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  • ...ue annually by providing wholesale transaction, investment and information services around the globe. ...he word, and Worldwide Securities Services, a leading global custodian and securities processors.
    1 KB (154 words) - 19:10, 16 March 2015
  • | company_name = BNP Paribas Securities Services BNP Paribas Securities Services is a provider of securities services and investment operations solutions to issuers, financial institutions and
    1 KB (204 words) - 17:27, 24 October 2011

Page text matches

  • | company_name = Wells Fargo Securities | company_logo = [[Image:Wells Fargo Securities.png|200px]]
    2 KB (240 words) - 17:20, 6 January 2016
  • | org_name = Finnish Association of Securities Dealers The Finnish Association of Securities Dealers, FASD, is the co-operation and
    1 KB (144 words) - 14:56, 24 January 2013
  • | company_name = China Securities Depository and Clearing Corporation ...jing, the SD&C also has two branches in Shanghai and Shenzhen. The [[China Securities Regulatory Commission]] is the competent authority of the SD&C.
    2 KB (291 words) - 17:11, 25 October 2011
  • ...such as [[Goldman Sachs]] and [[Morgan Stanley]], provide prime brokerage services.
    451 bytes (58 words) - 18:00, 2 August 2019
  • | company_name = BNP Paribas Securities Services BNP Paribas Securities Services is a provider of securities services and investment operations solutions to issuers, financial institutions and
    1 KB (204 words) - 17:27, 24 October 2011
  • | company_name = JPMorgan First Capital Securities Co | products = Securities Venture
    2 KB (270 words) - 09:48, 15 February 2013
  • ...ue annually by providing wholesale transaction, investment and information services around the globe. ...he word, and Worldwide Securities Services, a leading global custodian and securities processors.
    1 KB (154 words) - 19:10, 16 March 2015
  • | company_name = Icap Securities USA ...nd [[spread]]s.<ref>{{cite web|url=http://www.lme.co.uk/6788.asp|name=ICAP Securities Ltd.|org=ICAP|date=October 27, 2009}}</ref>
    2 KB (269 words) - 08:28, 28 July 2016
  • | company_name = Mizuho Securities USA, Inc. Mizuho Securities USA Inc. is the U.S. broker-dealer subsidiary of Mizuho Securities Co., Ltd.
    2 KB (254 words) - 20:09, 3 September 2019
  • | company_name = Penson Financial Services Limited ....pensonuk.com/|name=Penson Financial Services Limited|org=Penson Financial Services Limited|date=January 13, 2009}}</ref>
    2 KB (240 words) - 16:36, 16 August 2011
  • | company_name = Malaysian Securities Commission ...nctions, the SC is obliged to encourage and promote the development of the securities and futures markets in Malaysia. It is responsible for protecting the inter
    2 KB (236 words) - 14:24, 9 July 2013
  • | org_name = The Swedish Securities Dealers Association ...et]]s integrity and efficiency as well as high confidence in the Swedish [[securities]] markets.
    2 KB (220 words) - 08:30, 28 July 2016
  • | company_name = The Securities Commission of the Bahamas ...url=http://www.scb.gov.bs/pdf/report2002web.pdf|name=Annual Report|org=The Securities Commission of the Bahamas|date=March 28, 2008}} </ref> is the agency respon
    2 KB (218 words) - 15:34, 21 December 2011
  • |employer = International Securities Exchange ...consulting services in business development and strategy to the financial services industry.
    1 KB (176 words) - 19:43, 15 May 2019
  • | company_name = E*TRADE Securities LLC E*TRADE Securities LLC is a registered [[broker-dealer]] providing brokerage services and security-underwriting. <ref>{{cite web|url=http://www.sec.gov/divisions
    2 KB (218 words) - 08:14, 27 July 2016
  • | products = Operator of [[Australian Securities Exchange]] ASX Ltd. runs Australia's largest [[stock exchange]], the [[Australian Securities Exchange]].
