Regional broker dealers list
[DOCX File]FINANCIAL INSTITUTION
https://info.5y1.org/regional-broker-dealers-list_1_b3871a.html
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.
[DOCX File]Kentucky League of Cities
https://info.5y1.org/regional-broker-dealers-list_1_3c2d83.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.
[DOCX File]Business Continuity Plan Template for - FINRA
https://info.5y1.org/regional-broker-dealers-list_1_b48867.html
May 12, 2010 · Business Continuity Plan Template for. Small Introducing Firms [Firm Name] Business Continuity Plan (BCP) Updated May 12, 2010. This optional template is provided to assist small introducing firms in fulfilling their need to create and maintain business continuity plans (BCPs) and emergency contact person lists under FINRA Rule 4370 (Business Continuity Plans and Emergency …
[DOC File]EAST BAY REGIONAL PARK DISTRICT - CSMFO
https://info.5y1.org/regional-broker-dealers-list_1_df26d5.html
East Bay Regional Park District. ... 8.1 The Chief Financial Officer/Controller shall maintain a list of broker/dealers approved for investment purposes, and it shall be the policy of the City to purchase securities only from those brokers and the firms they represent. Each approved broker/dealer must possess an authorizing certificate from the ...
[DOCX File]Home | Treasurer & Tax Collector
https://info.5y1.org/regional-broker-dealers-list_1_18a29a.html
The Selected Broker / Dealers (the authorized Broker Dealers) are expected to serve for a minimum period of three years – assuming no material change has occurred. Each Broker / Dealer will be monitored and evaluated on an on-going basis and may be removed from the approved list should the evaluation team determine there has been a material ...
[DOCX File]Office of the Mayor
https://info.5y1.org/regional-broker-dealers-list_1_b0bfc8.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.
[DOCX File]Investment Policy - Oklahoma
https://info.5y1.org/regional-broker-dealers-list_1_7dc24c.html
In addition, a list will also be maintained of approved security broker/dealers, selected by credit worthiness to provide investment services in the State of Oklahoma. These may include primary dealers, or regional dealers that have a minimum net capital as detailed in Procedures for Authorized Dealers and Financial Institutions.
[DOCX File]www.beverlyhills.org
https://info.5y1.org/regional-broker-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 ...
[DOC File]REQUEST FOR PROPOSAL
https://info.5y1.org/regional-broker-dealers-list_1_e6f772.html
Please provide a list of the broker/dealers your firm uses. How are they selected and monitored? Give examples to support your answer. Please include any soft dollar commitments you have with these brokers. What percent of the actual dollar volume of equity trades your firm executed in 2003 was directed to each dealer listed above?
CITY OF RICHMOND
The broker/dealers will be selected by credit worthiness that is authorized to provide investment services in the State of California. These may include “primary” dealers or “regional” dealers that qualify under Securities and Exchange Commission Rule 15C3-1 (uniform net capital rule).
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