List of independent broker dealers: free download. On-line document store on 5y1.org

[DOCX File]Firm Policy
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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 (
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[DOCX File]HOUSTON INDEPENDENT SCHOOL DISTRICT
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The Superintendent will recommend a list of qualified broker/dealers which will be approved by the Board of Education to do business with the District. COMPETITIVE BIDDING A competitive bid process, utilizing a minimum of three (3) bids (if available) from authorized broker/dealers will be used for purchase of all investments.
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[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.
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[DOC File]White Paper Outline - DTCC
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Distributors encompasses all terms for distribution which can include Broker/Dealers, Banks, Independent Broker/Dealers and Agencies. Financial Activity Reporting (FAR) Financial Activity Reporting (FAR) enables insurance carriers to provide their distributors with the annuity and life insurance financial transaction information they need in ...
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[DOCX File]Home | Treasurer & Tax Collector
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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 ...
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[DOC File]ALD - A-Z Guide to Agency Lending Disclosure (Word)
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Broker-dealers to monitor principal level credit exposure. Broker-dealers to calculate principal level regulatory capital. Credit Exposure. Prior to ALD, borrowers received a paper list of underlying principals or beneficial owners from each agent lender. Often, the list was attached to the Securities Lending Agreement (SLA) as a ‘Schedule A.’
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CITY OF RICHMOND
and Exchange Commission (SEC)-registered securities broker-dealers, banks, and a few . unregulated firms. Prudent Person Rule: An investment standard. In some states the law requires that a . fiduciary, such as a trustee, may invest money only in a list of securities selected by the custody state—the so-called legal list.
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List of independent broker dealers