    2 KB (218 words) - 08:12, 28 July 2016
  • | org_name = Securities and Exchange Commission Historical Society ...urities and Exchange Commission Historical Society is independent of the [[Securities and Exchange Commission]]. It does not get government funding. <ref> {{ci
    900 bytes (112 words) - 11:55, 6 February 2012
  • | org_name = National Securities Depository Limited The National Securities Depository Limited (NSDL) was first and largest depository in India. It was
    1 KB (155 words) - 09:43, 28 July 2016
  • | company_name = TD Securities | company_logo = [[Image:TD Securities Logo.gif]]
    2 KB (289 words) - 08:21, 28 July 2016
  • | company_name = Dubai Financial Services Authority | company_logo = [[Image:Dubai Financial Services Authority Logo.jpg{{!}}125px]]
    2 KB (249 words) - 08:01, 29 October 2012
  • | 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
  • | 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
  • | 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 = 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
  • | org_name = Securities Industry Institute | products = Leadership/management program for securities professionals
    2 KB (230 words) - 15:12, 27 January 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
  • |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
  • ...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
  • |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
  • ...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
  • ...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) - 21:20, 14 June 2019
  • | 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
  • ...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
  • |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
  • 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
  • |employer = Citadel Securities ...ceo-peng-zhao-1491518464|name=Peng Zhao replaces Kevin Turner atop Citadel Securities|org=Reuters|date=January 30, 2017}}</ref>
    3 KB (400 words) - 11:33, 30 April 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
  • |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
  • ...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
  • ...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
  • 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
  • ...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
  • ...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
  • 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
  • | 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
  • |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
    3 KB (367 words) - 21:56, 10 January 2022
  • ...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
  • |employer = ADM Investor Services Greg Hostetler is chief compliance officer at [[ADM Investor Services]], a Chicago-based [[futures commission merchant]]. He joined the firm in J
    2 KB (350 words) - 22:41, 18 October 2019
  • == 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
  • | 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
  • ...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
  • | 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
  • |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
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  • | 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
  • |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
  • 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
  • ...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
  • |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
  • | 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
  • ...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
  • | products = Proprietary trading operations, brokerage services .../dealer with proprietary trading operations in markets such as; [[equity]] securities, [[government bonds]], [[corporate bonds]] and related derivatives on globa
    3 KB (469 words) - 19:11, 23 March 2020
  • ...eader4=true&menu0=true&link1=tru|name=Board of Directors|org=International Securities Exchange|date=July 8, 2009}}</ref> ...so worked at AT&T Universal Card, First Data Corp and Citicorp Credit Card Services.
    2 KB (261 words) - 15:09, 22 August 2011
  • |employer = Wells Fargo Securities ...of enterprise counterparty risk and FCM risk management for [[Wells Fargo Securities]].
    2 KB (233 words) - 18:02, 10 June 2019
  • | products = securities ...ring listings on securities, as well as settlement and market surveillance services. <ref>{{cite web|url=http://www.dsebd.org/ilf.php|name=About Us|org=Dhaka S
    4 KB (631 words) - 13:32, 7 September 2017
  • | products = Listed securities <!-- Quick list of types of things company does or produces --> == Products and Services ==
    2 KB (307 words) - 19:58, 13 January 2015
  • | products = financial services ...via would acquire [[A.G. Edwards]], which will be combined with [[Wachovia Securities, LLC]] to create a [[retail]] [[brokerage]] firm with $1.1 trillion in clie
    5 KB (735 words) - 16:37, 6 January 2016
  • ...f [[J.P. Morgan Chase & Co.]]'s $9 billion [[Treasury]] and [[securities]] services business.<ref>{{cite web|url=|name=|org=|date=}}</ref>
    936 bytes (125 words) - 13:56, 7 April 2017
  • ...k Exchange]] in 2009. The license became available in June 2012 when the [[Securities & Exchange Commission]] (SEC) gave approval to the [[BOX Options Exchange]] == Products and Services ==
    3 KB (472 words) - 13:51, 2 July 2012
