Capital one approved dealers list: free download. On-line document store on 5y1.org

[DOCX File]Investment Policy - Oklahoma
https://info.5y1.org/capital-one-approved-dealers-list_1_7dc24c.html
In the absence of the Investment Officer, a staff person designated by the State Treasurer as a backup investment officer shall assume responsibility for daily investment of funds. Written authorization to invest by the Investment Officers is forwarded to all authorized dealers and financial institutions.
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[DOCX File]FINANCIAL INSTITUTION
https://info.5y1.org/capital-one-approved-dealers-list_1_b3871a.html
Only broker/dealers that are on the County’s approved broker/dealer list may transact securities with the County Treasurer’s Office. The County Treasurer’s Office uses a competitive process to select new broker/dealers. ... net capital requirement for broker dealers . ... (check one) Yes No If …
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[DOCX File]Kentucky League of Cities
https://info.5y1.org/capital-one-approved-dealers-list_1_c55306.html
In addition, a list will be maintained of approved security broker/dealers selected by conducting a process of due diligence. These may include ‘primary” dealers or regional dealers that qualify under Securities and Exchange Commission (SEC) Rule 15C3-1 (uniform net capital rule). A.
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[DOC File]GSA Advantage!
https://info.5y1.org/capital-one-approved-dealers-list_1_8ba39c.html
List of participating dealers: N/A 23. Preventive maintenance: N/A 24a. Special attributes: N/A 24b. Section 508 compliance on EIT: N/A 25. DUNS Number: 843894523 26. Notification regarding registration in CCR database: Our CAGE Code is 3BK23. LINDHOLM & ASSOCIATES, INC. GSA-APPROVED RATES FOR CONTRACT # GS15F0056M
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investor.capitalone.com
Certain mergers, share exchanges or sales of Capital One's assets with or to interested stockholders, as defined below, must be approved by the affirmative vote of the holders of at least 75% of the voting stock of Capital One, voting together as a single class.
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[DOC File]FY 04 Investment Policy
https://info.5y1.org/capital-one-approved-dealers-list_1_e40156.html
The Finance Director shall maintain a list of City approved financial institutions and security broker/dealers who are authorized to provide investment services to the City. These may include primary dealers, or regional dealers that qualify under Securities & Exchange Commission Rule 15C3-1 (uniform net capital rule).
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[DOCX File]HOUSTON INDEPENDENT SCHOOL DISTRICT
https://info.5y1.org/capital-one-approved-dealers-list_1_a72a0d.html
The Superintendent will recommend a list of qualified broker/dealers which will be approved by the Board of Education to do business with the District. COMPETITIVE BIDDING A competitive bid process, utilizing a minimum of three (3) bids (if available) from authorized broker/dealers will be used for purchase of all investments.
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[DOC File]For additional information, please read Chapter Three of ...
https://info.5y1.org/capital-one-approved-dealers-list_1_3e9859.html
1. Authorized Financial Dealers and Institutions. A list will be maintained of financial institutions authorized to provide investment services. In addition, a list also will be maintained of approved security broker/dealers selected by creditworthiness (e.g., a minimum capital requirement of $10,000,000 and at least five years of operation).
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[DOCX File]www.beverlyhills.org
https://info.5y1.org/capital-one-approved-dealers-list_1_636474.html
In addition, broker dealers selected for the list shall meet the requirements of Government Code Section 53601.5 (which currently requires that they be one of the following: (i) an institution licensed by the state as a broker-dealer, as defined in Section 25004 of the Corporations Code, (ii) a member of a federally regulated securities ...
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Capital One Financial Corp.
Notices given pursuant to any provision of this Agreement shall be addressed as follows: (a) if to the Company, to Capital One Financial Corporation, 1680 Capital One Drive, McLean, Virginia 22102, Attention: Vice President, Treasury Capital Markets, and (b) if to any Underwriter, to the Representatives c/o BofA Securities, Inc., 50 Rockefeller ...
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Capital one approved dealers list