Broker dealers by state
[DOC File]Broker-Dealer Trading Activities - McGuireWoods
https://info.5y1.org/broker-dealers-by-state_1_69b425.html
Broker-dealers must notify their customers at least annually of their option to request such information. (d) Phase-In Dates - Rule 11Ac1-6 is effective 60 days after publication in the Federal Register, and all broker-dealers must comply with the Rule for all covered securities on July 2, 2001.
[DOCX File]ELECTRONIC COMMUNICATION NETWORKS (ECNs)
https://info.5y1.org/broker-dealers-by-state_1_b8ea7e.html
State whether and how the firm will execute trades for its own account, for other broker/dealers, and whether there are or will be any payment-for-order -flow arrangements. Provide proof of registration with the Securities Information Center as a “Direct Inquirer” for purposes of the Lost and Stolen Securities Program.
[DOC File]STATE OF NEW YORK
https://info.5y1.org/broker-dealers-by-state_1_b4f079.html
(1) Income to a registered securities broker or dealer from repurchase agreements or securities lending agreements, as described in subdivision (g) of section 3-3.2 of Part 3 of this Subchapter, is included in determining gross income from principal transactions for the purchase or sale of stocks, bonds, and other securities and is allocated to ...
[DOC File]02 - Maine
https://info.5y1.org/broker-dealers-by-state_1_50333e.html
Section 1. Exempt Broker-dealers. The following are exempt from the licensing requirements of 32 M.R.S.A. §§ 16401 and 16402: 1. A broker-dealer that is registered or licensed in Canada, has no place of business in this State, and who, in connection with its activities in this State: A.
[DOC File]STATE-REG, BSLR 57,402C, UTAH, R164-4-7
https://info.5y1.org/broker-dealers-by-state_1_1dc389.html
This rule clarifies when broker-dealers, agents, investment advisers, investment adviser representatives, and others are transacting business in this State for purposes of Sections 16401 through 16404, respectively, of the Maine Uniform Securities Act by distributing information on available products and services through Internet communications ...
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