  • ...[digital asset]] management firm based in Jersey City, NJ, USA. The firm's services are for accredited investors (as defined by the [[SEC]]).<ref>{{cite web|ur ==Products and Services==
    3 KB (454 words) - 20:11, 17 June 2021
  • ...ed a range of [[securities]]-processing technology, and other products and services to the financial industry. Penson Asia Limited was shut down as a result of
    1 KB (146 words) - 17:50, 2 April 2017
  • ...erbach Grayson]], a brokerage firm specializing in providing international securities research, execution, and settlement ...OKA&bvm=bv.53899372,d.aWc&cad=rja|name=Biography of David Grayson|org=U.S. Securities Exchange Commission|date=October 10, 2013}}</ref>
    2 KB (311 words) - 12:43, 9 April 2017
  • ...electronic trading platform that was formerly majority owned by [[Citadel Securities]]. It is operated under the regulatory structure of the [[Berlin Stock Exch ...iduct-partners-with-citadel-securities|name=Equiduct partners with Citadel Securities|org=Automated Trading|date=October 7, 2009}}</ref> As a result, the Berlin
    5 KB (650 words) - 16:02, 18 March 2015
  • |employer = Wells Fargo Securities |job = Director, Prime Services
    4 KB (577 words) - 23:09, 25 January 2016
  • *[[American Financial Services Association]] Education Foundation *[[Securities Industry and Financial Markets Association]]
    3 KB (382 words) - 23:56, 6 January 2014
  • | products = [[Blockchain]] technology, digital securities trading ...sco, CA. Its platform is designed to [[tokenize]] assets, creating digital securities that represent those assets, in order to increase the ease by which those a
    7 KB (898 words) - 13:48, 10 May 2021
  • ...nions of those responsible for providing [[central counterparty clearing]] services.<ref>{{cite web|url=http://www.eachorg.eu/each/|name=The European Associati == Products and Services ==
    2 KB (314 words) - 08:12, 28 July 2016
  • Sheehan started his career in the [[securities]] industry as a registered representative in 1973. ...okerage Systems]] was formed in order to add [[clearing]] to the execution services of [[RC Sheehan]]. The firms were [[merge]]d in 2001.<ref>{{cite web|url=ht
    2 KB (231 words) - 08:24, 28 July 2016
  • |employer = All Clean Services Mark Connelly is senior vice president, operations at All Clean Services, responsible for the Midwest region. He joined the company in March of 2018
    3 KB (387 words) - 16:12, 20 March 2018
  • [[International Securities Exchange]] offers options on the cash-settled '''ISE Integrated Oil and Gas ...d Gas Index is starkly different in composition than its [[ISE Oil and Gas Services Index]], which includes oil and gas drilling contractors, equipment manufac
    3 KB (365 words) - 19:41, 15 May 2019
  • ...opened an office in Hong Kong in 2006, with permission from the [[Chinese Securities Regulatory Committee]] ([[CSRC]]). ...offices in China and in 2006 was given regulatory approval by the Chinese Securities Regulatory Committee to open an office in Hong Kong.
    4 KB (540 words) - 23:06, 22 January 2019
  • ...ks' carrying out surveys and conducting research and providing educational services.<ref>{{cite web|url=http://www.chiginkyo.or.jp/pdf_data/01_gaiyou/chiginpan ...nkers Association]] called for relaxation of accounting rules related to [[securities]] to help [[lender]]s avoid losses.<ref>{{cite web|url=http://www.bloomberg
    3 KB (464 words) - 08:13, 28 July 2016
  • |job = President and Executive Director of Investment Services ...url=http://www.sec.gov/news/press/2009/2009-126.htm|name=Press Release|org=Securities and Exchange Commission|date=June 17, 2009}}</ref> and the [[CFA Institute
    2 KB (255 words) - 14:21, 5 January 2012
  • ...ale by [[KCG Holdings Inc.]] of its Knight Futures subsidiary to [[Wedbush Securities Inc.]] ...]] acquired the futures commission merchant business of [[Penson Financial Services, Inc.]] in 2012, and renamed it Knight Futures.
    4 KB (532 words) - 17:23, 6 August 2021
  • ...ecurities]]. Also, from 1994 to 2003, Brown worked for [[Cargill Investor Services]]. [[Category:Cargill Investor Services - Former Employees]]
    3 KB (414 words) - 21:05, 27 May 2021
  • | products = financial services ...the previous week. It had previously been [[Wall Street]]'s fifth-largest securities firm, with an 85-year history. [[Shareholder]]s of Bear Stearns received [[
    4 KB (566 words) - 22:17, 5 June 2018
  • Edward L. Goldberg is a retired financial services professional. ...Oversight Committees. He also was chairman of the Merrill Lynch Securities Services Division. While at Merrill, he served on the boards of directors of the [[D
    2 KB (311 words) - 00:52, 7 January 2014
  • |employer = Securities and Exchange Commission Andrew J. “Buddy” Donohue is chief of staff at the [[Securities and Exchange Commission]]. A former director of the SEC's Division of Inves
    3 KB (428 words) - 17:24, 28 May 2015
  • ...an's biggest securities firm and one of the largest investment banking and securities firms globally.<ref>{{cite web|url=https://www.bloomberg.com/news/articles/ ALSO SEE: [[Nomura Securities International, Inc.]] (NSI), the [[broker/dealer]] arm of Nomura Holdings A
    10 KB (1,457 words) - 17:20, 28 May 2019
  • ...slative/testimony/archives/Kaswell5-17-01.html|name=Testimony Archives|org=Securities Industry and Financial Markets Association|date=April 14, 2009}}</ref> Prio
    2 KB (333 words) - 01:01, 7 January 2014
  • == Products and Services == ..., was elected second vice president; and [[David J. Lehl]], [[ADM Investor Services, Inc.]], was elected secretary-treasurer.
