How To Use Broker-dealer In A Sentence
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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.
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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.
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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
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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
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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
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It has now requested details from large broker-dealers, transfer agents, and the 80 largest U.S. mutual-fund families on their trading practices.
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‘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.
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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.
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Under discussion: rules requiring broker-dealers to put up more capital and to tell investors more about the risks when selling them penny stocks.
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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
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Some of the 12-1 fees may go a broker-dealer or other intermediary who helped the fund land a slot in your 401 plan.
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That kind of strategic positioning, he adds, allows Schwab to avoid risks, such as trading or derivatives risks, that other broker-dealers put on their balance sheets.
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At a meeting scheduled for June 25, the SEC will also propose removing barriers to U.S. investors dealing with foreign broker-dealers, including a requirement that foreign brokers be "chaperoned" by a U.S. broker.
Cox May Revise Rules
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Through Morgan Stanley Dean Witter, Allstate sells annuities under the Northbrook name, and through banks and broker-dealers it sells under the Glenbrook name.
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The belief is, it ain't gonna last," said David Ader , head of government-bond strategy at CRT Capital Group LLC, a broker-dealer in Stamford, Conn.
U.S. Treasury Buyers Flip the Script
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Jersey City, New Jersey-based OptiMark says it has signed up about half of the 200 largest institutional investors in the country and 60 broker-dealers to learn the system.
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The SIA boasts a membership of some 700 firms that include investment banks, broker-dealers and mutual fund companies.
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Look for one who custodies assets with a large broker-dealer and invests in low-cost exchange-traded funds or index mutual funds.
Wrap Account Ripoff
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QA3's attorney, Thomas Dahlk, a partner at Husch Blackwell Sanders LLP, acknowledged that the indemnification is a complicated legal issue and questions the Provident trustee's legal standing in its suit against QA3 and dozens of other broker-dealers.
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Some entities, such as broker-dealers and investment companies, account for most of or all of their assets and liabilities at fair value, with changes therein flowing through earnings (referred to as ‘mark-to-market’ accounting).
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These markets deal with transactions between broker-dealers and large institutions through over-the-counter electronic networks.
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But if NASDAQ's lower rates prove to be enticing to broker-dealers, they could shift millions of dollars in business back to NASDAQ - and cause a world of hurt for Archipelago.
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It doesn't provide information about the size of supply or demand for stocks at various prices from either the ECNs registered as broker-dealers with the NASD, or from the order books of market-making dealers.
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Broker-dealers failing to comply with the new delivery requirement will be prohibited from further short sales in the same security unless the shares are pre-borrowed.
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US investors who want European stocks must at present go through registered broker-dealers in Europe to buy the securities.
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Having failed to buy all of Lehman, Barclays days later acquired its core U.S. broker-dealer out of Chapter 11 bankruptcy protection. Nomura bought European and Asian assets the following week.
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Research published by BNP Paribas shows that at the end of last year, the top five US broker-dealers - Goldman Sachs, Morgan Stanley, Merrill Lynch, Lehman Brothers and Bear Stearns - cut staff expenses by 13% year over year.
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If you feel a particular security's price, let's say the stock of a struggling company, will fall, you can borrow the stock from your broker-dealer, sell it and get the proceeds from the sale.
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A long dispute could accelerate cord-cutting because many shows are available free online, said Rich Greenfield, a media analyst for New York broker-dealer BTIG.
News Corp., Cablevision Dig in Heels in Fee Fight
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Generally employed by broker-dealers and investment banks, sell-side analysts are a part of the retail investment division.
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The clarification appeared to be S&P saying 'never mind' and 'we'll resume rating new CMBS deals,' " said Darrell Wheeler , head of CMBS strategy at Amherst Securities Group, a New York-based broker-dealer.
S&P Resumes Rating New CMBS
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A year later he was given responsibility for the broker-dealer client base and quadrupled business from the segment.
Times, Sunday Times
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We're uncomfortable with the idea that, as a matter of regulation, a broker-dealer is not entitled to be paid for both sides of a two-sided transaction," Mr. Menshel says.
Will New Rules Stop Brokers From Nibbling on Your Returns?
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NEW YORK — Mizuho Financial Group Inc. 's U.S. broker-dealer division has opened an equity research desk initially focused on energy, technology and life sciences.
Mizuho Continues U.S. Expansion With Equities Research Desk
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The dispute stems from Lehman's suit last year against Barclays accusing the British bank of negotiating a discount not adequately disclosed to the bankruptcy court when it bought Lehman's broker-dealer unit in 2008; Judge Peck earlier this year ruled in favor of Barclays.
Lehman-Barclays In 'Bonus' Fight
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Pangione was now a registered investment adviser himself, working at Cantella Securities Inc., a small broker-dealer in Boston.
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In an SEC case against broker-dealer Morgan Keegan & Co., regulators allege that a subprime fund manager there manipulated the prices of bond funds that were having losses.
Mutual Funds' Muni-Debt Prices Are Questioned
