關於 broker-dealer ，我們在網路上蒐集到這些相關的討論、資訊與評價

#11. Broker-Dealer: What Is It? - The Balance

A broker-dealer is an individual or a firm that's in the business of buying and selling securities. · As an agent, a broker-dealer helps a customer buy or sell ...

#12. broker dealer - 英中– Linguee词典

大量翻译例句关于"broker dealer" – 英中词典以及8百万条中文译文例句搜索。

#13. About Broker-Dealers and Broker Dealer Agents - California ...

Generally speaking, broker-dealers are persons that act as securities dealers or brokers or perform both functions. A broker is an individual or ...

#14. Registered Financial Professionals | FINRA.org

What they are: A broker-dealer firm is in the business of buying and selling securities—stocks, bonds, mutual funds, and certain other investment products—on ...

#15. Broker-Dealer - Sullivan & Cromwell LLP

Sullivan & Cromwell LLP Broker Dealer Group offers advice on all aspects of global broker-deals, from regulatory, compliance and securities law matters and ...

#16. Securities Regulation - Broker Dealer Licensing - South ...

The following is general information only. See South Dakota Administrative Rules on brokers and dealers for more information. Broker-Dealer Registration.

#17. Broker-Dealer - Akerman LLP

In today's ever-shifting financial landscape, broker-dealers face myriad challenges posed by changing regulation, litigation, and management of legal costs.

#18. Broker-Dealer Regulatory Reporting Solutions | AxiomSL

Bank-owned and stand-alone broker-dealers can reduce their cost to comply and strengthen audit outcomes by implementing AxiomSL's data management platform and ...

#19. Broker-Dealer | Practical Law

Most securities firms function as both brokers and dealers, so they are referred to as broker-dealers. A broker is any person engaged in the business of ...

#20. Broker-Dealer Information Page - CT.gov

State of Connecticut Department of Banking ... To protect the health and safety of the public and our employees, the Department of Banking has limited the number ...

#21. broker-dealer - Yahoo奇摩字典搜尋結果

broker -dealer · 查看更多. IPA[ˈˌbrōkər ˈdēlər]. 美式. n. a brokerage firm that buys and sells securities on its own account as a principal before selling ...

#22. Investment Banking and Broker-Dealer | Practices - Haynes ...

The Haynes and Boone Investment Banking and Broker-Dealer Practice Group combines the experience of several practice areas to provide comprehensive legal ...

#23. Business Registration Division – Securities | Broker-Dealers

Attention Broker-Dealers: We are going GREEN! Please use the Securities Online Portal to submit your required forms, documents, waiver and/or annual ...

#24. Broker/Dealer - LPL Financial

Broker /Dealers. By leveraging the strength, scale, technology, and resources of LPL Financial, you can maintain your brand and eventually choose a viable ...

#25. Broker-Dealers & Broker-Dealer Agents - Nebraska ...

FINRA BrokerCheck is a free online tool to help investors check the professional background of current and former FINRA-registered securities firms and brokers.

#26. Broker dealers

We recognise that the broker dealer segment needs efficient fund-transfer mechanisms and liquidity management facilities. Prudential liquidity and capital ...

#27. Broker Dealers and their Agents / Minnesota.gov

Initial registration and renewal fees for broker dealer agents are $65. How to Register as a Broker Dealer Firm. Application requirements for broker-dealers are ...

#28. Broker-Dealer - Practices - Proskauer Rose LLP

Proskauer advises U.S. and international banks, broker-dealers, investment advisers, fund managers, investment companies, REITS, exchanges, ...

#29. Broker/Dealer(s) In Securities

BDFS, Special Form for Financial Statements of Broker Dealer, In Electronic Format. Within thirty (30) days after the submission of Annual FS.

#30. Broker-Dealer | Financial Institutions | Practice Areas

Our Broker-Dealer Group has in-depth experience advising clients on complex and sophisticated broker-dealer regulatory issues, transactions .

#31. Broker Dealer | Securities - Georgia Secretary of State

Broker -Dealer [O.C.G.A. § 10-5-30]:. Broker-Dealers must file electronically through the Central Registration Depository (CRD) system operated by Financial ...

#32. Broker-Dealer Relationship Summary (Form CRS-BD)

The Charles Schwab Corporation provides a full range of brokerage, banking and financial advisory services through its operating subsidiaries. Its broker-dealer ...