    3 KB (370 words) - 23:15, 4 January 2021
  • |job = Vice President of Transaction Services Business ...ASDAQ OMX Appoints Mary McDermott-Holland as Vice President of Transaction Services Business|org=NASDAQ OMX|date=March 16, 2010}}</ref>
    2 KB (347 words) - 14:35, 5 January 2012
  • Falis' law practice included commodities law, [[securities]] law, employment and corporate law.<ref>{{cite web|url=http://www.lawyers. ...et-worth individuals, partnerships and corporate entities in the financial services industry including, [[broker-dealers]], account executives, [[FCM]]s, [[int
    3 KB (475 words) - 18:38, 7 January 2014
  • ...82/000121390020023078/ea125736-f1a11_inxlimited.htm|name=Form F-1|org=U.S. Securities and Exchange Commission|date=August 21, 2020}}</ref> ...82/000121390020023078/ea125736-f1a11_inxlimited.htm|name=Form F-1|org=U.S. Securities and Exchange Commission|date=August 21, 2020}}</ref>
    4 KB (498 words) - 02:43, 15 June 2021
  • ...el would shift towards exploring blockchain and [[cryptocurrency]]-related services, rebranding as "Long Blockchain." After the rebrand, the company's stock pr ...formed a partnership with Stran Promotional Solutions (SPS), a promotional services company. Stran Loyalty Group's newly-appointed CEO Andy Shape said that it
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  • ...nancial services. He is an associate at [[Henderson & Lyman]]'s Financial Services Practice Group. ...Mendoza has regulatory experience with respect to matters involving the [[Securities & Exchange Commission]], [[Commodity Futures Trading Commission]],[[ Nation
    2 KB (234 words) - 17:54, 16 January 2014
  • ...>{{cite web|name=ISE web site|url=http://www.theice.com/|org=International Securities Exchange|date=November 1, 2007}}</ref> are industry specific and track the *[[ISE Oil & Gas Services]] -- Oil and gas drilling contractors, equipment manufacturers and supplier
    3 KB (357 words) - 19:42, 15 May 2019
  • == Products and Services == *[[Elizabeth Tolomeo]], Academy Securities
    4 KB (513 words) - 17:08, 14 January 2015
  • ...isting and start-up entities, product development, technology and advisory services. ...orked in the finance sector in London and the United States, with focus on securities lending, asset management, and custody banking.
    2 KB (267 words) - 20:56, 5 May 2014
  • Michael T. Bickford is a retired financial services, exchange, clearinghouse and regulatory professional. ...Technology|date=June 2, 2009}}</ref> Bickford has been a member of [[The Securities Industry Association Derivatives Products Committee]] and was an instructor
    4 KB (509 words) - 12:27, 7 March 2022
  • == Products and Services == ...w York Mercantile Exchange]] (NYMEX) as well as [[Eurex]], [[International Securities Exchange]] (ISE), [[Boston Options Exchange]] (BOX) and [[OneChicago]]. CT
    2 KB (326 words) - 20:18, 30 July 2021
  • ...ry|org=NSX|date=October 6, 2014}}</ref> It is regulated by the Australian Securities and Investments Commission. == Products and Services ==
    2 KB (341 words) - 19:51, 6 October 2014
  • |job = Managing Director - Professional Trading Group Services ...cial services executive, is managing director - Professional Trading Group Services, at RCM Alternatives.
    3 KB (366 words) - 18:38, 29 October 2020
  • ...developer of workforce management, decision support, and ERP solutions and services. ...led the development of key technology modules for the retail and financial services sectors in both the U.S. and Europe.
    3 KB (362 words) - 21:38, 14 January 2020
  • ...he CCFE were provided by [[The Clearing Corporation]]. Market surveillance services were provided by the [[National Futures Association]] (NFA), the industry-w *[[ADM Investor Services]] Inc.
