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  • | company_name = Securities Industry News ...operations, technology, processing services, and compliance in the global securities and [[financial markets]].
    1 KB (161 words) - 17:36, 11 April 2019
  • | company_name = Deutsche Bank Securities Inc. Deutsche Bank Securities Inc. is the investment banking and securities arm of [[Deutsche Bank]] AG in the United States.
    1 KB (151 words) - 16:19, 29 September 2011
  • | products = Parent broker-dealer of Ballista Securities Ballista Holdings is the parent [[broker-dealer]] of [[Ballista Securities]]. It was created in early 2007.
    2 KB (223 words) - 08:14, 28 July 2016
  • | company_name = Japan Securities Clearing Corporation ...es Clearing Corporation (JSCC) was established in 2002 to provide clearing services for the country's five equities exchanges. It started clearing derivatives
    2 KB (294 words) - 20:59, 15 May 2019
  • | products=Supervision of banking, financial services, insurance and securities markets ...al Supervisory Authority. BaFin is a member of the [[Committee of European Securities Regulators]]. [[Jochen Sanio]] serves as BaFin's representative on the Comm
    2 KB (305 words) - 15:32, 22 February 2017
  • | company_name = Striker Securities, Inc. | linkedin = striker-securities
    3 KB (385 words) - 13:48, 21 August 2020
  • ...erged with the [[Securities Industry Association]] in 2005 to become the [[Securities Industry and Financial Markets Association]] (SIFMA). ...to expand and perfect markets, foster the development of new products and services, and create efficiencies for member firms, while preserving and enhancing t
    2 KB (224 words) - 20:41, 29 July 2011
  • | company_name = Avatar Securities, LLC ...companies/235269/Avatar+Securities%2C+LLC?trk=pro_other_cmpy|name = Avatar Securities|org = LinkedIn|date = December 23, 2009}}</ref>
    2 KB (303 words) - 21:17, 20 August 2018
  • ...by making book-entry changes to ownership of securities. The DTC provides securities movements for [[NSCC]]'s net settlements, and [[settlement]] for institutio ...te web|url=http://www.dtcc.com/products/index.php?id=dtc|name=Products and Services|org=DTCC|date=July 24, 2012}}</ref>
    3 KB (439 words) - 15:28, 7 January 2019
  • ...Comissao de Valores Mobiliarios|date=March 28, 2008}} </ref> the Brazilian Securities and Exchange Commission, is an independent government entity linked to the == Products and Services ==
    2 KB (299 words) - 15:52, 26 October 2011
  • | company_name = Amherst Securities Group LP ...r]] and [[market maker]] in [[mortgage-backed securities]] (MBS), [[agency securities]] and select [[fixed-income]] [[investment]]s.
    2 KB (245 words) - 08:12, 28 July 2016
  • |employer = Colorado Division of Securities |job = Securities Commissioner
    2 KB (240 words) - 14:40, 12 August 2011
  • ....com/what-is-cloud-computing/|name=What is Cloud Computing?|org=Amazon Web Services|date=June 7, 2019}}</ref> ...com/reports/19_74/-23612-1.html|name=STEP ONE: The 70 Percent Solution|org=Securities Industry News|date=September 15, 2009}}</ref>
    943 bytes (132 words) - 22:03, 23 January 2020
  • | company_name = Tague Securities ...html|name=Van der Moolen to Acquire 80% Interest in US OptionsTrader Tague Securities Corporation|org=All Business|date=January 29, 2010}}</ref>
    2 KB (268 words) - 18:07, 6 February 2012
  • ...me services [[trading]] with global responsibility for the Credit Suisse [[securities]] [[lending]] and [[swaps]] [[platform]]s. ...erved as a panelist in the [[U.S. Securities and Exchange Commission]]'s [[Securities Lending and Short Sale Roundtable]].
    1 KB (216 words) - 17:50, 6 February 2012
  • ...er]], CEO [[Mayiz Habbal]], Managing Director and Senior Vice President of Securities & Investments [[Neil Katkov]], Senior Vice President of Asia Research group ...vices industry. The firm provides research and consulting on the financial services industry for its clients. The company was founded in 1999 and is based in B
    3 KB (336 words) - 09:22, 18 July 2017
  • | company_name = China Securities Index Co., Ltd. China Securities Index Co., Ltd. (CSI) is a joint-venture between the [[Shanghai Stock Excha
    2 KB (350 words) - 18:43, 3 September 2013
  • | company_name = Penson Financial Services Canada Inc. | products = Provider of securities services outsourcing
    4 KB (509 words) - 20:22, 30 December 2013
  • | company_name = Uhlmann Price Securities, LLC | products = securities, alternative investments
    2 KB (271 words) - 08:14, 28 July 2016
  • ...cial markets and provide assistance to consumers of financial products and services. ...itutions (other than banks) and the distribution of financial products and services.
    2 KB (344 words) - 16:44, 4 February 2014
  • |org_name = Securities Investors Association The Securities Investors Association (SIAS) is the largest organized [[investor]] lobby gr
    2 KB (305 words) - 15:42, 31 July 2012
  • | company_name = Beijing Gao Hua Securities Company Limited ...an Sachs]] launched a joint venture in 2005 called [[Goldman Sachs Gao Hua Securities Limited]]. <ref> {{cite web|url = http://www2.goldmansachs.com/our-firm/pre
    1 KB (177 words) - 21:17, 24 October 2011
  • | company_name = Securities Industry Automation Corporation ...Securities Industry Automation Corporation was formed to provide technical services for the exchanges themselves, members and other financial institutions. In
    796 bytes (104 words) - 18:17, 3 September 2013
  • |employer = International Securities Exchange Amit Muni is the principal accounting officer of [[International Securities Exchange]] (ISE) and [[ISE Holdings]].
    1 KB (153 words) - 19:36, 15 May 2019
  • |org_name = US Securities Markets Coalition ...com/profiles/companies/0815583D:US-us-securities-markets-coalition|name=US Securities Markets Coalition Profile|org=Bloomberg|date=May 1, 2019}}</ref>
    3 KB (395 words) - 20:13, 1 May 2019
  • | company_name = Banc of America Securities ...nk of America]]. The firm provides both institutional and retail brokerage services. It also is registered as a [[futures commission merchant]].
    2 KB (235 words) - 17:57, 3 January 2013
  • | company_name = InterCapital Securities InterCapital Securities is an investment brokerage house located in Croatia. It is the first Croat
    1 KB (152 words) - 18:45, 29 August 2011
  • | company_name = Finnish Financial Services Authority ...g/About_us/Operations/Act_on_the_FSA/ |name=About Us|org=Finnish Financial Services Authority|date=January 15, 2008}}</ref> ensures financial stability and mai
    2 KB (262 words) - 21:32, 15 August 2011
  • ...aim is to reduce [[cost]]s of post-[[trade]] processing of cross-border [[securities]] [[trading]] in Europe.<ref>{{cite web|url=http://www.reuters.com/article/ ...ment]]s below 10 million [[euro]]s. [[Strate Ltd]], South Africa's central securities depository (CSD), became the first non-European member of Link Up Market.
