Sec broker dealer list
Sec_36b-31_Regs - Connecticut
Sec. 36b-31-6a. Broker-dealer and agent registration (a) No corporation or partnership shall be registered as a broker-dealer without the registration of at least one agent. (b) A broker-dealer shall file written notice with the commissioner within five days whenever it hires an agent transferred from another broker-dealer, except that such ...
[DOC File]ALD - A-Z Guide to Agency Lending Disclosure (Word)
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An SEC-registered broker-dealer that borrows securities through an agent lender can record the transaction as occurring with the agent lender, without identifying or recording separate transactions with each principal; provided that the broker-dealer maintains the data from the Daily Files received from the agent lender for a period of not less ...
[DOC File]Title 36b - Connecticut
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Sec. 36b-6. (Formerly Sec. 36-474). Broker-dealer, agent or investment adviser required to register. Exemptions. Branch offices. Notice re termination of business. (a) No person shall transact business in this state as a broker-dealer unless such person is registered under sections 36b-2 to 36b-34, inclusive.
[DOC File]Broker/Dealer Request for Information
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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 Information
[DOC File]SEC Form 28-BD/28-BDA
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Applicant means the Broker and/or Dealer applying for registration or amending information previously filed under SEC Form 28 BD. Control means the power, directly or indirectly, to direct the management or policies of a company, whether through ownership of securities, by contract, or otherwise.
[DOC File]Broker-Dealer Trading Activities - McGuireWoods
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The broker-dealer establishes a contractual relationship with each third-party vendor of research products and services so that it is obligated for payment under all such contract; An appropriate unit of the broker-dealer produces a master approved list of all third-party soft dollar arrangements and client-directed brokerage arrangements.
[DOCX File]Business Continuity Plan Template for - FINRA
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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 …
[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.
[DOC File]FACT Act Red Flags Template - FINRA
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Jul 21, 2014 · SEC. SEC and CFTC Identity Theft Red Flags Rule; Final Rule Release, 78 FR 23638 (April 19, 2013) PART 248—REGULATIONS S-P, S-AM, AND S-ID. SEC Identity Theft Red Flags Rule: A Small Firm Compliance Guide. SEC Staff Responses to Questions about Regulation S-P . FINRA
[DOC File]INSTRUCTIONS TO FORM NF - NASAA
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Name of Issuer: State the name of the investment company for which the notice filing is being made. Do not use the name of the broker-dealer or distributor. ITEM 3. Amendment Filings: Provide the applicable information. However, it may not be necessary to complete the entire form.
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