    6 KB (759 words) - 14:11, 3 May 2015
  • |employer = Securities Industry and Financial Markets Association ...Securities Industry and Financial Markets Association]] ([[SIFMA]]), the [[securities]] industry's primary policy organization.<ref>{{cite web|url=http://www.tra
    4 KB (519 words) - 19:48, 25 January 2016
  • ...co Securities]]. He has more than 25 years of experience in the financial services industry including positions at Hornblower, Weeks, Hemphill & Noyes, Loeb R
    2 KB (266 words) - 21:57, 7 January 2014
  • | products = Futures And Securities Brokerage Firm ...istered with the [[Commodity Futures Trading Commission]] (CFTC) and the [[Securities and Exchange Commission]] (SEC), that serves both [[retail]] and professio
    4 KB (562 words) - 18:19, 24 June 2014
  • Jane Wheeler is senior managing director and head of the financial services advisory group at Evercore Partners, where she has led a number of high-pro ...d the company in July 2005 and, most recently, advised the [[International Securities Exchange]] on the merger of its equities arm with [[Direct Edge]]. She also
    1 KB (156 words) - 19:10, 16 March 2015
  • | org_name = House Financial Services Committee | products = Oversees U.S. Housing And Financial Services Sectors
    4 KB (497 words) - 14:46, 6 May 2021
  • == Products and Services == [[Category:Securities Exchanges]]
    1 KB (147 words) - 18:53, 4 June 2019
  • ...r the Derivatives Industry|org=Financial Markets Consulting LLC Consulting Services|date=February 27, 2015}}</ref> She is also co-founder and current president ...was part of the Institutional Financial Futures Department of [[Prudential Securities]] and responsible for the marketing of [[clearing]] and [[risk]] analysis s
    4 KB (483 words) - 17:07, 8 October 2020
  • ...our years at the Chicago-based [[U.S. Futures Exchange]] as head of member services. Gits holds several securities and futures industry licenses, including:
    3 KB (378 words) - 18:48, 3 December 2020
  • Eileen S. Fusco is a financial services professional. ...AG]]. She also formerly served as chief financial officer of Twenty-First Securities Corporation, and as managing director of Global Tax for [[Kidder Peabody &
    2 KB (248 words) - 10:52, 1 May 2013
  • ...0 with the aim of offering solutions that meet the business needs of the [[securities]] industry through the efficient use of technology.<ref>{{cite web|url=http
    3 KB (376 words) - 21:17, 19 October 2020
  • ...stock market for tokenized securities. It received approval from the [[US Securities and Exchange Commission]] (SEC) as an equity trading facility of BOX Exchan ...s-exchange/|name=BSTX receives regulatory approval for blockchain-based US securities exchange|org=The Trade News|date=January 28, 2022}}</ref>
    7 KB (928 words) - 18:03, 31 January 2022
  • ...sr-cboe-2006-14/cboe200614.shtml|name=Comments on CBOE Rulemaking|org=U.S. Securities Exchange Commission|date=May 28,2008}}</ref> ...securities laws. He maintains regular communications with staff of the [[Securities and Exchange Commission]] ([[SEC]]) and participates on a number of profess
    3 KB (459 words) - 16:34, 6 August 2021
  • ...d with insurer [[Travelers]] in 1998 to form the world's largest financial-services group. Citibank is now a prominent brand name within its new parent's consu == Products and Services ==
    3 KB (435 words) - 15:09, 17 August 2015
  • ...2012}}</ref> He also had been a principal [[investor]] in [[Uhlmann Price Securities]]. Price has been involved in the [[securities]], [[cash]] [[commodities]] and [[commodity]] [[futures trading|futures]] m
    3 KB (348 words) - 18:52, 27 October 2020
  • | products = International Banking And Financial Services Organization HSBC Holdings Plc is a major international [[bank]]ing and financial services organization. It is named after its founding member, The Hongkong and Shang
    7 KB (954 words) - 18:01, 18 February 2020
  • Paul Nockels is a partner and assurance leader in the Great Lakes financial services practice of [[RSM US LLP]].<ref>{{cite web|url=http://mcgladrey.com/Muse/Fi His focus is on providing services to broker-dealers, futures commission merchants, investment advisors, and v
    3 KB (399 words) - 22:22, 25 January 2016
  • ...Campagna is the principal of [[Countryside Consulting, Inc.]], a financial services consulting firm serving the global [[derivatives]] and [[capital markets]]. ...He also previously held positions with [[First Options of Chicago]], [[BZW Securities]] and [[GMI Software, Pty.]] in Sydney Australia.
    2 KB (242 words) - 11:59, 29 December 2016
  • | company_name = Aritas Securities Aritas Securities, formerly Pipeline Trading Systems LLC, was an [[Alternative Trading System
    5 KB (698 words) - 18:17, 11 February 2014
  • ...ssues [[government securities]]. It also has oversight over the banking, [[securities]], [[futures]] and insurance industries and is responsible for the developm ...under the wing of the MAS. The regulatory functions under the [[Singapore Securities Industry Act]] (1973) were transferred to MAS in September 1984.