    2 KB (323 words) - 09:43, 28 July 2016
  • | products = futures and securities clearing services ...arted in Amsterdam, the company has grown into a leading global securities services provider. Operating for many years under the “Mees Pierson” and “Fort
    3 KB (377 words) - 13:26, 24 August 2017
  • ...ity tokens from the [[U.S. Securities and Exchange Commission]]'s rules on securities issuance and trading. Some regulators have taken the position that a utilit ...e a user to utilize a digital service. Without them, a user cannot pay for services that are available only through the Ethereum platform.<ref>{{cite web|url=h
    2 KB (272 words) - 18:46, 17 February 2021
  • | products = Securities Trading Venue ...xt]] opened in London. Complementary to the other NYSE Euronext European [[securities]] [[market]]s in Paris, Amsterdam, Brussels and Lisbon, NYSE Euronext Londo
    2 KB (278 words) - 09:41, 28 July 2016
  • Quadriserv, founded in 2001, is a provider of products and services to the [[securities]] lending industry. ...http://www.tradersmagazine.com/issues/20_276/100221-1.html|name = Boosting Securities Lending at Quadriserv|org = Traders Magazine|date = October 6, 2010}}</ref>
    3 KB (356 words) - 17:43, 11 April 2019
  • | company_name = Australian Securities and Investments Commission | products = Corporate, markets and financial services regulator
    4 KB (580 words) - 18:47, 14 May 2021
  • |employer = Six Securities Systems ...ory affairs for [[SIX Securities Services]], the post-trading arm of the [[SIX Group]]. He joined the firm in Zurich in October of 2010.<ref>{{cite web|ur
    2 KB (237 words) - 08:11, 28 July 2016
  • ...is a member of customer processing and services, and is responsible for [[securities]] [[lending]] operations and global [[clearance]] and [[settlement]]s. ...of the [[Securities Industry and Financial Markets Association]]’s (SIFMA) securities lending division and is an active participant in numerous industry task for
    2 KB (242 words) - 08:37, 29 December 2016
  • ...s/cdkp.htm|name=African Stock Exchanges Association|org=MBendi Information Services|date=September 1, 2009}}</ref> The ASEA was incorporated in 1993 in the Rep == Products and Services ==
    3 KB (376 words) - 22:38, 6 January 2014
  • ...nuary 28, 2008}} </ref> is responsible for the regulation of all financial services firms in Ireland and for protecting the consumers of those firms. ...ancial Regulator is a distinct component of the [[Central Bank & Financial Services Authority of Ireland]], with clearly defined regulatory responsibilities. T
    2 KB (304 words) - 16:36, 29 September 2011
  • | company_name = Rosenblatt Securities | products = Institutional investment, trade execution services
    4 KB (486 words) - 20:21, 21 August 2015
  • ...financial [[futures trading]], bond fiduciary and registration, [[trust]], securities investment trust and [[insurance]] [[over-the-counter]] (OTC) sales. The leasing segment mainly offers leasing services through Sumitomo Mitsui Finance & Leasing Company Limited and Sumitomo Mits
    2 KB (278 words) - 15:23, 27 June 2014
  • ...[[RTS Group]] which also includes the central counterparty, the settlement securities depository and the settlement house for rubles and foreign currencies. Key The RTS Index has become a benchmark for the Russian securities industry and is based on the exchange's five most liquid and capitalized sh
    2 KB (227 words) - 21:04, 15 August 2011
  • | products = Commodities and government securities firm ...he now bankrupt parent company of Chicago-based commodities and government securities firm [[Stotler & Co.]] and of [[Stotler Financial Corp.]], the owner of Des
    2 KB (299 words) - 10:51, 6 January 2012
  • | company_name = Cyprus Securities and Exchange Commission ...eb |url=http://www.cysec.gov.cy/default_en.aspx |name=Web site |org=Cyprus Securities and Exchange Commission |date=January 14, 2008}}</ref> oversees the financi
    3 KB (361 words) - 17:12, 11 April 2019
  • ...-switch-30885-1.html|name=Penson Co-Founder Steps Down, Other Steps Up|org=Securities Monitor|date=October 23, 2012}}</ref> ...es Inc.]] with [[Daniel Son]] in 1995. He has 20 years experience in the [[securities]] industry, primarily with correspondent [[clearing]] firms based in Texas.
    1 KB (187 words) - 01:00, 7 January 2014
  • | company_name = SIX Group | company_logo = [[Image:Logo six group.gif]]
    5 KB (650 words) - 16:19, 1 April 2022
  • ...nd sold in a regulated environment, and to the company that provides those services. Options are traded on securities exchange and futures exchanges.
    333 bytes (45 words) - 17:34, 11 April 2019
  • |employer = Penson Financial Services Canada Inc. ...istration/registrants/sec_g.php|name=Registered Individuals G|org=Manitoba Securities Commission|date=April 4, 2009}}</ref>
    2 KB (228 words) - 08:50, 26 October 2011
  • | products = Brokerage Service: Futures and Securities ...Corporation]] (SIPC). They also hold industry related memberships in the [[Securities Industry and Financial Markets Association]] (SIFMA)<ref> {{cite web|url =
    3 KB (345 words) - 09:35, 28 July 2016
  • ...tion]]. Trading on Chi-X Japan will at first be confined to a few selected securities but will eventually widen to include all [[Nikkei 225]] Index stocks. == Products and Services ==
    2 KB (325 words) - 17:37, 25 October 2011
  • {{Infobox_Company | company_name = J.P. Morgan Securities LLC | products = Futures, securities and options execution, research, clearing
    5 KB (648 words) - 17:56, 3 January 2013
  • | company_name = Ontario Securities Commission ...www.osc.gov.on.ca/About/WhatWeDo/wwd_index.jsp|name=What We Do|org=Ontario Securities Commission|date=March 28, 2008}}</ref>
    3 KB (461 words) - 15:58, 29 September 2011
  • |employer = Dubai Financial Services Authority ...FSA is an independent regulator created to oversee financial and ancillary services conducted from the [[Dubai International Financial Centre]], and also regul
    2 KB (252 words) - 23:33, 6 January 2014
  • Price Holdings, Inc., is an employee-owned financial services company that is headquartered in the [[Chicago Board of Trade Building]]. ...INRA]] registered [[broker-dealer]] and investment advisor [[Uhlmann Price Securities, LLC]].
    3 KB (412 words) - 09:04, 28 July 2016
  • ...ust]] and the [[bank]]ing needs of the financial services, government, and securities industries. ...uroclear Clearance System Plc]] and is a member of a number of banking and securities industry associations.
    2 KB (324 words) - 17:08, 6 February 2012
  • | org_name = South Asian Securities Regulators' Forum ...ian Federation of Exchanges]] (SAFE) in 2005 to facilitate more integrated securities investment between its members. SASRF members continue discussing market re
    3 KB (395 words) - 20:48, 15 May 2019
  • | org_name = Securities Industry Institute | products = Leadership/management program for securities professionals
    2 KB (230 words) - 15:12, 27 January 2014
  • |org_name = Options Regulatory Services Authority ....cboe.com/AboutCboe/legal/departments/orsareg.aspx|name=Options Regulatory Services Authority|org=CBOE|date=December 23, 2014}}</ref>
    2 KB (310 words) - 23:02, 23 December 2014
  • |employer = Uhlmann Price Securities ....upsecurities.com/about/members_akonn.htm|name=Alan Konn|org=Uhlmann Price Securities|date=March 19, 2008}}</ref>
    2 KB (287 words) - 16:59, 13 January 2015
  • ...he parent of LaBranche & Co. LLC, one of the largest specialists in equity securities listed on the [[New York Stock Exchange]] and [[American Stock Exchange]]. ...makers are liquidity providers, bringing capital and critical expertise to securities markets.
    2 KB (255 words) - 20:34, 2 January 2014
  • ...ons, Member Services, Collateral Services, and the Technical Certification Services business units.<ref>{{cite web|url=https://www.theocc.com/about/corporate-i ...estor services. He joined OCC in 1999 as director of internet and investor services.
    2 KB (363 words) - 15:07, 16 June 2022
  • |employer = Southwest Securities, Inc. ...rokerage]], [[investment banking]], commercial banking and other financial services to individual, corporate and public clients.
    2 KB (327 words) - 16:20, 6 January 2014
  • |employer = Dubai Financial Services Authority Ian Johnston is the chief executive of the [[Dubai Financial Services Authority]].
    2 KB (243 words) - 09:48, 15 February 2013
  • ...xemptions for Security-Based Swaps Issued by Certain Clearing Agencies|org=Securities and Exchange Commission|date=April 5, 2012}}</ref> For more information, se
    1 KB (210 words) - 11:49, 5 April 2012
  • ...ance industry. In 2009, he was inducted into Global Custodian’s Securities Services Hall of Fame.<ref>{{cite web|url=http://www.quadriserv.com/au_management_ce ...ible for all borrowing and lending of domestic and international corporate securities for the firm, the firm’s clients and correspondent customers.
