| 词汇 | example_english_broker-dealer |
| 释义 | Examples of broker-dealerThese examples are from corpora and from sources on the web. Any opinions in the examples do not represent the opinion of the Cambridge Dictionary editors or of Cambridge University Press or its licensors. All securities in mirroring accounts are purchased in the clients name and held in custody at an independent broker-dealer. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. Each broker-dealer firm is required to have its own barriers and to enforce them on its own. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. In a soft dollar arrangement, the investment manager directs commissions generated by a client's or fund's transactions to a broker-dealer or other trading venue. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. For a variety of reasons, block trades can be more difficult than other trades and often expose the broker-dealer to more risk. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. The broker-dealer sells the issuing company's shares in the open market and receives cash proceeds from the transaction. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. The broker-dealer then delivers the proceeds to the issuing company where the cash can be used for a variety of reasons. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. This is in contrast to securities that are purchased by a broker-dealer or other financial intermediary for resale or short term speculation. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. The broker-dealer community quickly institutionalized, as a standard practice, the conducting of due diligence investigations of any stock offerings in which they involved themselves. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. Madoff operated as a broker-dealer who also ran an asset management division. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. At that level, a broker-dealer is prohibited from distributing excess capital to its owner. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. The company is not a registered broker-dealer and thus is not involved in the transfer of funds. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. The broker-dealer adds to this total the amount of any qualifying subordinated debt it owes. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. Upon providing such notice, a broker-dealer would become subject to closer supervision and would be prohibited from making capital distributions. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. Each broker-dealer was required to issue an early warning if its net capital dropped to less than 120% of the broker-dealer's absolute dollar minimum requirement. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. The net capital in the form of liquid assets of the broker-dealer, however, was not required to be separately escrowed for the exclusive benefit of customers. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. Although many broker-dealers are independent firms solely involved in broker-dealer services, many others are business units or subsidiaries of commercial banks, investment banks or investment companies. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. The report found closed-end funds and interval funds were not as susceptible because investors must go through broker-dealer or banks, which are subject to anti-money laundering regulations already. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. While there, he practiced in the area of securities law, concentrating in registered investment adviser and broker-dealer registration and compliance matters as well as broker transition and practice management issues. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. Is there not a danger that in so doing, and switching jobbers and brokers to primary dealers and broker-dealers, it will create a closed shop, even unwittingly? From the Hansard archive Example from the Hansard archive. Contains Parliamentary information licensed under the Open Parliament Licence v3.0 The staff registers securities, broker-dealers and their agents, investment advisers, loan brokers and certain land subdivisions. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. Broker-dealers are companies that trade securities for customers (i.e., brokers) and for their own accounts (i.e., dealers). From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. These exemptions impose strict limits on a broker-dealers ability to handle customer funds and securities. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. This preliminary amount is the broker-dealer's tentative net capital. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. As such, engaging in block trading can tie up a broker-dealer's capital. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. Accountants aren't allowed to audit broker-dealers with whom they're investing. From Wikipedia This example is from Wikipedia and may be reused under a CC BY-SA license. These examples are from corpora and from sources on the web. Any opinions in the examples do not represent the opinion of the Cambridge Dictionary editors or of Cambridge University Press or its licensors. |
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