    3 KB (408 words) - 20:43, 18 August 2011
  • ...n reform in the United Kingdom as a whole, and in creating the [[Financial Services Authority]]. ...http://www.fsc.gi/aboutus/commission.htm|name=The Commission|org=Financial Services Commission|date=April 3, 2012}}</ref>
    4 KB (542 words) - 09:59, 6 April 2017
  • ...th Management]] Ltd (Jersey). He also serves as a member of The Financial Services and Markets Tribunal, The Pensions Regulator Tribunal and The Accountants a ...[ABN AMRO]] in 1995, becoming Executive Vice President and CEO of ABN AMRO Securities (UK) Ltd.<ref>{{cite web|url=http://pensionprotectionfund.org.uk/index/abou
    2 KB (284 words) - 17:59, 30 December 2013
  • ...ecurities]]. He was also the global head of clearing at [[Cargill Investor Services]].
    1 KB (149 words) - 18:57, 8 January 2014
  • ...lling and supervising functions of the former [[Federal Commission for the Securities Market]], as well as the responsibility of the former [[Ministry of Labour == Products and Services ==
    4 KB (477 words) - 09:31, 28 July 2016
  • | products = financial services ...It is one of 21 primary dealers who are permitted to trade U.S. government securities directly with the [[Federal Reserve Bank of New York]].
    8 KB (1,043 words) - 19:21, 17 April 2020
  • == Products and Services == ...set management, SSgA offers [[securities lending]] and investment research services. Additionally, SSgA invented the [[exchange traded fund]] ([[ETF]]) vehicle
    3 KB (352 words) - 10:26, 19 April 2013
  • ....K. based firms specializing in strategic advisory services related to the securities markets.<ref>{{cite web|url=http://www.glgroup.com/Council-Member/Lynton-Jo Jones' early career was spent in the diplomatic services where he worked for the U.K. Foreign Office and held a variety of overseas
    2 KB (315 words) - 20:32, 2 January 2014
  • ...[[John Moody]] published ''Moody's Manual of Industrial and Miscellaneous Securities'' in 1900, the same year he founded [[John Moody & Company]]. The manual pr ...ilroad Investments'', which analyzed the railroads and their outstanding [[securities]] and offered conclusions about their quality.
    3 KB (476 words) - 08:18, 28 July 2016
  • ...e alternative Alpha Trading Systems Inc. and the [[Canadian Depository for Securities Ltd.]] == Products and Services ==
    2 KB (327 words) - 13:54, 14 August 2012
  • Nazareth has done legal work for the [[Securities Industry and Financial Markets Association]], [[Wall Street]]’s biggest l ...As a commissioner, she focused on systemic risks to the markets posed by [[securities]] firms and [[traders]] such as [[hedge funds]]. Nazareth participated in 2
    3 KB (462 words) - 14:29, 12 August 2011
  • | company_name = Goldman Sachs Gao Hua Securities Limited ...[Goldman Sachs]] who owns 33 per cent of the company and [[Beijing Gao Hua Securities Company Limited]] who owns 67 per cent of the company. <ref> {{cite web|url
    2 KB (322 words) - 16:21, 29 September 2011
  • | company_name = Palestine Securities Exchange ...ors; banking and financial services, insurance, investments, industry, and services. Most of the listed companies are profitable and trade in Jordanian Dinar,
    2 KB (289 words) - 12:36, 31 May 2019
  • ...in audit, compliance, financial, operational and technology for financial services firms.<ref>{{cite web|url=http://www.prnewswire.com/news-releases/complex-f ...itz in 1974 began his career in the financial services industry with the [[Securities and Exchange Commission]]'s New York regional office. He joined the legal d
    5 KB (612 words) - 19:53, 20 May 2015
  • ...very state across America and scattered around the world. In 2014, Wedbush Securities Inc. announced their agreement to acquire the efutures and First Capitol Ag == Products and Services ==
    5 KB (705 words) - 17:19, 6 August 2021
  • ...ion]] (SIFMA), the [[American Securitization Forum]] (ASF), and the [[Asia Securities Industry and Financial Markets Association]] (ASIFMA), to promote a consist == Products and Services ==
    4 KB (484 words) - 19:10, 30 December 2013
  • ...ext+Market+Solutions&hl=en&ct=clnk&cd=6&gl=us|name=Press Release|org=Dexia Securities|date=Aug. 7, 2008}}</ref> It was created when [[Atos Origin]] and [[NYSE Eu == Products and Services ==
    1 KB (184 words) - 09:44, 28 July 2016
  • ...that it was parting administrative ways with the global trade body, the [[Securities Industry and Financial Markets Association]] (SIFMA). The organization hope == Products and Services ==
    3 KB (346 words) - 23:24, 10 February 2014
  • ...ng and investment services. It also provides liquidity and risk management services to the options market. Peak6 Capital Management and Peak6 Investments are b PEAK6 is a member firm at the [[International Securities Exchange]] (ISE).