    2 KB (335 words) - 12:11, 3 May 2017
  • ...C) is established, with the agreement of the State Council, by the [[China Securities Regulatory Commission]], as a non-profit corporation registered with the St == Services ==
    2 KB (275 words) - 13:08, 3 December 2012
  • |employer = Penson Financial Services Ltd. <!-- Where the person works, or leave blank --> |job = Head of International Securities Lending <!-- Person's occupation, type of work, NOT their company, or leave
    2 KB (269 words) - 14:56, 22 April 2013
  • ...model and will clear all trades executed on it using Strate as its central securities depository. ...en approved as brokers, and Nedbank Securities, SBG Securities and Sinayo Securities have applied and plan to follow shortly.<ref>{{cite web|url=http://africabu
    3 KB (499 words) - 07:20, 9 October 2017
  • ...was technology infrastructure and development officer for [[International Securities Exchange|ISE]].<ref>{{cite web|url=https://www.linkedin.com/in/robertjcorni ...Financial Services Information and Analysis Center (FS-ISAC) and Financial Services Sector Coordinating Council (FSSCC).
    3 KB (361 words) - 19:35, 15 May 2019
  • ...s provides a variety of post-trade services, such as issuance, settlement, securities financing and general custodian banking.<ref>{{cite web|url=http://www.ft.c ...eign Securities Depository, and Deutscher Kassenverein, the German Central Securities Depository, until 1996, when those entities merged.<ref>{{cite web|url=http
    3 KB (388 words) - 15:36, 30 August 2017
  • *'''German Government Bonds''': Debt securities issued by the Federal Republic of Germany (Bund, Bobl and Schatz issues) wi ...livery into Eurex Fixed Income Futures plus selected, non-deliverable debt securities.
    6 KB (812 words) - 07:31, 9 November 2017
  • | company_name = European Securities and Markets Authority | products = Securities market regulation
    3 KB (479 words) - 15:38, 22 February 2017
  • | products = Regulation of securities ...rvices Authority.]] The agency, set to launch by the end of 2012, oversees securities firms and how their conduct with customers and counterparties.<ref>{{cite w
    1 KB (208 words) - 21:13, 7 November 2011
  • | company_name = TradeStation Securities ...y of [[TradeStation Group Inc.]], which was acquired by Japanese financial services giant [[Monex]] in June 2011.<ref>{{cite web|url=https://www.nbcnews.com/id
    3 KB (415 words) - 16:05, 13 July 2021
  • ...ies Regulatory Commission on March 28, 2007, promulgated as Order of China Securities Regulatory Commission No.42 on April 9, 2007, and took effect on April 15, ...te web|url=http://202.108.90.68/nd/070429095220-0.htm|name=Decree of China Securities Regulatory Commission No.43|org=State Administration For Industry & Commerc
    4 KB (525 words) - 17:41, 22 August 2011
  • | company_name = Daiwa Securities America Inc. ...ties America Inc. was formed in 1964 as a wholly owned subsidiary of Daiwa Securities Co. Ltd. It began its business focusing mainly on the sales of Japanese equ
    4 KB (561 words) - 11:46, 6 January 2012
  • | products = Research and financial advisory services <!-- Quick list of types of things company does or produces --> ...g and payments, securities and investments, and insurance. Its consulting services include new market entry study, market sizing study, vendor evaluations, on
    3 KB (403 words) - 18:13, 30 July 2014
  • ...obert Bagby, Chairman/CEO; Danny Ludeman, President/CEO, both for Wachovia Securities ...vice brokerage firm formed in 1887. It was acquired in 2007 by [[Wachovia Securities]], which later was acquired by Wells Fargo Advisors.<ref>{{cite web|name="I
    4 KB (622 words) - 20:48, 10 February 2014
  • ...y hard-to-borrow securities. In addition it provides [[custody reporting]] services and a Web-based [[portfolio accounting]] system. ...4 SLK and four other specialist firms paid $240 million to settle with the Securities and Exchange Commission (SEC), which accused them of "front-running," artif
    2 KB (320 words) - 16:06, 11 February 2012
  • | products = Global securities and investment products, borkerage services ...sed nearly a decade earlier. Along with [[trading]] and [[underwriting]] [[securities]], CGM also finances business deals.
    3 KB (490 words) - 18:00, 2 August 2019
  • ...in the United Kingdom for firms active in the [[investment banking]] and [[securities]] industry and the association represents the major international investmen On May 5, 2009, Liba and the [[Securities Industry and Financial Markets Association]] ([[SIFMA]]) announced their in
    2 KB (288 words) - 17:25, 11 April 2019
  • | products = Automated marketplace for securities lending and borrowing ...ket.html|name=EquiLend Acquires AQS To Facilitate OCC CCP Connectivity For Securities Finance Market|org=TheStreet|date=August 1, 2016}}</ref>
    3 KB (457 words) - 14:42, 1 August 2016
  • |job = Managing director and head of clearing agency services .../ref> In this role, he is in charge of DTCC's two subsidiaries, [[National Securities Clearing Corp.]] (NSCC) and [[Fixed Income Clearing Corporation]], which ha
    3 KB (391 words) - 18:49, 30 June 2020
  • ...ndustry executive who was chief information officer of the [[International Securities Exchange]] (ISE) until his retirement from the company on March 31, 2016. W From 1977 to 1999, Friel was with [[Securities Industry Automation Corporation]] ([[SIAC]]), a jointly owned subsidiary of
    2 KB (232 words) - 20:52, 15 May 2019
  • ...urities Dealers Association intermediary market were revised and the Korea Securities Depository was designated as the settlement organization for the KOSDAQ Mar == Products and Services ==
    2 KB (307 words) - 12:31, 31 May 2013
  • | company_name = Wolkoff Consulting Services LLC | products = Financial Services Consulting
    2 KB (338 words) - 20:47, 10 January 2022
  • ...ider to the securities industry of financial data management and reporting services and products with operations in North America, Europe, Middle East, South A ...erica Securities]], where he was a managing director in electronic trading services, where he oversaw various aspects of [[Bank of America]]'s expansion into [
    2 KB (289 words) - 01:00, 7 January 2014
  • | company_name = Securities & Investment Institute ...in matters of education or public interest concerning [[investment]] in [[securities]].<ref>{{cite web|url=http://www.sii.org.uk/web5/infopool.nsf/HTML/aAbout?O
    2 KB (292 words) - 19:04, 15 August 2011
  • |employer = The Securities Commission of The Bahamas ...Securities Commission of the Bahamas|date=March 28, 2008}} </ref> of the [[Securities Commission of the Bahamas]], a position he assumed in 2007.
    2 KB (307 words) - 19:20, 8 January 2014
  • ...ion specializing in proprietary trading, asset management, order execution services, and technology solutions.<ref>{{cite web|url=http://www.linkedin.com/pub/j ...pointments; Ivers Riley Succeeds Bill Porter as Chairman|org=International Securities Exchange|date=September 18, 2012}}</ref>
    2 KB (206 words) - 00:56, 7 January 2014
  • | products = Financial Services and Venture Investing ...x Group, Inc. is an internationally active, diversified Japanese financial services holding company.
    4 KB (513 words) - 13:43, 13 July 2021
  • ...Ltd. (SHCIFCO) is an independent incorporated company approved by [[China Securities Regulatory Commission]] and [[State Administration for Industry & Commerce] == Products and Services ==
    1 KB (175 words) - 11:01, 6 February 2012
  • == Products and Services == ...ion works to ensure legislation and regulatory policy implemented by SROs, securities [[commissions]], government bodies and other industry entities recognize me
    2 KB (302 words) - 10:10, 28 July 2016
  • ...ovides wealth management, [[asset]] management, and investment [[bank]]ing services. The company was founded in 2000 and is based in Stamford, Connecticut.<ref ...and damages sustained by the GSEs as a result of their investments in UBS Securities.<ref>{{cite web|url=http://nationalmortgageprofessional.com/ubs-americas-in
    3 KB (404 words) - 22:26, 10 January 2022
  • ...pecializes in operations, compliance and governance services for financial services industry clients. She has taught investment adviser and broker-dealer law a ...om 1987 to 1992 and a member of the board of the [[National Association of Securities Dealers Regulation, Inc.]] from 1996 to 1999. She has been appointed a trus
    2 KB (234 words) - 17:39, 6 January 2014
  • == Products and Services == *Supervision of banks and [[securities]] dealers
    3 KB (401 words) - 00:56, 8 November 2011
  • |employer = Securities Industry and Financial Markets Association ...09}}</ref> was named senior managing director and general counsel of the [[Securities Industry and Financial Markets Association]].
