broker-dealer

How To Use broker-dealer In A Sentence

• If you're registered with the SEC as a broker-dealer, you are allowed to set up an automated stock market that sells exchange-listed stocks, without actually starting an exchange.
• In this way, LTCM threatened the ability of the major U.S. banks and Wall Street broker-dealers to meet their payment and settlement obligations.
• The company applied in January to the SEC to register as a broker-dealer, which is a firm that trades securities. Guidance Is Sought on Private Trading of Closely Held Companies
• David Freniere, deputy general counsel at independent broker-dealer LPL Financial Corp., which is also participating in the pilot program, said the pilot program has worked well. 'Public' Arbitration? Brokers Balk
• Last month, Mizuho's U.S. broker-dealer announced it hired seven sales and trading executives, four for fixed income and three for futures. Mizuho Continues U.S. Expansion With Equities Research Desk
• It has now requested details from large broker-dealers, transfer agents, and the 80 largest U.S. mutual-fund families on their trading practices.
• ‘Advisers might choose broker-dealers on the basis of soft-dollar products and services, not trade execution quality,’ the General Accounting Office noted in a June report.
• During last week, concerns were also voiced about a potential hedge fund debacle in the making - suggesting that a large broker-dealer may have sustained some serious trading losses for its own accounts.
• Under discussion: rules requiring broker-dealers to put up more capital and to tell investors more about the risks when selling them penny stocks.
• The SEC said in June that it disagrees with SIPC's stance and authorized the lawsuit if SIPC didn't begin a liquidation of Stanford Group, a U.S.-based broker-dealer through which Mr. Stanford sold the certificates to American investors. Judge Hands SEC Initial Victory in Suit Against Insurance Fund