    2 KB (273 words) - 08:26, 28 July 2016
  • == Products and Services == ...announcement information for [[equities]], [[fixed income]] and structured securities. GCA creates corporate action information through a comprehensive cleansing
    2 KB (330 words) - 08:37, 22 June 2017
  • ...es critical cyber space and homeland security information to the financial services firms. ...cutive vice president and director of BancAmerica Options, Inc., and Tague Securities Corporation. He has been a member of the board of the [[Philadelphia Stock
    2 KB (347 words) - 13:04, 6 March 2013
  • ...[investment bank]]s and electronic [[market maker]]s, it offers trading on securities listed on major European markets. ==Technology and Services==
    3 KB (366 words) - 23:31, 8 February 2012
  • ...regulatory compliance consulting firm focusing primarily on the financial services industry. It is led by founder and CEO Eugene A. Ludwig, a former U.S. comp The company is a consultant on national and cross-border issues in banking, securities, commodities, financial instruments, markets, and insurance. It has offices
    3 KB (428 words) - 19:10, 19 August 2015
  • ...ef executive officer of [[Aegis Software]], providing trading software and services for financial companies.<ref>{{cite web|url=http://www.aegisoft.com|name=Ae ...ted the first widely-deployed standardized [[trader workstations]] for the securities industry, resulting in the Micrognosis trader workstation.
    2 KB (247 words) - 16:17, 12 February 2015
  • The U.S. Securities and Exchange Commission approved MIAX PEARL's license for an equities excha ...among its investors. Hudson River Trading, Simplex Trading and Susquehanna Securities have also participated in the fundraising.
    3 KB (413 words) - 19:37, 14 September 2020
  • ...ted services to businesses and customers and plans to trade tokenized U.S. securities. The company has offices in Estonia and Israel.<ref>{{cite web|url=https:// == Products and Services ==
    7 KB (980 words) - 18:04, 10 June 2021
  • | org_name = Financial Services Authority | products = Financial services regulator
    8 KB (1,129 words) - 21:31, 2 January 2014
  • ...refers to the total amount a consumer or [[investor]] must pay for goods, services or [[assets]] - also called expense. It refers to both a payment of [[money ...pital]]. This is the rate of [[return]] the company must offer on [[debt]] securities such as [[bonds]] or [[notes]] to persuade investors to purchase them.<ref>
    1 KB (172 words) - 17:33, 19 December 2013
  • ...Indian [[conglomerate]] Reliance, claims to be India's leading [[retail]] securities [[broker]] with around 3.5 million customers in over 5,000 cities and towns ...and the [[Multi Commodity Exchange]] to [[gold]] coin sales and [[forex]] services like money changing. It consistently ranks among the top three finance and
    5 KB (690 words) - 09:46, 28 July 2016
  • Dennis Zarr is a Chicago-based financial services professional. He is currently a senior advisor to Saliba Venture Managemen ...http://www.rand-usa.com/c1_4a.cfm?id=8|name=Dennis Zarr|org=Rand Financial Services |date=March 16, 2008}}</ref>
    4 KB (515 words) - 21:03, 10 September 2015
  • |job = Senior Vice President, Operational Services ...current role, he was responsible for the creation of Schwab's Operational Services Control team, as well as holding multiple operational positions in his 14 y
    3 KB (398 words) - 18:25, 18 June 2015
  • David Ritchie is financial services professional. He is currently a sales director for [[Perseus Telecom|Perse Before that, he was vice president and regional manager for the [[Australian Securities Exchange]] in the U.S.
