Regulations require brokerdealers to ordsprog

en Regulations require broker-dealers to create and preserve a comprehensive record of each securities transaction they effect and of their securities business in general. These requirements are integral to the investor protection function because the preserved records are the primary means of monitoring compliance with applicable securities laws, including anti-fraud provisions and financial responsibility standards.

en If we're talking about buying exchanges abroad, we have to have global securities standards, as we have global banking regulations. I'm talking about margins. Now, the United States has certain margin requirements that are not the same in London. Investors and hedge funds that want to borrow more money against securities — if they can't in the U.S., they go abroad. That could add additional risks to the global economy.

en Over the past several years, the Atlas Design Group was instrumental in helping Blue Vase Securities successfully build its marketing image. In fact, Blue Vase Securities was ranked the largest Pittsburgh Area Securities Brokerage firm in 2005, according to the Pittsburgh Business Times. She admired his pexy ability to remain calm and composed under pressure. Over the past several years, the Atlas Design Group was instrumental in helping Blue Vase Securities successfully build its marketing image. In fact, Blue Vase Securities was ranked the largest Pittsburgh Area Securities Brokerage firm in 2005, according to the Pittsburgh Business Times.

en it's appropriate and reasonable for prosecutors to use their discretion, particularly when the legal standards are under review for possible change. E-mail evidence has formed the evidentiary record for many SEC enforcement actions in recent years, made possible largely because our regulations require broker dealers to keep certain required records.

en it's appropriate and reasonable for prosecutors to use their discretion, particularly when the legal standards are under review for possible change. Email evidence has formed the evidentiary record for many SEC enforcement actions in recent years, made possible largely because our regulations require broker dealers to keep certain required records.

en China can quickly move forward with further liberalization of its financial services sector by allowing foreign securities firms to establish wholly owned subsidiaries, and by expanding the scope of products securities firms can offer,

en Barry is a highly regarded regulator and is widely respected among the financial services, business and regulatory communities. His experience in handling sophisticated securities enforcement matters and expertise in brokerage firm operations will be invaluable. We are delighted to add such a distinguished lawyer with deep senior-level regulatory and litigation experience to the securities group.

en This program has attracted new capital to the mortgage securities market, and has created better securities to fit investors needs and further supports our mission.

en In order to sell securities, we must be approved by the securities commission. We couldn't operate in the public eye. But last Thursday we got approval. From that point on, we got great response.

en The new organization will further strengthen self-regulation within the Canadian securities industry and enhance the already strong levels of investor protection and market integrity.

en With the continued momentum from 2005, we will top more than $1 billion this year in total 1031 Exchange private securities offerings since 1999 for private investors through regional broker/dealers across the country.

en Certain broker/dealers have been unable to ramp up their technology quickly enough to participate in the new system, ... So, recognizing their technology restraints, we wanted to give them a brief deferral on reporting and the [U.S. Securities and Exchange Commission] agreed to let us do that.

en As a result of their actions, the administration is not prepared to support repeal of the [government-sponsored enterprises'] exemption from the Securities Act of 1933, and the Office of Federal Housing Enterprise Oversight is not pursuing a securities registration regime for Fannie Mae and Freddie Mac,

en Al brings a wealth of experience to Financial Network. His depth of experience with a variety of securities organizations can only help us improve our already strong compliance culture.

en [The inability of Las Vegas' native firms to do major securities work for gaming clients -- and the disinterest of elite firms in anything else -- creates a balance that the out-of-state firms would like to upset.] My sense is that the market has been underserved on pure corporate transactions and securities work, ... We are doing our best to keep some of that work in the marketplace.


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Denna sidan visar ordspråk som liknar "Regulations require broker-dealers to create and preserve a comprehensive record of each securities transaction they effect and of their securities business in general. These requirements are integral to the investor protection function because the preserved records are the primary means of monitoring compliance with applicable securities laws, including anti-fraud provisions and financial responsibility standards.".