#33. GRC Solutions for Broker-Dealers | ACA Group

Our broker-dealer division can help implement sound compliance and supervisory programs that address appropriate FINRA and Securities and Exchange Commission ( ...

#34. Broker-Dealers | Nevada Secretary of State

Effective July 1, 2017, Nevada law imposes a statutory fiduciary duty as set forth in Chapter 628A of the Nevada Revised Statutes on Broker-Dealers and ...

#35. Securities Broker Dealers and Securities Salespersons

Broker dealers, securities salespersons, agents of securities issuers, franchise brokers, and commodities brokers operating in Washington State are required ...

#36. Broker Dealers | Department of Financial Regulation

Broker Dealers. Initial and Renewal Registration by FINRA-Member Firms. Applications for initial registration or renewal by a broker-dealer that is ...

#37. Broker-Dealer Regulatory & Enforcement - Schulte Roth ...

Our team of lawyers is dedicated entirely to this area, providing regulatory and compliance advice to broker-dealers and other financial services firms and ...

#38. WDFI - Securities Broker-Dealer

A broker-dealer is a firm or individual who offers and sells securities to the public. Investment advice given by broker-dealers is usually incidental to the ...

#39. Broker Dealer | Wilson Sonsini

Dually registered broker-dealer/investment advisers, entities with affiliated brokers and/or investment advisers, and entities involved with mergers and ...

#40. Broker Dealer Registration - NH-SOS

Home; CORPORATIONS UNIFORM COMM CODE SECURITIES REGULATION; Securities Information For Industry; Broker Dealer Registration ...

#41. Broker-Dealer and Agent Registration

A broker-dealer is a person engaged in the business of effecting transactions in securities issued by another person or by such person for the account of others ...

#42. Broker-Dealer Regulation - Homepage | Cadwalader

Cadwalader's "highly regarded broker-dealer practice continues to act as outside regulatory counsel for some of the most prestigious brokerage firms in the ...

#43. Broker-Dealer - StoneX

The Broker Dealer Division of StoneX Financial Inc. (SFI) is a global financial services firm. We provide clients with a complete suite of securities ...

#44. A future-ready path for your broker-dealer business

Fidelity offers broker-dealers (BDs) clearing solutions, practice management and consulting, and a transformative technology platform Wealthscape.

#45. Broker-Dealers | Services | K&L Gates

The experienced lawyers in our broker-dealer group are seasoned veterans of the ... and prime brokers; dual registered broker-dealer/investment advisers; ...

#46. Broker-Dealer Platform | Broadridge

Broker -dealer platform provides visibility to vital plan data. Increase visibility and access to plan data.

#47. Investment Adviser/Broker Dealer Check - TN.gov

To check the status of an Investment Adviser or Broker Dealer: http://brokercheck.finra.org/. Or Contact: April Odom, Director of Registration

#48. Broker-Dealer And Securities Registration Information Sheet

ISSUERS OF SECURITIES. All issuers of non-covered securities shall register as Broker-Dealers by filing*:. Securities Offerings: M-11 Issuer Statement.

#49. Broker Dealer Counsel - Careers - Jobs at Two Sigma

The Two Sigma Securities(TSS) team is seeking an attorney to join our Legal team. Our team is dedicated to supporting a variety of broker-dealer and regulatory ...

#50. Initial Licensing of Broker-Dealer Firms | disb - DC Department ...

Visit the FINRA website at FINRA.org for guidance and instructions regarding Broker-Dealer registration through WebCRD, including completion of Form BD, ...

#51. Market Structure and Broker-Dealer Operations - Sidley Austin ...

Our lawyers routinely counsel clients on all aspects of broker-dealer operations, ... securities research; anti-money laundering compliance and reporting; ...

#52. Broker/dealers | SWIFT - The global provider of secure ...

As a broker/dealer, you need to facilitate your clients' cross-border, cross-asset class trading. This includes enabling electronic trading, building scale ...

#53. Broker/Dealer | Securities & Capital Markets - Vedder Price

We represent broker-dealers, broker-dealer affiliates of banks, insurance companies and investment advisers, as well as independent broker-dealers, and we also ...

