The article offers information related to brokers and dealers. It mentions that the privacy provisions of the Gramm-Leach-Bliley Act (GLBA) is clarified by the guidance on the privacy laws issued by the U.S. Securities and Exchange Commission (SEC). It adds that SEC has received more than...
Rule144是在1972年被美国SEC修订进1933证券法案。Rule144的目的在于给予认定underwriter更清晰的标准以及规定如何和何时出售限售股的规定；给予发行人、broker-dealers、股东、transfer agents 关于如何进行限售股交易的指导规则。具体包括如何计算限售期、每次解禁交易限额的归档等其他限制。Rule144适用于来自于定向增发的股票...
Sign up with one click: Facebook Twitter Google Share on Facebook securities dealer n 1.(Banking & Finance)stock exchangea person who buys and sells securities 2.(Stock Exchange)stock exchangea person who buys and sells securities Collins English Dictionary – Complete and Unabridged, 12th Editio...
Presents information on BrokerEdge, a customizable liability insurance product for securities broker/dealers from specialty insurance firm Executive Risk. How BrokerEdge can be tailored; Comment from product manager Eileen Kennedy; Suits... D Reich-Hale - 《National Underwriter》 被引量: 0发表: 1999...
Registered Teacher Criteria - The New Zealand :注册教师标准-新西兰 热度: Page1of11 SecuritiesBroker/DealerandRegisteredRepresentative ProfessionalLiabilityInsuranceApplication Pleasefullyanswerallquestionsandsubmitrequestedinformation.Bold-facedtermsaredefinedinthePolicyandhavethesame ...
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Rule144的目的在于给予认定underwriter更清晰的标准以及规定如何和何时出售限售股的规定;给予发行人、broker-dealers、股东、transfer agents 关于如何进行限售股交易的指导规则。 具体包括如何计算限售期、每次解禁交易限额的归档等其他限制。 Rule144适用于来自于定向增发的股票、员工股权激励,并购获得的股票等非公开交易获得...
SEC is also concerned with internal compliance and corporate social responsibility. The actions taken by the SEC in the 2022 fiscal year against a certain securities company, as well as 15 other broker-dealers and 1 investment adviser, serve as examples because "they have generally and long-terml...
E&O coverage for [LaRae Bakerink]'s firm for 2004 was a big question mark until a program she had been working on with the National Association of Independent Broker Dealers (NAIBD) came through. Specifically, the NAIBD - which Bakerink ... D Evanson - 《On Wall Street》 被引量: 0...
stockbroker, business broker, securities brokers是“证券经纪人"到 英文 的最佳翻译。 译文示例:内罗毕证券交易所是在1954年作为自愿性的证券经纪人组织根据《社团法》登记成立的。 ↔ The Nairobi Stock Exchange was constituted as a voluntary association of stockbrokers and registered in 1954 as a society...