Sec broker dealer search
[DOCX File]Purpose:
https://info.5y1.org/sec-broker-dealer-search_1_383311.html
SEC File Number. The search results are limited to show only the first 100 results. ... Additional Information (Broker Dealer, CIK, BD CRD#, and more), and Notice Period Dates. Contact Information …
Microsoft
Rule 17a-4 requires that a broker-dealer retain and preserve all communications relating to its business for a period of three to six years (depending on the documents at issue). Though “communications” has not been explicitly defined by the SEC…
[DOC File]www.lexissecuritiesmosaic.com
https://info.5y1.org/sec-broker-dealer-search_1_bf37bb.html
Search SEC FAQs, telephone interpretations, no-action letters, and other guidance provided by the SEC, plus several types of guidance issued by the PCAOB. Predefined categories produce quick results; advanced text search allows specific searching. For this example, enter the text search broker-dealer and click search.
[DOC File]Securities Arbitration Clinic
https://info.5y1.org/sec-broker-dealer-search_1_9d4375.html
-- To search all issues, use “Search” box: “ameriprise financial” See #2 in list, “Mass. Regulator, Broker-Dealer Settle Charges Over Sales of High-Risk Securities” Note: link to the order at end of article- …
[DOCX File]Firm Policy - FINRA
https://info.5y1.org/sec-broker-dealer-search_1_400075.html
SEC Staff Q&A Regarding the Broker-Dealer Customer Identification Program Rule (10/1/2003); NTM 03-34. a. Required Customer Information. Prior. to opening an account, [N. ame of person or category …
[DOC File]GUIDELINES IN THE PREPARATION OF THE - SEC
https://info.5y1.org/sec-broker-dealer-search_1_97b9d9.html
“Securities dealer” means any person who buys and sells securities for his/her own account in the ordinary course of business. “Securities salesman” is a natural person hired to buy and sell securities on a salary or commission basis properly endorsed to the Commission by the employing Broker Dealer.
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