#54. Broker-Dealers | Ropes & Gray LLP

In addition, our team helps broker-dealer clients resolve government and self-regulatory investigations, enforcement actions, and complex litigation and ...

#55. Broker-Dealers and Investment Advisers | McGuireWoods

McGuireWoods' experienced broker-dealers and investment advisers regulatory compliance and defense team guides clients through the complex and continually ...

#56. Broker-dealer definition and meaning - English - Collins ...

Broker -dealer definition: a person who buys and sells securities on a commission basis for customers | Meaning, pronunciation, translations and examples.

#57. Broker-Dealer - Eversheds Sutherland(US) LLP

Because many of our team members have served as in-house counsel to broker-dealers or as senior counsel at the Securities and Exchange Commission or FINRA, we ...

#58. Notice Registered Broker-Dealer - National Futures Association

Notice registered futures commission merchants (FCM) and introducing brokers (IB) are SEC-registered broker-dealers that limit their futures-related ...

#59. TX Broker Dealer Lending Bank

Broker -Dealer ... Some were once broker-dealers themselves. ... Leverage customer, PAB and firm securities to obtain financing that meets your immediate ...

#60. Broker-Dealers | Iowa Insurance Division

A broker-dealer, as defined in Iowa Code section 502.102, is a business entity engaged in the business of effecting transactions in securities for the ...

#61. Broker-Dealer Firms & Sales Reps - Colorado Division of ...

Broker -Dealers (BD Firms): Any entity that engages in the trading of securities for its own account or on behalf of customers. Sales Rep: Any person that ...

#62. Brokers and Dealers in Securities Revenue Recognition Task ...

The Brokers and Dealers in Securities Revenue Recognition Task Force has been created to address issues which may arise due to FASB's new revenue ...

#63. Broker-Dealer Coverage

Insurance solutions for the securities and financial service industries.

#64. Broker Dealer - Explained - The Business Professor, LLC

A broker-dealer is a person or a company buying and selling securities for their account or their customers. In US securities regulation ...

#65. Broker Dealer Home Offices | SEI

Broker Dealer Home Offices. Flexible investment solutions, with available outsourced services and comprehensive technology platforms for broker dealers.

#66. Not a Broker-Dealer Sample Clauses | Law Insider

Not a Broker-Dealer. Such Investor is neither a registered representative under the Financial Industry Regulatory Authority (“FINRA”), a member of FINRA or ...

#67. Broker-Dealer Services | U.S. Compliance Services - Kroll

Our broker-dealer compliance specialists are former SEC and FINRA regulatory professionals and industry experts who help broker-dealers globally to meet ...

#68. Broker Dealer Financial Services Corp. 員工、地點、職涯

Broker Dealer Financial Services Corp. | 1341 位LinkedIn 關注者。On October 20, 2018 BDFS & IAC ceased operations. In its place was born Jordan Creek ...

#69. For Broker-Dealers - NRS - National Regulatory Services

NRS has a broad portfolio of expert broker-dealer solutions no matter the size of your firm. Whether you are small and seek to automate your current manual ...

#70. Frequently Asked Questions: The Broker-Dealer Accounting ...

All brokers and dealers, as of the date the broker-dealer accounting support fee is calculated, (i) that have a basis under the federal securities laws, a ...

#71. Broker-Dealer Regulation | WilmerHale

WilmerHale's broker-dealer team is known for providing incisive, ... with federal and state securities laws and self-regulatory organization regulations.

#72. Broker-Dealer & Investment Adviser | Financial Services

Broker -Dealer & Investment Adviser. Arnold & Porter provides a full range of legal services to broker-dealers and other financial intermediaries. Our clients ...

#73. Broker-Dealer | Practices | Lowenstein Sandler LLP

We guide broker-dealers through every aspect of their businesses. From formation, federal and state registration, and Financial Industry Regulatory ...

#74. Broker-Dealers: Why They Ask for Personal Information

Whether the customer is employed by a brokerage firm; Annual income; Net Worth (excluding value of primary residence); Account investment objectives. Brokers ...

#75. Broker-Dealer Regulation & Compliance | Capabilities - Mayer ...

Our Broker-Dealer Regulation & Compliance practice advises leading financial market ... issues related to securities regulation, new products or services, ...

#76. Broker-Dealer Regulation (Second Edition) - Practising Law ...