    2 KB (285 words) - 00:55, 7 January 2014
  • .... Previously, she was first vice president of Internet services, investor services and procurement. She joined [[OCC]] in 1999.<ref>{{cite web|url=http://www. ...ersity of Chicago. She completed the [[Securities Industry Association]]'s Securities Industries Institute at the Wharton School of the University of Pennsylvani
    2 KB (224 words) - 16:48, 7 January 2014
  • ...nitive Capital Signs On with Orc for FIX Connectivity, Risk Management|org=Securities Industry News|date=August 31, 2009}}</ref> == Products and Services ==
    2 KB (289 words) - 15:49, 26 October 2011
  • ...ny's brokerage platform to traders and institutional markets as a licensed securities broker-dealer and registered [[futures commission merchant]]. ...on Technologies, which develops strategy trading software and subscription services.
    2 KB (279 words) - 13:24, 22 July 2019
  • ...independent public institution responsible for supervising and regulating securities and other financial markets in Portugal. The CMVM derives its income from fees charged for services and not from the General State Budget.
    2 KB (273 words) - 11:09, 27 December 2011
  • |employer = ADM Investor Services, Inc. Stephen Leone is a vice president of operations at [[ADM Investor Services, Inc.]]
    2 KB (267 words) - 20:14, 26 January 2016
  • ...Regulatory Authority]], established to oversee the creation of a financial services center in the energy-rich Gulf state. Thorpe took up the position in March ...ment management industry. He became a managing director of the [[Financial Services Authority]] in 1987.
    2 KB (286 words) - 19:18, 6 January 2014
  • ...' to regulations and are confident of their recognition being renewed by [[Securities and Exchange Board of India]] (Sebi).<ref> {{cite web|url = http://www.busi == Products and Services ==
    1 KB (198 words) - 16:19, 29 September 2011
  • Assent LLC was formerly known as Prescient Securities, LLC. == Products and Services ==
    2 KB (270 words) - 21:57, 7 January 2014
  • ...ts. It is authorized and regulated as a securities dealer by the Financial Services Authority of Seychelles. == Products and Services ==
    2 KB (255 words) - 22:28, 28 January 2015
  • ...m his previous position as executive vice president for global information services at Nasdaq. He is responsible for managing the trading, clearing and settlem ...ble, Andrei Marcu, Kevin King, Bjorn Sibbern, Jan Ovesen, Eran Fishler|org=Securities Technology Monitor|date=October 25, 2010}}</ref>
    2 KB (317 words) - 13:33, 26 August 2021
  • | products = asset management, securities servicing, Treasury services, wealth management, clearing ...responsible for the development and commercialization of new products and services across the company's businesses.<ref>{{cite web|name=Press Release BNY Mell
    3 KB (504 words) - 21:08, 7 January 2014
  • ...urrency trading platform]], OTC brokerage services, cryptocurrency custody services ...d BC Technology Group. It focuses on [[digital asset]] trading and trading services for institutional and professional traders.<ref>{{cite web|url=https://bc.g
    4 KB (522 words) - 16:07, 17 June 2021
  • ...hares). The firm qualified as an innovative securities provider by [[China Securities Regulatory Commission]] in 2006. ...earnet]]. BOCI has also received regulatory clearance from the [[Financial Services Authority]].
    4 KB (594 words) - 08:58, 28 July 2016
  • ...ring Corporation]] ([[DTCC]]). He also served as COO of DTCC's [[National Securities Clearing Corporation]] (NSCC) and [[Depository Trust Company]] (DTC) subsid ...ad been executive managing director - Operations, Technology and Corporate Services reporting to the CEO of Nomura. He also served as president and chief exec
    3 KB (384 words) - 21:20, 15 May 2019
  • ...Markets, and in Singapore as regional product management head, securities services, Asia.<ref>{{cite web|url=http://www.euroccp.co.uk/Management.php|name=Euro ...m 1977 to 1979, she worked as an account executive for Computer Processing Services Ltd., in Hong Kong.
    3 KB (448 words) - 19:06, 26 July 2018
  • ...uting and tactical order routing engine. In 2002, UNX acquired Embarcadero Securities and launched the Metabook [[Execution Management System]]. In 2009, UNX int ...hs|Goldman Sachs Electronic Trading]], [[Mizuho Securities]], [[Rosenblatt Securities]] and [[UBS|UBS Investment Bank]] into its trading [[connectivity]] network
    4 KB (582 words) - 09:41, 28 July 2016
  • | company_name = TradeLink Securities ...vity in [[OTCCB]], NASDAQ, [[AMEX]] and [[NYSE]] [[securities]]. TradeLink Securities has conducted market making activities in such companies as Baidu Com Inc,
    2 KB (284 words) - 16:25, 29 September 2011
  • ...ns]] acts as an agent and must be registered with the exchange where the [[securities]] are [[trade]]d. ...those who do customer business in the securities industry. However, the [[Securities and Exchange Commission]] better defines and details who is a broker and wh
    7 KB (1,086 words) - 22:35, 8 December 2021
  • Softek was founded in Toronto in 2002 to provide technology services focused on credit, capital and risk management. == Products and Services ==
    2 KB (241 words) - 11:00, 13 June 2017
  • Great Wall is owned by Huatai Securities Co Ltd, (60.00%) and Guangdong Huafu Investment Holdings Co Ltd, (40.00%).< == Products and Services ==
    2 KB (225 words) - 18:39, 8 December 2014
  • ...'s education programs and marketing activities. She also oversees Investor Services and the annual Options Industry Conference. She was promoted to first vice president from vice president of Industry Services on Dec. 16, 2010.<ref>{{cite web|url=http://www.marketwire.com/press-releas
    3 KB (370 words) - 20:58, 10 March 2020
  • ...irm. It provides a range of debt financing, risk management and investment services to major corporations, financial and governmental institutions around the w *[[Financial Asset Securities Corp.]]
    2 KB (256 words) - 20:25, 11 August 2014
  • ...s/19_28/21325-1.html|name=Dan Weingarten, Sean Malloy, Sasha Rozenberg|org=Securities Industry News|date=May 29, 2008}}</ref> ....com/p/articles/mi_m0EIN/is_2007_July_9/ai_n19345690|name=Penson Financial Services Inc. Appoints Two Electronic Trading Vets to Senior Management|org=Penson|d
    2 KB (360 words) - 19:14, 31 August 2015
  • ...ing a [[transparent]] and credible market for investors in Egypt. As the [[securities]] market regulator, the CMA reports to the minister of [[investment]] but i == Products and Services ==
    1 KB (178 words) - 11:25, 6 February 2012
  • |employer = Securities Industry and Financial Markets Association ...web|url=http://www.sifma.org/news/news.aspx?id=7008|name=Press Release|org=Securities Industry and Financial Markets Association|date=April 6, 2009}}</ref> He is
    2 KB (313 words) - 00:59, 7 January 2014
  • ...h-processing]] execution, exchange, [[clearing]], custodial, and valuation services for clients from trade inception to [[settlement]]. == Products and Services ==
    3 KB (343 words) - 17:41, 31 December 2013
  • ...or the Arab capital markets, develop market members and reduce barriers of securities trading across the countries. It aims to harmonize laws and regulations in == Products and Services ==
    3 KB (460 words) - 01:18, 29 March 2022
  • ...ess and anonymous trading of large blocks of NYSE and NASDAQ listed equity securities ...g]] of large [[block]]s of [[NYSE]] and [[NASDAQ]] [[list]]ed [[equity]] [[securities]].<ref> {{cite web|url=http://www.mahogany-partners.com/index.html|name = A
    2 KB (296 words) - 15:06, 22 April 2013
  • | company_name = Nomura Securities ...eek.com/research/stocks/private/snapshot.asp?privcapId=3535279|name=Nomura Securities International, Inc.|org=BusinessWeek|date=September 17, 2008}}</ref> Nomura
    3 KB (458 words) - 08:27, 28 July 2016
  • | products = Securities, futures, options and commodities trade ...group combining [[proprietary trading]], [[asset management]] and software services. It is one of the original [[options]] [[trading]] firms on the [[Chicago B
    3 KB (475 words) - 09:33, 28 July 2016
  • |employer = Penson Financial Services Ltd. Clive Triance was appointed Chief Executive of [[Penson Financial Services Ltd.]] on March 15, 2010.
