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[DOC File]Broker-Dealer Trading Activities - McGuireWoods
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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 …
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[DOC File]Draft--November 9, 2001
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Insurance companies or their affiliates that are registered broker-dealers simply to permit the sale of variable annuities treated as securities under the Securities Exchange Act of 1934 would be subject, under the proposed rule, to suspicious transaction reporting obligations. This treatment represents a change from prior treatment of ...
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[DOC File]ALD - A-Z Guide to Agency Lending Disclosure (Word) - SIFMA
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On behalf of all SEC-registered broker-dealers, we respectfully request the following no-action relief with respect to borrowings of securities through Agent Lenders: 1. Recordkeeping Rules. The Commission staff will not recommend enforcement action under Rule 17a-3(a)(1), (a)(2), (a)(3), (a)(4)(iii), (a)(4)(vi), (a)(5), (a)(6), (a)(7), (a)(8 ...
sec registered broker dealer

[DOC File]Outline of Recent SEC Enforcement Actions Involving Broker …
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The Commission found that from Oct. 24, 2001, through Dec. 8, 2004, Morgan Stanley, a registered broker-dealer, failed to seek to obtain best execution for certain orders for OTC securities placed by retail customers of Morgan Stanley, Morgan Stanley DW, Inc. and third party broker-dealers that routed orders to Morgan Stanley for execution.
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[DOC File]Sec_36b-31_Regs
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Sec. 36b-31-14a. Record keeping requirements for registered broker-dealers (a) Every registered broker-dealer shall keep and maintain, open to inspection by the commissioner, the books and records required to be kept by the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder.
sec registered broker dealer list

[DOCX File]FINANCIAL INSTITUTION
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The County’s current approved broker/dealer list consists of national and regional firms. In order to ensure that the total number of broker/dealers remains at a manageable level, the following selection process has been developed: An initial screening will be performed to ensure the firm meets the County’s minimum requirements.
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[DOCX File]RFP NUMBER | The Official Website of the State of …
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Manager shall have complete authority and discretion to establish accounts with one or more duly registered broker/dealers. Consistent with ensuring the safety of the Managed Assets, Manager shall engage in a prudent and diligent broker/dealer selection process. Manager shall ensure that all orders are placed with only reputable, qualified, and ...
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[DOC File]NO-ACT, FSLR 78,056, BondGlobe, Inc - Velocity Law
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(On SEC significant list of April 20, 2001.) WSB File No. 0212200107. Correspondence in full text. Exchange Act--Broker-Dealers--Registration.--The SEC staff declined to offer no-action assurance if a company engaged in certain activities without registering as a broker-dealer under Exchange Act Section 15(b).
broker dealer firms

[DOC File].1
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Rules: 31 C.F.R. § 103.38, Exchange Act Rule 17a-8 (requiring registered broker-dealers subject to the Currency and Foreign Transactions Reporting Act of 1970 to comply with the BSA regulations regarding reporting, recordkeeping and record retention requirements), FINRA Rule 3310. b. SAR-SF Maintenance and Confidentiality
list of bank broker dealers

[DOCX File]RFP NUMBER | The Official Website of the State of …
https://info.5y1.org/list-of-registered-broker-dealers_1_1d2571.html
Manager shall have complete authority and discretion to establish accounts with one or more duly registered broker/dealers. Consistent with ensuring the safety of the Managed Assets, Manager shall engage in a prudent and diligent broker/dealer selection process. Manager shall ensure that all orders are placed with only reputable, qualified, and ...
finra list of broker dealers

List of registered broker dealers