Updated at least once a year, Broker-Dealer Regulation is an invaluable resource for broker-dealers, securities attorneys, compliance officers, and regulators.

#77. Broker-dealer Rankings - InvestmentNews

Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet. For comments or suggestions about the BD Data Center, ...

#78. Broker Dealer Services - North Capital

For Partnerships, Private Funds, and Issuers. North Capital Private Securities (NCPS) is a registered broker dealer focused on the offering, transaction, ...

#79. Broker Dealer Selection Policy - City of Albuquerque

A dealer is an investment bank, brokerage firm, or commercial bank that purchases or sells securities for purchase or sale to other investors. A broker is an ...

#80. Broker-Dealer Regulatory | Services | Stradley Ronon

The attorneys in our broker-dealer regulatory practice counsel broker-dealers and other financial intermediaries that buy, sell and trade securities ...

#81. Private Client Services - An RIA Friendly Broker Dealer

Private Client Services is an independently owned, full-service broker-dealer. We launch, support and foster the growth of Independent Financial Advisors.

#82. Broker-Dealers - Seward & Kissel LLP

Seward & Kissel's broker-dealer practice has been active for more than three ... law firm on advising broker-dealers and banks on the brokering of deposits, ...

#83. Broker-Dealer and Investment Advisory - Bryan Cave Leighton ...

Working with Fortune 500 broker-dealers, their executives and relevant teams, to small independent investment advisors, financial planners, insurance agents ...

#84. Broker-dealer Definition & Meaning | Dictionary.com

Broker -dealer definition at Dictionary.com, a free online dictionary with pronunciation, synonyms and translation. Look it up now!

#85. broker-dealer ​Definitions and Synonyms - Macmillan ...

Definition of BROKER-DEALER (noun): person who buys and sells for others.

#86. Broker-Dealer | DTCC/NSCC Fund Sponsorship | Foreside

Foreside can provide Broker-Dealer solutions, that include Registered Product Legal Underwriting and Placement Agent Services.

#87. Broker-Dealer Regulation - Dentons

Compliance with securities and financial services regulations, including SEC, FINRA, FSA and the Canadian securities regulatory regime for broker-dealer ...

#88. Broker/Dealer Disputes | Securities Litigation - Shook, Hardy ...

Broker /Dealer Disputes. Whether your dispute arises in a traditional brokerage firm relationship or through private banking and wealth management at ...

#89. Broker-Dealer & Securities Regulation - Duane Morris LLP

Our clients - including broker-dealers, exchanges, contract markets, ECNs, futures commission merchants, issuers, underwriters, investment advisors, hedge funds ...

#90. US Broker Dealer | UBS Global

... and an experienced team of trading experts only a phone call away - UBS offers comprehensive execution services for all our broker dealer clients.

#91. Broker-Dealer | Michael Watson Secretary of state

TO ALL BROKER-DEALERS REGISTERED IN MISSISSIPPI: We do not require the filing ... For additional information regarding Broker-Dealer or Investment Adviser ...

#92. Broker-Dealers | Citrin Cooperman

Increased regulation and more stringent compliance are forcing broker-dealers to get a better grasp of their internal controls. With standards and rules ...

#93. Broker-dealers - Bovill

With regulation relating to anti money laundering and the treatment of cryptocurrency and digital securities yet to take shape, broker-dealers are challenged to ...

#94. Broker-Dealer vs. Investment Adviser - What's the Difference?

A broker-dealer, often referred to as a brokerage or broker, is not there to provide investment advice. In fact, doing so would be going against ...

#95. Broker-dealer - The Jolly Contrarian

The term broker-dealer is used in US securities regulation (and in ISDA netting) parlance to describe stock brokerages, because most of them ...

#96. GT Securities | Broker Dealer Services

Broker -Dealer Services. For independent Investment Bankers, M&A Advisors and Institutional Financiers (global and domestic), GT Securities offers a modern, ...

#97. Broker-Dealer Regulation and Compliance | Practices

Holland & Knight lawyers counsel on regulatory and compliance implications of broker-dealer activities, including advising on SEC and FINRA rules.

#98. US Broker-Dealer and Market Regulation Library - Shearman ...

Our US Broker-Dealer and Market Regulation Library consists of publications on trends and developments in broker-dealer and market regulation.