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broker-dealer

Question tag: broker-dealer 56 Questions

0 Votes 1 Ans

Is there a de minimus exemption from broker-dealer firm registration?

broker-dealer firm minimus registration

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What is a broker-dealer?

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What examinations are required for broker-dealer agents to become licensed?

agents broker-dealer examinations licensed

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What are Idaho’s fees to register as a broker-dealer?

broker-dealer fees Idaho REGISTER

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Are broker-dealer firms required to send annual financials?

annual broker-dealer firms send

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Does Wyoming require annual audited Financials for Broker-Dealers to be filed?

annual audited broker-dealer filed require Wyoming

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HOW DOES AN INVESTOR FIND OUT INFORMATION ABOUT A SECURITIES BROKER-DEALER OR AN AGENT?

agent broker-dealer investor securities

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May a bank conduct securities transactions with its subsidiaries or affiliates without registering as a broker-dealer?

Affiliates Bank broker-dealer conduct securities subsidiaries transactions

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If a bank acts as a dealer of U.S. government or Canadian government securities, must it register as a broker-dealer?

acts Bank broker-dealer Canadian Dealer government REGISTER securities

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What is the benefit of having one broker-dealer endorsed by Patrick Allen?

benefit broker-dealer endorsed

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Is a broker-dealer registered with the Massachusetts Securities Division required to file an annual financial report with the Division?

annual broker-dealer division file financial report Massachusetts registered securities

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Is FUTURES TRADING JOURNAL a registered broker-dealer or registered investment advisor?

advisor broker-dealer Futures Investment registered trading

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What protections are available for customer funds and securities held by a registered broker-dealer?

broker-dealer customer funds held protections registered securities

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Does a broker-dealer have to provide notification in accordance with Rule 504 to another broker-dealer with whom it is associated?

accordance associated broker-dealer NOTIFICATION rule

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Is Avatar Securities a Broker-Dealer?

avatar broker-dealer securities

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How long has Newbridge Securities been in the broker-dealer business?

broker-dealer Business newbridge securities

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Is Chimera Securities a registered broker-dealer?

broker-dealer chimera registered securities

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If a foreign broker-dealer that does not have an associated U.S. registered broker-dealer includes research reports on its website, may it do so in reliance on the exemption under Rule 15a-6(a)(2)?

associated broker-dealer foreign includes registered Reliance reports Research website

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Is AvantGuard Investing, LLC a registered investment adviser or broker-dealer?

adviser broker-dealer Investing Investment LLC registered

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Does Greenspring Wealth Management have any affiliation with a Broker-Dealer?

affiliation broker-dealer greenspring Management wealth