    2 KB (242 words) - 15:00, 22 April 2013
  • ...s and derivatives components of the [[Athens Exchange]] Group, the Central Securities Depository and the Athens Derivatives Exchange Clearing House. == Products and Services ==
    1 KB (213 words) - 12:40, 6 April 2017
  • ...ices-teams-300334820.html|name=Hanweck Expands Marketing, Sales and Client Services Teams|org=Hanweck Associates|date=October 4, 2016}}</ref> ...=35 under 35, Molly McGregor, Director of Corporate Affairs, International Securities Exchange|org=The Glass Hammer|date=August 18, 2011}}</ref><ref>{{cite web|u
    3 KB (455 words) - 14:45, 23 April 2021
  • ...on Apr. 30, 1975. It operates under the legal framework laid down in the [[Securities and Exchange Act, B.E. 2535 (1992)]]. ...urities, and promoter of financial planning, as well as to provide related services connected to such activities, without distributing any profits to members.
    3 KB (455 words) - 18:37, 15 September 2021
  • |employer = Rosenblatt Securities ...name=Rosenblatt Securities Undertakes Leadership Transition|org=Rosenblatt Securities|date=March 15, 2022}}</ref>
    3 KB (475 words) - 15:05, 15 March 2022
  • ...omotions-198054041.html|name=Price Holdings, Inc., a diversified financial services firm, announces executive management promotions |org=PRNewswire|date=April ...ries 7]] & [[Series 63|63]] securities broker license with [[Uhlmann Price Securities]].
    2 KB (203 words) - 21:09, 12 February 2014
  • There are currently six branches of The Nigerian Stock Exchange, each with its own [[trading floor] ...oss-section the economy, ranging from agriculture through manufacturing to services.<ref>{{cite web|url=http://www.nigerianstockexchange.com/quoted_companies.j
    3 KB (371 words) - 15:37, 5 January 2012
  • ...elopment of the Korean [[futures]] industry by providing a wide variety of services such as system improvement, education and training, research and planning, ...held an annual conference with the [[Korea Finance Association]], [[Korea Securities Association]], [[Korean Financial Management Association]] and Korea Future
    2 KB (257 words) - 17:34, 31 December 2013
  • The back office of any [[bank]], [[brokerage]] or financial services company refers to the sections that administer the company's transactions, Back-office workers in the finance and securities industry generally ensure that their firm's more prosaic tasks like transac
    2 KB (235 words) - 08:15, 27 July 2016
  • | org_name = Federation of European Securities Exchanges ...Federation of European Securities Exchanges|date=December 31, 2007}}</ref> Securities admitted to trading on its markets must comply with stringent initial and o
    5 KB (648 words) - 20:44, 2 July 2020
  • | company_name = Abu Dhabi Securities Exchange (ADX) ...s (UAE) [[exchange]] [[Dubai Financial Market]] (DFM) for Middle-Eastern [[securities]] trading [[volume]]. It has agreed to cooperate on developments with [[NYS
    4 KB (613 words) - 08:21, 6 June 2018
  • | company_name = ICAP Securities and Derivatives Exchange ICAP Securities and Derivatives Exchange is [[ICAP]]'s securities exchange, which it acquired in 2012. It became NEX Exchange in 2017 when IC
    3 KB (512 words) - 13:20, 27 March 2017
  • ...oducts = Multi-asset class, broker-neutral platform, data, and other services ...: trading services, data, exchange services and [[portfolio]] and [[risk]] services. Townsend's business is primarily aimed at the [[institutional]] trading co
    3 KB (422 words) - 09:55, 28 July 2016
  • ...rity responsible for supervising most financial institutions and financial services offered to the public. It is an autonomous public institution financed by c ...d policy-holders and to ensure public confidence in financial products and services and the proper operation of markets in financial instruments. Key responsib
    3 KB (355 words) - 20:49, 2 January 2014
  • |job = Financial Services Executive, Fintech Investor Gael de Boissard is a financial services executive and fintech investor.
    2 KB (265 words) - 18:38, 2 April 2017
  • ...l Industry Regulatory Authority]], or the former [[National Association of Securities Dealers]]. === *Referral of Securities' Clients ===
    3 KB (473 words) - 16:34, 21 December 2011
  • |employer = Citadel Securities ...ceo-peng-zhao-1491518464|name=Peng Zhao replaces Kevin Turner atop Citadel Securities|org=Reuters|date=January 30, 2017}}</ref>
    4 KB (516 words) - 14:47, 30 June 2022
  • |employer = Mizuho Securities USA ...rities USA Inc.]] Before that, she was president, head of exchange member services for [[Intercontinental Exchange]]. There, she was tasked with migrating the
    2 KB (310 words) - 21:13, 5 March 2015
  • ...ures Names Thomas Anderson Senior Vice President, PTG Services|org=Wedbush Securities|date=November 18, 2015}}</ref> ...rs as head of North American sales at ABN AMRO, and sales manager at Daiwa Securities America.
    3 KB (378 words) - 16:23, 18 March 2021
  • ...pitol Ag (FCA) is a trade name used by Wedbush Futures division of Wedbush Securities. == Products and Services ==
    2 KB (214 words) - 16:32, 7 September 2018
  • ...ors in Europe, the Middle East and Asia (EMEA), and also has experience in securities, derivatives and commodities.<ref>{{cite web|url=http://www.deweyleboeuf.co Finney formerly represented exchanges and other securities-related organizations. He is licensed to practice law as a solicitor in Eng
    3 KB (423 words) - 01:39, 16 September 2011
  • | company_name = Asia Securities Industry and Financial Markets Association The Asia Securities Industry and Financial Markets Association (ASIFMA) is a broadly based prof
    2 KB (258 words) - 19:10, 30 December 2013
  • | company_name = Jasdaq Securities Exchange ..., 2008}}</ref>The exchange had been expected to [[merge]] with the [[Osaka Securities Exchange]]'s Hercules market, but the Jasdaq board of directors voted down
    3 KB (486 words) - 08:15, 27 July 2016
  • | company_name = National Securities Clearing Corp. ...the U.S.<ref>{{cite web|url=http://www.nscc.com/|name=Welcome to National Securities Clearing Corporation|org=NSCC|date=April 30, 2008}}</ref>
    3 KB (389 words) - 15:26, 7 January 2019
  • ...sly, she was a senior marketing and events manager for the [[International Securities Exchange]].<ref>{{cite web|url=http://newsle.com/person/laurenlatuso/437019 ...unications and event strategy related to new and existing ISE products and services, and the ISE brand.
    2 KB (275 words) - 21:16, 15 May 2019
  • ...ionals with expertise in growth equities, value equities, [[fixed income]] securities, blend strategies and [[alternative investments]]. Through its subsidiaries ...ers independent research, [[portfolio]] strategy and [[brokerage]]-related services to institutional investors.
