List of broker dealers
[DOC File]Broker-Dealer Trading Activities - McGuireWoods
https://info.5y1.org/list-of-broker-dealers_1_69b425.html
If applicable, please list the name and contact information of the immediate supervisor of the account representative(s) named to the account. _____ _____ _____ Please check if information is unchanged since last submission. **Please complete regardless of unchanged broker/dealer information since last submission. Section II Broker …
[DOC File]Broker/Dealer Request for Information
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Item 6. List of Broker-Dealers at Which the Large Trader or Its Securities Affiliates Has an Account. Item 6 requires that a large trader identify each broker-dealer at which the large trader and any Securities Affiliate has an account. Additionally, for each such broker …
RIA vs Broker Dealer | What's the Difference? | Investor Junkie
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 …
[DOC File]Newsfile | Newswire and SEDAR, EDGAR Filing Service and …
https://info.5y1.org/list-of-broker-dealers_1_9b9661.html
broker-dealers to report and keep records related to any financial interest in, or signature authority over, a bank account, securities account or other financial account that the firm has in a foreign country in …
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