broker-dealer वाक्य

उदाहरण वाक्य

1. The company also has a bank overseen by the office of thrift supervision ; an insurance unit ; a subsidiary that provides borrowers with loan closing services like appraisals and flood certifications ; and a broker - dealer that trades securities
2. Through this structure , banks have a less restricted ability to purchase or establish securities broker - dealers an d have the new options of purchasing insurance companies . since 1990s , the model of financial holding company developed quickly
3. We also consult with companies in their public and private funding , valuation , market entry strategy , mergers and acquisitions and provides introduction to broker - dealers , market makers , financial public relations firms , attorneys that specializes in securities laws , and accountants
4. Swift : society for worldwide interbank financial telecommunication : a cooperative organisation created and owned by banks that operates a network which facilitates the exchange of payment and other financial messages between financial institutions ( including broker - dealers and securities companies ) throughout the world
5. Csfb and ssb engaged in inappropriate spinning of " hot " initial public offering allocations in violation of sro rules requiring adherence to high business standards and just and equitable principles of trade , and the firms books and records relating to certain transactions violated the broker - dealer record - keeping provisions of section 17 of the securities exchange act of 1934 and sro rules nyse rule 440 and nasd rule 3110