    3 KB (411 words) - 19:00, 12 November 2018
  • ...l Securities Exchange]] offers options on the cash-settled ISE Oil and Gas Services Index (OOG). This ISE proprietary index includes oil and gas drilling contr ...he Index attempts to capture at least two-thirds of the entire oil and gas services market capitalization. A number of names are highly recognizable, among th
    2 KB (325 words) - 19:41, 15 May 2019
  • ...vices, Fidelity Family Office Services, Fidelity Investments Institutional Services, all brokerage operations and the risk and brokerage technology functions. ...s Department. From 1987 to 1993, Mr. McGraw was a senior vice president of Securities Operations at [[Shearson Lehman Brothers, Inc]]. Previously, Mr. McGraw ser
    2 KB (307 words) - 19:41, 8 January 2014
  • ...e, investment banking, trading, investment advisory, and related financial services through its wholly owned subsidiaries. == Products and Services ==
    2 KB (279 words) - 12:47, 25 February 2013
  • ...s]], Prada serves as the AMF representative to the [[Committee of European Securities Regulators]]. ...he served in several distinquished capacities within the french financial services community. Prada has been awarded the titles of Commander of the "Legion d'
    1 KB (200 words) - 19:58, 12 February 2014
  • ...lacement, to the [[secondary market]]s in [[securities]] and to investment services companies. The CNMV The CNMV is a member of the [[Committee of European Securities Regulators]]. [[Carlos Arenillas]], vice chairman of CNMV, represents the o
    2 KB (349 words) - 08:17, 27 July 2016
  • ...ed private equity investment by financial institutions in the unregistered securities of either privately or publicly held companies. Both investment banks and c ...loans for companies and underwriting. They do not provide regular banking services to the general public.<ref>{{cite web|url=http://www.investopedia.com/terms
    2 KB (232 words) - 15:37, 21 December 2011
  • ...ing the Government Securities Clearing Corporation and the Mortgage-Backed Securities Clearing Corporation. The Government Securities Division (GSD) of FICC provides real-time trade matching, clearing, risk ma
    3 KB (471 words) - 21:19, 1 April 2019
  • | company_name = Swiss Financial Market Services | products = Securities trading, clearing, settlement and custody; financial information and paymen
    2 KB (232 words) - 15:42, 22 February 2017
  • | products = Securities Exchange The exchange stopped trade on Dec. 17, 2008 after the country’s Securities Commission on Nov. 20, 2008 ordered [[stockbroker]]s to submit audited [[fi
    3 KB (361 words) - 22:35, 6 January 2014
  • ...8&header5=true&menu0=true&link0=true|name=Marty Averbuch|org=International Securities Exchange|date=July 13, 2009}}</ref> He currently serves as president and ch ...)+Forms+Board+of+Advisors,+Names+Marty...-a0137459733|name=Order Execution Services Forms Board of Advisors|org=The Free Library|date=July 16, 2009}}</ref> He
    2 KB (357 words) - 15:56, 12 February 2015
  • ...ng self-regulatory organizations ([[SROs]]), allowing them to buy and sell securities. ...ies 7)|org=FINRA|date=September 7, 2008}}</ref> The actual exam lasts for six hours and contains 260 multiple-choice questions, of which 250 are scored.
    2 KB (282 words) - 20:32, 29 July 2011
  • ...les at [[Merrill Lynch]], [[BNP Paribas]] Securities and [[Credit Suisse]] Securities, LLC.
    2 KB (306 words) - 19:11, 6 August 2014
  • ...Stock Exchange]] in late 2000 to create a new stock exchange, Archipelago Securities Exchange, that would compete with Nasdaq and the New York Stock Exchange (N == Products and Services ==
    2 KB (250 words) - 20:38, 7 January 2014
  • IM Trust was founded in 1985 and provides asset management and securities services to clients that include corporations, institutional investors, governments, == Products and Services ==
    2 KB (296 words) - 13:24, 18 January 2012
  • | company_name = Castor Pollux Securities ...s "he who excels." Castor Pollux was founded in 2003 to provide placement services to [[hedge fund]] managers. <ref>{{cite web|url=http://castorpollux.com/fir
    3 KB (401 words) - 15:00, 22 April 2013
  • | company_name = JSE Securities Exchange South Africa ...from a traditional floor-based [[equities]] trading [[market]] to a modern securities exchange providing fully electronic trading, [[clearing]] and settlement in
    4 KB (464 words) - 20:53, 16 April 2019
  • ...brokerage executive who is a co-founder and chairman of TJM Institutional Services, LLC.<ref>{{cite web|url=http://www.tjmbrokerage.com/about/team/thomas-j-mu Murphy's career in financial services began in 1978 when he joined Blythe, Eastman, and Dillon working in institu
    2 KB (267 words) - 19:45, 28 August 2019
  • ...chairman. Lowrey was previously managing director of Tokyo-based financial services giant [[Nomura]] International, which owns Chi-X Global's majority holder [ ...now-defunct [[Lehman Brothers]] and as head of European sales at [[Knight Securities]]. He also co-founded global [[hedge fund]] [[Weiss International Managemen
    1 KB (174 words) - 22:36, 6 January 2014
  • ..._reports/components/components.xls|name=Index components|org=International Securities Exchange|date=November 15, 2007}}</ref> it is a "modified capitalization we ...s one of eight [[ISE]] industry indexes that also include: [[ISE Oil & Gas Services]]; [[ISE Integrated Oil]]; [[ISE Gold]]; [[ISE U.S. Regional Banks]]; [[ISE
    2 KB (267 words) - 19:39, 15 May 2019
  • ...technology providers active in [[futures]], [[options]], [[forex]], and [[securities]].<ref>{{cite web|url=http://www.builtinchicago.org/company/3points-communi ...into the general Chicago technology industry, offering a full suite of PR services.
    3 KB (397 words) - 13:46, 15 April 2022
  • ...with the intention of eliminating counter-party risk by holding documents, securities or other pertinent items until contractual conditions are met by all partie ...fected electronically, facilitating electronic trades. Electronic clearing services are offered by clearing houses such as [[The Clearing Corporation]], [[Opti
    3 KB (383 words) - 17:08, 7 June 2010
  • ...ava Stock Exchange (BSSE) is the sole organizer of a regulated market of [[securities]] in the Slovak Republic. It was founded in 1991 in compliance with a decre == Products and Services ==
    2 KB (260 words) - 17:22, 11 April 2019
  • |job = Chief Operating Officer for Prime, Futures and Securities Services Rachelle Keller is the COO for prime, futures and securities services at Citi.
    2 KB (371 words) - 14:00, 4 October 2017
  • ...r_bios.aspx|name=Global Exchange CEO & Investor Conference |org=Rosenblatt Securities|date=October 7, 2009}}</ref> ...assuming responsibility for consumer banking, in addition to global issuer services and was also named a member of the Bank’s senior policy committee.
    3 KB (435 words) - 22:43, 29 January 2014
  • | products = Derivatives & securities markets; Proprietary trading Nico Holdings LLC is the parent company of [[derivatives]] and [[securities]] trading firm [[Nico Trading]].
    3 KB (345 words) - 16:57, 15 February 2013
  • ...research in matters of public education interest involving investments and securities.<ref>{{cite web|url=http://www.marketwire.com/press-release/oic-and-cisi-co ...United States market with the offering of OIC resources such as "investor services live help" and "www.OptionsEducation.org". <ref>{{cite web|url=http://tradi
    3 KB (414 words) - 13:41, 28 June 2012
  • ...ts' Societies]] (EFFAS) responsible for matters relating to [[fixed income securities]]. EFFAS was established in 1962 and is a pan-European representative group == Products and Services ==
    879 bytes (111 words) - 15:02, 22 April 2013
  • Bertrand has been involved in management positions in the securities industry for more than 25 years. ...Financial Centre of Montreal]], Market Regulation Services Inc. and the [[Securities Industry Advisory Council]].
    2 KB (257 words) - 09:41, 26 October 2016
  • United States Commodity Funds LLC is a manager of exchange traded securities that are designed to track the movements in the prices of different commodi == Products and Services ==
    3 KB (440 words) - 21:56, 10 May 2019
  • ...ange approved by the Securities and Exchange Commission for the trading of securities options may become a Participant Exchange. ...s information processor for market information generated by [[trading]] of securities options in the United States. Last sale reports and quotations are the core
    6 KB (839 words) - 21:01, 15 May 2019
  • ...York, cleared privately negotiated transactions, and an array of clearing services offered through [[CME ClearPort]]. ...arPort) is a set of clearing services open to OTC market participants. The services are designed to help customers mitigate [[counterparty]] credit risk.
    6 KB (815 words) - 22:57, 4 January 2021
  • ...paign=STM_BNA_08302010_010611|name=Top CIO Named COO of Morgan Stanley|org=Securities Technology Monitor|date=January 6, 2011}}</ref> ...rces, corporate communications, marketing, community affairs and corporate services.
