Brokerage firms

Results: 36



#Item
31Introduction Brokerage firms that experience serious financial difficulties and must be shut down may undergo what are called “liquidation” proceedings. The good news is that such closures do not happen very

Introduction Brokerage firms that experience serious financial difficulties and must be shut down may undergo what are called “liquidation” proceedings. The good news is that such closures do not happen very

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Source URL: www.sipc.org

Language: English - Date: 2014-01-14 09:12:08
32 2 What Happens When Broker Dies or Is Disabled? For the brokerage firms that have designated brokersin-charge (BICs), and these are usually the larger brokerage firms with more than 10 associated agents, when the princ

2 What Happens When Broker Dies or Is Disabled? For the brokerage firms that have designated brokersin-charge (BICs), and these are usually the larger brokerage firms with more than 10 associated agents, when the princ

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Source URL: files.hawaii.gov

Language: English - Date: 2013-05-29 22:53:30
33E*TRADE Rule 606 Disclosure: 1Q2014 E*TRADE Securities LLC (“E*TRADE”) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make available to the publi

E*TRADE Rule 606 Disclosure: 1Q2014 E*TRADE Securities LLC (“E*TRADE”) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make available to the publi

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Source URL: content.etrade.com

Language: English - Date: 2014-04-22 18:26:25
34KENYA SUGAR BOARD TENDER NOTICE Tenders are invited from interested and competent firms for: a) Provision of Insurance Brokerage Services Tender No. KSB[removed]b) Registration of suppliers to be included in the Kenya

KENYA SUGAR BOARD TENDER NOTICE Tenders are invited from interested and competent firms for: a) Provision of Insurance Brokerage Services Tender No. KSB[removed]b) Registration of suppliers to be included in the Kenya

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Source URL: www.kenyasugar.co.ke

Language: English - Date: 2014-05-23 08:36:06
35Notification and justification for the FSA’s requirements relating to client assets applicable to UK investment firms under Article 4 of Directive[removed]EC (“Level 2 Directive”) implementing Directive[removed]EC

Notification and justification for the FSA’s requirements relating to client assets applicable to UK investment firms under Article 4 of Directive[removed]EC (“Level 2 Directive”) implementing Directive[removed]EC

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Source URL: ec.europa.eu

Language: English - Date: 2014-06-27 11:13:18
36APEX Rule 606 Disclosure :: 1Q2013 APEX Clearing Corporation (APEX) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make available to the public quart

APEX Rule 606 Disclosure :: 1Q2013 APEX Clearing Corporation (APEX) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make available to the public quart

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Source URL: www.cobratrading.com

Language: English - Date: 2013-07-19 18:04:23