 7: Title 12, Banks and ...
Any registered municipal securities dealer may, upon such terms and conditions
as the Commission may deem necessary in the public interest or for the
protection of investors, withdraw from registration by filing a written notice of
withdrawal ...
5
United States Code, 1982
If the Commission finds that any registered municipal securities dealer or
municipal advisor is no longer in existence or has ceased to do business as a
municipal securities dealer or municipal advisor, the Commission. by order. shall
cancel ...
United States, United States. Superintendent of Documents, United States. Congress. House. Committee on the Judiciary, 1988
pensation of such employees, attorneys, and consultants as may be necessary or
appropriate to carry out the Board's functions under this section. (J) provide that
each municipal securities broker and each municipal securities dealer shall pay ...
7
Code of Federal Regulations: LSA, list of CFR sections affected
(b) The term the completion of the transaction means: (1) In the case of a
customer who purchases a security through or from a broker, dealer or municipal
securities dealer, except as provided in paragraph (b)(2) of this section, the time
when ...
8
17 CFR Commodity and
Securities Exchange: CFR Parts 240 to End
17-CFR-240-END-V3
Offfice of The Federal Register, 2013
9
Civil False Claims and Qui Tam Actions 4e (2 Volumes)
(5) This action is hereby dismissed with prejudice as to the United States' and
Relator's claims against [“Securities Dealer"], with the United States and [“
Securities Dea1er"] to bear their own costs and attorneys' fees. By separate
agreement ...
10
Annotated Alberta
Securities Legislation
PART 2 INTERPRETATION In this Policy Statement: "adviser", "affiliate", "
company", "financial intermediary dealer", "limited market dealer", "mutual fund
dealer", "real estate securities dealer", "securities", "securities issuer", "
scholarship plan ...
Joanne Dolfato, Kathleen Jones-Lepidas, Alberta, 2002
5 ACTUALITÉS CONTENANT LE TERME «SECURITIES DEALER»
Découvrez de quoi on parle dans les médias nationaux et internationaux et comment le terme
securities dealer est employé dans le contexte des actualités suivantes.
Securities dealer banned for shares manipulation
The Australian Securities and Investments Commission (ASIC) has banned former Sydney securities dealer Anton Kerstens from providing financial services for ... «Money Management, avril 15»
Securities dealer has AFS licence cancelled
Perth securities dealer Stellar Securities has had its Australian financial services licence cancelled after it failed to comply with its financial requirement ... «Money Management, juil 13»
You Do Not Want to Be a Securities Dealer in Memphis Right Now
Then, this morning, the Securities & Exchange Commission announced that it had filed administrative charges against eight former directors involved with ... «Arkansas Business Online, déc 12»
ASIC identifies mis-selling by securities dealers
Securities dealers are the latest to feel the scrutiny of the Australian Securities and Investments Commission (ASIC) with the regulator claiming some are giving ... «Money Management, août 12»
How Regulators Missed Madoff
Madoff is one of the original architects of the electronic Nasdaq stock market and sat on the board of governors of the National Association of Securities Dealers, ... «Forbes, janv 09»
