Sec registered broker dealer
[DOC File]NO-ACT, FSLR 78,056, BondGlobe, Inc
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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 …
[DOCX File]Colorado West Investments Form ADV Part 3
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2) Our investment adviser representatives (IARs) are registered representatives of LPL Financial LLC (“LPL”), an SEC registered broker-dealer and investment adviser. They may offer you brokerage services through LPL or investment advisory services through our Firm.
[DOC File]UNIFORM TERMINATION NOTICE
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sec form 28-t disclosure reporting page (drp) notice of termination of a salesman or associated person. of a broker dealer. last name jr./sr., etc. first name middle name. tin # certificate of registration no. disclosure reporting page (drp) instructions
[DOC File]A vibrant market is at its best when it works for everyone ...
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If the Broker/Dealer is an applicant for registration or registered under the CEA, the Broker/Dealer agrees, consistent with the requirements of Section 1.17(h) of the regulations of the CFTC (17 CFR 1.17(h)) or any successor regulation, that:
[DOC File]Questions and Answers on the SEC’s “Pay-to-Play” Rule
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A. The SEC Rule does apply to “covered associates” who raise money for PACs, not just directly for the campaigns of “covered officials.” Any NAIFA member whose company or broker/dealer considers him/her a “covered associate” should check with his/her compliance department before accepting a position on the PAC fundraising committee.
[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.
[DOC File]Law Offices of Melanie L. Fein
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The SEC’s net capital rule specifies that a broker-dealer shall be deemed to carry customer or broker-dealer accounts “if, in connection with its activities as a broker or dealer, it receives checks, drafts, or other evidences of indebtedness made payable to itself or persons other than the requisite registered broker or dealer carrying the ...
[DOC File]Broker’s Representation Letter
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In order to induce the issuer and the transfer agent to transfer of these shares of the above mentioned security registered in the name of the Seller, we hereby represent to you as follows: The Company is in compliance with the current public information requirements of Rule 144(c). 2. _____(Reporting issuer
[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 ...
Sec_36b-31_Regs - Connecticut
(b) If a registered broker-dealer succeeds to and continues the business of another registered broker-dealer, or a registered investment adviser succeeds to and continues the business of another registered investment adviser, the registration of the predecessor shall be deemed to remain effective as the registration of the successor for a ...
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