    2 KB (230 words) - 16:51, 7 January 2014
  • ..., CEO; [[Michael Pettrick]]/[[Jerker Johansson]], co-heads, Institutional Securities Sales and Trading; [[Neal Shear]], chrmn, Commodities | products = Financial services
    6 KB (779 words) - 20:00, 15 February 2022
  • ...ezicht Effectenverkeer), which supervised all of the participants in the [[securities]] trade.<ref>{{cite web|url=http://www.afm.nl/marktpartijen/default.ashx?Fo == Products and Services ==
    3 KB (410 words) - 21:21, 2 September 2020
  • ...rotection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy]</div> ...of securities positions, and the providing of recordkeeping and reporting services.<ref>{{cite web|url=http://www.helpwithmybank.gov/get-answers/asset-managem
    3 KB (463 words) - 20:46, 10 January 2022
  • As of late 2009, [[China Foreign Exchange Trade System]], [[China Government Securities Depository Trust & Clearing Co.]], [[China Banknote Printing and Minting Co == Products and Services ==
    2 KB (257 words) - 08:20, 28 July 2016
  • ...technology services firm that specializes in the financial services and [[securities]] industry. Jordan & Jordan has offices in New York, Chicago and London. == Products and Services ==
    3 KB (344 words) - 09:06, 28 July 2016
  • ...m [[Wedbush Futures]]. He also serves on the board of directors of Wedbush Securities. Before that, Signorelli spent six years at the QuantStat trading group at TD Securities, where he served as managing director. Prior to TD, Signorelli served as a
    3 KB (367 words) - 22:16, 5 July 2018
  • | company_name = J.P. Morgan Securities Inc. ...which offers mostly corporate finance, investment and trading products and services for larger customers, withstood several well-publicized market scandals ear
    3 KB (476 words) - 18:01, 2 August 2019
  • JLP creates custom video for businesses in financial services and beyond.<ref>{{cite web|url=http://www.johnlothian.com/|name=JohnLothian ...hange]] and numerous video production projects, primarily in the financial services space.
    2 KB (210 words) - 15:14, 21 April 2018
  • |employer = Penson Financial Services Canada Inc. Raymond Desormeaux is chairman and founder of [[Penson Financial Services Canada Inc.]]<ref>{{cite web|url=http://seekingalpha.com/article/119084-pen
    1 KB (193 words) - 08:21, 28 July 2016
  • |employer = Penson Financial Services Canada Inc. ...senior vice president and chief compliance officer for [[Penson Financial Services Canada Inc.]] Rafael joined Penson in 2004.<ref>{{cite web|url=http://www.p
    1 KB (212 words) - 00:51, 8 November 2011
  • | company_name = Securities Investor Protection Corporation (SIPC) The Securities Investor Protection Corporation (SIPC) is a [[nonprofit]], membership corpo
    6 KB (898 words) - 03:22, 11 January 2022
  • | company_name = Lightspeed Financial Services Group LLC ...Brokerage LLC) is a New York-based broker-dealer that provides low-latency securities trading technology and risk management for systematic traders and instituti
    6 KB (734 words) - 17:43, 6 August 2021
  • ...around, valuation and financial opinions and dispute advisory and forensic services. Based in Chicago, the firm also has offices in Detroit, Cleveland, Dallas, == Products and Services ==
    2 KB (353 words) - 22:04, 6 January 2014
  • | products = Alternative trading system for Canadian listed securities ...an [[alternative trading system]] (ATS) for the trading of Canadian listed securities from 8:30 am to 5:00 pm ET.<ref>{{cite web|url=http://ca.chi-x.com/Portals/
    4 KB (637 words) - 20:28, 8 December 2015
  • | products = Legal Services <!-- Quick list of types of things company does or produces --> ...sists in financial institutions M&A, compliance and regulatory matters and securities transactions.
    2 KB (350 words) - 20:45, 20 February 2019
  • | company_name = Securities and Futures Commission ....sfc.hk/sfc/html/EN/aboutsfc/intro/intro.html|name=Introducing the SFC|org=Securities and Futures Commission|date=April 4, 2008}}</ref>
    8 KB (1,243 words) - 16:42, 22 November 2021
  • ...ounded in 1996 as a system integration company servicing Chinese financial services institutions. In 2001, the company moved into the software and solutions se In May 2011, the [[U.S. Securities and Exchange Commission]] (SEC) began examining Longtop's historical financ
    2 KB (325 words) - 21:51, 15 November 2011
  • ...company that provides software and services focused on the distribution of securities market intelligence to financial professionals. The company says its system ...nnouncing the acquisition, Cboe said it planned to integrate Trade Alert's services with Cboe Information Solutions’ comprehensive suite of data solutions, a
    3 KB (447 words) - 16:14, 25 December 2020
  • ...Latin American Business Development, SVP Director of New Sales Enterprise Services ...business development and the senior vice president of new sales enterprise services for [[Fidessa]] with responsibility for expanding the company's presence ac
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  • ...ng, mortgages and banking services for consumers and businesses, corporate services ...king]] services for consumers and businesses, in addition to [[corporate]] services including employee stock plan administration.
    5 KB (703 words) - 20:38, 15 May 2019
  • ..., 2019}}</ref> He had previously been president, global trading and market services. ...on acquisition of Chi-X Canada and the $1.1 billion deal for International Securities Exchange in 2016. He also launched Nasdaq’s energy futures market.<ref>{{
    6 KB (803 words) - 03:01, 11 January 2022
  • == Products and Services == The [[US Treasury]] in 1999 selected the Dallas Fed to provide three new services:
    2 KB (340 words) - 20:58, 2 January 2014
  • .../14/p0005.htm|name=Casablanca Stock Exchange (XCAS)|org=MBendi Information Services|date=April 24, 2013}}</ref><ref>{{cite web|url=http://www.casablanca-bourse ...Compensation des Valeurs Mobilières” (Office for Clearing of Transferable Securities). The exchange underwent major reforms in 1993 and launched electronic-base
    3 KB (368 words) - 21:45, 18 June 2014
  • ...advisor at [[Apex Clearing]]. Brenner has spent more than 30 years in the securities industry. ...resident of U.S. Operations of Belzberg’s Electronic Brokerage Systems|org=Securities Industry News|date=January 8, 2010}}</ref> He was previously the managing d
    2 KB (332 words) - 21:40, 27 February 2015
  • ...Standard Chartered Bank]], where he was responsible for custody/securities services covering 27 countries across Africa, Asia and the Middle East. <ref>{{cite
    3 KB (352 words) - 13:18, 14 March 2022
  • |employer = ADM Investor Services ...//www.admis.com/team/greg-hostetler/|name=Management Team|org=ADM Investor Services, Inc.|date=June 21, 2022}}</ref>
    3 KB (360 words) - 14:35, 23 June 2022
  • | company_name = Jaypee Capital Services | products = Brokerage services
    4 KB (498 words) - 09:43, 28 July 2016
  • ...ining Gemini, she served as chief operating officer at the [[International Securities Exchange]] and oversaw the entire ISE business during the migration to Nasd ...nager for Perfect Information, Ltd. and a financial analyst for [[Wachovia Securities]].
    3 KB (337 words) - 18:31, 25 September 2020
  • ...er-owned cooperative through which over 8,300 [[bank]]ing organizations, [[securities]] [[institution]]s and [[corporate]] customers in more than 208 countries e ...ear That Would Allow Swift to Provide U.S.Treasury With Sensitive Data|org=Securities Industry|date=August 6, 2009}}</ref>
    3 KB (449 words) - 12:11, 3 June 2016
  • | products = Clearing, execution and settlement of securities trades to firms and advisors. ...about 5 million active investors. Pershing is a member of every major U.S. securities exchange and its international affiliates are members of the [[Deutsche Boe
    4 KB (578 words) - 07:56, 29 August 2017
  • ...sions include: Global Capital Markets, Global Research, Global Transaction Services and Wholesale Credit.<ref>{{cite web|url=https://www.bofaml.com/en-us/conte ...ing to BofA. Merrill had taken huge [[write-downs]] from [[mortgage-backed securities]] and other risky investments in the year before it was acquired.
    4 KB (590 words) - 18:21, 17 October 2019
  • |employer = World Gold Trust Services <!-- Where the person works, or leave blank --> ...rust-services-appoints-william-rhind-chief-executive|name=World Gold Trust Services Appoints William Rhind Chief Executive|org=World Gold Council|date=Septembe
    2 KB (293 words) - 21:28, 16 September 2014
  • ...ational Property Securities Exchange (IPSX) is the world’s first regulated securities exchange dedicated to trading companies owning single commercial real estat == Products and Services ==
    3 KB (498 words) - 22:37, 9 January 2019
  • | products = Offers central counterparty clearing house services ...f the middle of 2009, EMCF offered central counterparty [[clearing]] house services for the main [[equity indices]] of 12 countries.<ref> {{cite web|url =http:
    4 KB (609 words) - 11:25, 6 March 2017
  • | company_name = Wedbush Securities | products = Securities clearing and execution; wealth management; investment banking
    8 KB (1,132 words) - 17:08, 6 August 2021
  • ...buy side operations professionals to pursue development of industry-wide [[securities]] processing and operations projects and enhancements The Asset Managers Forum (AMF) was formed in 1997 by [[securities]] processing professionals at major [[asset management]] firms. The forum w
    2 KB (219 words) - 21:14, 7 January 2014
  • | products = Polymath Securities Token Platform, POLY token ...ANGE COMMISSION Washington, D.C. 20549 FORM D Notice of Exempt Offering of Securities|org=SEC|date=June 1, 2018}}</ref><ref>{{cite web|url=http://www.businessins
    6 KB (779 words) - 21:55, 1 June 2021
  • | products = Financial services <!-- Quick list of types of things company does or produces --> ...ties brokerage, banking, asset management, custody, and financial advisory services.
