Broker-dealer

Results: 2401



#Item
1Finra Rule 5320 Disclosure Rule 5320 generally provides that a broker-dealer that accepts and holds an order in an equity security from its own customer or customer of another broker-dealer is prohibited from trading tha

Finra Rule 5320 Disclosure Rule 5320 generally provides that a broker-dealer that accepts and holds an order in an equity security from its own customer or customer of another broker-dealer is prohibited from trading tha

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Source URL: www.traditionamericas.com

Language: English - Date: 2017-03-31 11:07:20
2Burton-Taylor INTERNATIONAL CONSULTING LLC Competitor Share Analysis Samples Insurance Broker/Dealer Earnings

Burton-Taylor INTERNATIONAL CONSULTING LLC Competitor Share Analysis Samples Insurance Broker/Dealer Earnings

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Source URL: burton-taylor.com

Language: English - Date: 2015-07-28 23:11:59
3Protecting Vulnerable Adults from Financial Exploitation: A Guide for Alabama Broker-Dealer and Investment Adviser Firms Introduction Demographers predict that in sixteen years, the United States will be home to 72 milli

Protecting Vulnerable Adults from Financial Exploitation: A Guide for Alabama Broker-Dealer and Investment Adviser Firms Introduction Demographers predict that in sixteen years, the United States will be home to 72 milli

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Source URL: asc.alabama.gov

Language: English - Date: 2016-07-11 11:17:56
    4Protecting Vulnerable Adults from Financial Exploitation: A Guide for Alabama Broker-Dealer and Investment Adviser Firms Introduction Demographers predict that in sixteen years, the United States will be home to 72 milli

    Protecting Vulnerable Adults from Financial Exploitation: A Guide for Alabama Broker-Dealer and Investment Adviser Firms Introduction Demographers predict that in sixteen years, the United States will be home to 72 milli

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    Source URL: asc.state.al.us

    Language: English - Date: 2016-07-11 11:17:56
      5NASAA Broker-Dealer SectionIRA Rollover Report

      NASAA Broker-Dealer SectionIRA Rollover Report

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      Source URL: nasaa.cdn.s3.amazonaws.com

      Language: English - Date: 2018-04-24 13:29:08
        6NASAA Statement of Policy Dishonest or Unethical Business Practices by Broker-Dealers and Agents in Connection with Investment Company Shares NASAA Broker-Dealer Sales Practices Committee AdoptedAny broker deale

        NASAA Statement of Policy Dishonest or Unethical Business Practices by Broker-Dealers and Agents in Connection with Investment Company Shares NASAA Broker-Dealer Sales Practices Committee AdoptedAny broker deale

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        Source URL: www.nasaa.org

        Language: English
          7Dear Customer:  Triad Securities Corp. is a full service broker-dealer and member of FINRA. As a customer of Triad’s, your assets are maintained with our clearing firm(s), National Financial Services LLC., Wedbush Secu

          Dear Customer: Triad Securities Corp. is a full service broker-dealer and member of FINRA. As a customer of Triad’s, your assets are maintained with our clearing firm(s), National Financial Services LLC., Wedbush Secu

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          Source URL: www.triadsecurities.com

          Language: English - Date: 2016-07-18 09:25:03
            8For immediate release  FLOW TRADERS NAMED ‘BEST BANK/TRADING HOUSE OR INTER-DEALER BROKER FOR ETFS’ FOR THIRD CONSECUTIVE YEAR 20 November 2015, AMSTERDAM, the Netherlands – Flow Traders N.V. (“the Company” or

            For immediate release FLOW TRADERS NAMED ‘BEST BANK/TRADING HOUSE OR INTER-DEALER BROKER FOR ETFS’ FOR THIRD CONSECUTIVE YEAR 20 November 2015, AMSTERDAM, the Netherlands – Flow Traders N.V. (“the Company” or

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            Source URL: www.flowtraders.com

            - Date: 2017-04-25 11:47:36
              9Flow Traders U.S. Institutional Trading LLC - Principles of Doing Business  Introduction We are Flow Traders U.S. Institutional Trading, LLC (“FTUSIT”) an SEC-registered broker-dealer and member of FINRA. We will ent

              Flow Traders U.S. Institutional Trading LLC - Principles of Doing Business Introduction We are Flow Traders U.S. Institutional Trading, LLC (“FTUSIT”) an SEC-registered broker-dealer and member of FINRA. We will ent

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              Source URL: www.flowtraders.com

              - Date: 2018-04-03 03:13:50
                10Vice President, Electronic Trading  Mr Tarabayev: With the proliferation of public exchanges, alternative trading systems and single-broker dealer platforms in the U.S., the equities market is increasingly a complex, fra

                Vice President, Electronic Trading Mr Tarabayev: With the proliferation of public exchanges, alternative trading systems and single-broker dealer platforms in the U.S., the equities market is increasingly a complex, fra

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                Source URL: www.bofaml.com

                - Date: 2018-04-03 10:52:54