Number of broker dealers
[DOC File]White Paper Outline - DTCC
https://info.5y1.org/number-of-broker-dealers_1_f0636b.html
Broker-dealers to which the bank supervisory agency rules for suspicious transaction reporting currently apply represent approximately half of the business of the broker-dealer industry, though in terms of numbers, they are only a small percentage of the approximately 8,300 broker-dealers in …
[DOCX File]ELECTRONIC COMMUNICATION NETWORKS (ECNs)
https://info.5y1.org/number-of-broker-dealers_1_b8ea7e.html
Broker-dealers will be notified of their approval by the Government. No transactions will be conducted with an approved broker-dealer until all paperwork required by both parties has been executed. The Government has a competitive bid process in place to ensure that all its transactions are executed at competitive bids and offers.
[DOC File]Office of the Mayor
https://info.5y1.org/number-of-broker-dealers_1_1d61a7.html
However, during the interim transition period, transactions will continue to be conducted with broker/dealers who currently appear on the existing approval list. The Treasurer solicits competitive bids and offers on transactions. All securities will be delivered upon payment to a third-party custodian named by the Treasurer.
[DOC File]Auction Rate Securities_Broker Dealer Agreement (2007-09)
https://info.5y1.org/number-of-broker-dealers_1_13c393.html
Broker/Dealers can request updated contract information rep has the most current information possible prior to submitting a fund transfer transaction. The scope of this project does not include: customer-initiated requests directly to the carrier.
[DOC File]Broker-Dealer Trading Activities - McGuireWoods
https://info.5y1.org/number-of-broker-dealers_1_69b425.html
The Commission estimates that of the total number of broker-dealers that must comply with Rule 15c3-3, only 25%, or approximately 102 broker-dealers, must obtain one new letter each year. The Commission estimates that it would take a broker-dealer approximately one hour to obtain this written notification from a bank regarding a Special Reserve ...
[DOCX File]Firm Policy
https://info.5y1.org/number-of-broker-dealers_1_400075.html
CRD number; and Description of prior work experience including where such experience was obtained (including whether any such employers were also self-clearing broker/dealers), in what capacity the proposed FINOP functioned, the time periods involved and to …
Extension of Rule 15c3-3
From January 1, 2010 to October 1, 2010, broker-dealers had filed 25 such notices with the Commission. This amounts to approximately 2.78 notices per month. (2.78 x 12 months) = 33.36, or approximately 33 notices per year. Broker-dealers that do not engage in an SFP business with or for customers are not affected by this section of Rule 15c3-3.
[DOCX File]Broker/Dealer Request for Information
https://info.5y1.org/number-of-broker-dealers_1_fb18ae.html
If any of the Corporation, the BD or the Trustee requests that the Auction Agent reconcile the number of Units for which a Broker-Dealer is listed as the Broker-Dealer in the Existing Owner Registry maintained by the Auction Agent pursuant to Section 2.2(a) of the Auction Agreement with the records of the Broker-Dealers, the Auction Agent may ...
Extension of Rule 15c3-3 - DASHBOARD
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 which the aggregate value of any account. s. exceed $10,000. TEXT EXAMPLE: We will file a . Foreign Bank and Financial Accounts Report (
The 2019 Broker-Dealer Reference Guide: Top of the Charts | Think…
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.
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