    5 KB (736 words) - 19:29, 2 October 2019
  • IPMA [[merg]]ed with the [[International Securities Market Association]] (ISMA – the successor to the [[AIBD]]) in July 2005. == Products and Services ==
    959 bytes (120 words) - 16:18, 29 September 2011
  • |job = Head of Advisor Services ...[[tradeMONSTER]]. In that capacity, he is the point of contact and client services for Registered Investment Advisors. Norwood works closely with independent
    2 KB (290 words) - 22:14, 17 January 2014
  • ...ry minimum qualification for obtaining access to off-exchange products and services.
    951 bytes (143 words) - 23:58, 19 August 2021
  • ...ry minimum qualification for obtaining access to off-exchange products and services.
    952 bytes (142 words) - 18:57, 14 June 2021
  • ...rporation. Charles Schwab Bank is a licensed [[mortgage]] broker and not a securities broker-dealer or investment advisor. Charles Schwab & Co., Inc. is not a mo ...e numbers used to calculate the benchmark, throwing off interest rates for securities based on the Libor and depriving investors of returns they should have earn
    5 KB (684 words) - 20:19, 19 March 2021
  • | products = Trading platform for U.S. Treasury securities GovEx is an exchange-style trading platform for [[U.S. Treasury]] securities. It provides anonymity, diverse [[liquidity]] and high-speed technology, an
    2 KB (259 words) - 11:06, 14 March 2013
  • |job = Vice President, Head of Planning & Product Services ...ategic business plan that includes membership, education and STA affiliate services.<ref>{{cite web|url=http://campaign.r20.constantcontact.com/render?m=110292
    3 KB (372 words) - 17:04, 8 October 2020
  • ...gue's specialties include providing audit and consulting services to the [[securities]], commodities and alternative investment industry, including [[broker-deal
    2 KB (305 words) - 19:57, 28 August 2018
  • ...url=http://www.sec.gov/news/press/2009/2009-126.htm|name=Press Release|org=Securities and Exchange Commission|date=June 8, 2009}}</ref> SEC Commissioner [[Luis A *Advising the Commission on matters of concern to investors in the securities markets
    3 KB (398 words) - 17:29, 6 February 2012
  • ...nance. It is owned by its members, who are brokers. It is regulated by the Securities Commission of Iraq.<ref>{{cite web|url=http://www.isx-iq.net/isxportal/port == Products and Services ==
    2 KB (354 words) - 14:02, 13 April 2017
  • ...quisition Corporations (G-Corps™), and Closed-End Funds (CEFs). NEO-listed securities market data is available to investors in real-time, at no cost.<ref>{{cite == Products and Services ==
    3 KB (441 words) - 22:45, 16 November 2021
  • ...tory Trust Company]], [[Fixed Income Clearing Corporation]] and [[National Securities Clearing Corporation]]. He announced his retirement in April 2012, and on J ...itory Trust & Clearing Corporation]] and its core subsidiaries, [[National Securities Clearing Corporation]] (NSCC), [[The Depository Trust Company]] (DTC) and t
    4 KB (481 words) - 10:34, 8 April 2016
  • == Products and Services == ...avid Kotz]], Managing Director; Former [[Inspector General]] of the [[U.S. Securities and Exchange Commission]]<ref>{{cite web|url=http://www.reuters.com/article
    2 KB (264 words) - 08:10, 28 July 2016
  • ...nal brand, marketing and communication activities for Transaction Advisory Services. He was previously corporate communications associate at the [[International Securities Exchange]] in New York.<ref>{{cite web|url=http://www.ise.com/press-room/pr
    2 KB (291 words) - 21:09, 15 May 2019
  • ...rved as chairman and chief executive officer of First Financial Government Securities, a [[broker-dealer]] and [[introducing broker]] specializing in credit risk From 1971 to 1983, he was executive vice president of ContiCommodity Services (referred to as "Conti"), a major international futures brokerage and clear
    2 KB (237 words) - 00:59, 7 January 2014
  • In the U.S. financial services industry, an MOU negotiated between an [[institution]] and its regulator or ...market users and enhance resources to educate individuals on the specific services of each exchange. Non-exchange MOUs have been agreed upon for the sharing o
    7 KB (1,022 words) - 14:55, 5 January 2012
  • |employer = European Securities and Markets Authority ...=rbssFinancialServicesAndRealEstateNews|name=Ross named director of new EU securities watchdog|org=Reuters|date=March 24, 2011}}</ref>
    4 KB (513 words) - 22:02, 17 December 2021
  • ...ile Exchange]] and a registered Principal with the National Association of Securities Dealers.
    2 KB (233 words) - 12:46, 5 June 2017
  • ...is the independent public authority responsible for regulating the Italian securities market. *Regulating the provision of investment services by intermediaries, the disclosure obligations of companies listed on regula
    3 KB (426 words) - 20:47, 29 July 2011
  • Operations that involve offering financial services require a permit granted by the SFSA. The Authority issues regulations and The organization is a member of the [[Committee of European Securities Regulators]]. The director general serves as Finansinspektionen's represent
    3 KB (379 words) - 20:15, 13 March 2019
  • ...n]]s, including [[broker-dealer]]s, with access to [[trade]] [[execution]] services and [[exchange]]s, subject to [[FINRA]] approval.<ref>{{cite web|url=http:/ ...com/business/la-fi-madoff12-2008dec12,0,6766153.story|name=Bernard Madoff, securities firm founder, charged with fraud|org=Los Angeles Times|date=December 12, 20
    3 KB (395 words) - 00:52, 8 November 2011
  • ...ustralian Financial Markets Association made a request to the [[Australian Securities and Investment Commission]] for discussions on the issue of rules governing == Products and Services ==
    1 KB (147 words) - 14:57, 24 January 2013
  • ...ational operations, corporate actions, membership services, and collateral services areas. He also oversees management of the business operations and controls ...inois State University and completed the Securities Industry Association's Securities Industry Institute at the Wharton School of the University of Pennsylvania.
    2 KB (350 words) - 11:19, 26 September 2017
  • ...e replaced [[Chow Chung Kong]], who stepped down after the maximum allowed six years in the role.<ref>{{cite web|url=https://www.reuters.com/article/hkex- Cha was previously chairman of Hong Kong’s Financial Services Development Council (FSDC), a government advisory body.
    3 KB (455 words) - 16:36, 17 June 2020
  • | products = Audit, Tax, Accounting and Consulting Services ...g and consulting services to the [[managed futures]], [[hedge fund]] and [[securities]] industry. <ref>{{Cite web|url=http://www.arthurbellcpas.com/profile/histo
    3 KB (354 words) - 09:59, 28 July 2016
  • ...ejustesalaire.com/entreprises/VERMEG-SERVICES.php|name=Presentation VERMEG SERVICES|org=http://www.lejustesalaire.com|date=February 26, 2018}}</ref> == Products and Services ==
    5 KB (644 words) - 20:28, 26 February 2018
  • | products = Legal Services <!-- Quick list of types of things company does or produces --> The firm's financial services practice group has extensive involvement in [[securities]], [[derivatives]], [[commodities]], and [[forex]] matters. Its corporate
    2 KB (325 words) - 12:38, 2 May 2013
  • ...der4=true&menu0=true&link1=true|name=Board of Directors |org=International Securities Exchange|date=July 14, 2009}}</ref> [[Category:International Securities Exchange]]
    3 KB (376 words) - 07:56, 29 August 2017

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