    2 KB (305 words) - 09:38, 28 July 2016
  • ...es/samtani06.asp|name=Web Services and Straight Through Processing|org=Web Services Architect|date=December 4, 2008}}</ref> But that may be changing. The [[Securities Industry Association]] (SIA) recently predicted that its constituents would
    2 KB (281 words) - 14:02, 11 May 2017
  • Daniel Thomas Rudrud is a long-time investment banker and financial services executive specializing in derivatives who is now managing partner at DSKTR Rudrud was a member of MGEX on behalf of JP Morgan Securities LLC.<ref>{{cite web|url=http://www.mgex.com/MembershipTransfers.html|name=M
    4 KB (580 words) - 14:13, 9 August 2021
  • ...combined her Head of Europe role with Global Head of Equity Business Line Services. She was appointed a managing director in 2000. ...Directors of [[LCH.Clearnet]] and is a member of the [[European Securities Services Forum]] (ESSF) Executive Committee.<ref>{{cite web|url=http://www.lchclearn
    2 KB (294 words) - 16:51, 7 January 2014
  • #REDIRECT [[Japanese Financial Services Agency]] | company_name = Financial Services Agency
    10 KB (1,378 words) - 16:09, 16 June 2021
  • ...rimary mission is to protect investors and maintain the integrity of the [[securities]] market, including the [[Cairo Alessandria Stock Exchange]] (CASE). == Products and Services ==
    1 KB (166 words) - 20:49, 15 May 2019
  • | company_name = Financial Services Agency | linkedin = 金融庁%E3%80%80financial-services-agency
    10 KB (1,375 words) - 20:54, 5 August 2021
  • ...er of business lines, including [[securities]] pricing, [[asset]]-backed [[securities]], [[municipal bonds]], trading and electronic publishing. During that time ...ered into an agreement to sell their corporate stock to Thompson Municipal Services, Mandelbaum's share of the proceeds of the transaction was $6 million.<ref>
    3 KB (411 words) - 16:17, 6 January 2014
  • From there, he joined Cornerstone/ProTrader Securities in 2000, and later became Assistant Branch Manager of the brokerage. He rounded off his pre-Mirus trading experience at JS Services, a trading research firm, from 2003 to 2004.
    1 KB (166 words) - 00:52, 7 January 2014
  • ...ading environment using or migrating to [[FIX Protocol]]. Its professional services consultancy evaluates clients’ business strategies and trading technology ...nds]], [[emerging market]] [[bond]]s and other types of [[fixed-income]] [[securities]]. The [[acquisition]] totaled $42 million in [[cash]] and [[stock]] consis
    4 KB (528 words) - 15:51, 4 February 2016
  • ...ecurities]] cases involving [[payment system]]s, [[retail]] [[bank]]ing, [[securities]] [[list]]ing, [[trading]], [[underwriting]], and [[private equity]] [[acqu *14th Annual Consumer Financial Services Litigation Institute, 2009
    4 KB (522 words) - 20:45, 12 February 2014
  • ...modities; asset and wealth management; international payments and treasury services; and market intelligence ...sk management and advisory services, and market intelligence to the global securities, commodities and foreign exchange markets. The firm rebranded as StoneX in
    11 KB (1,448 words) - 21:25, 8 October 2020
  • 160 market data vendors, trade execution and order management services, [[ECN]]s and [[exchange]]s, and [[clearing]] and settlement firms currentl In January 2008, the [[International Securities Exchange]] (ISE) announced it would use Radianz's network for trade executi
    3 KB (455 words) - 23:32, 25 November 2020
  • ...ies Industry]] and [[Financial Markets Association]]), Affiliated Computer Services, New York University Downtown Hospital and Rutgers University.<ref>{{cite w ...d technology organization globally, as well as its [[real estate]], shared services and business continuity initiatives.
    3 KB (455 words) - 15:28, 7 January 2019
  • ...e president and chief legal officer of [[TIAA-CREF]], a national financial services organization with $363 billion in combined [[asset]]s under management.<re ...on|date=April 29, 2009}}</ref> Becker completed an 18-year career at the [[Securities and Exchange Commission]], where he held a series of successively senior po
    2 KB (294 words) - 08:15, 28 July 2016
  • ...d in several capacities including trading operations management, financial services consulting and sales/marketing for [[Louis Dreyfus Energy Corp.]], [[Deloit ...piac University, an MBA from University of Bridgeport and is a [[SIFMA]] [[Securities Industry Institute]] graduate from [[Wharton]].
    2 KB (346 words) - 16:51, 7 January 2014
  • |employer = Wolkoff Consulting Services LLC Neal L. Wolkoff is CEO of [[Wolkoff Consulting Services, LLC]] and an attorney. He is the non-executive chairman of the board of OT
    7 KB (963 words) - 03:25, 11 January 2022
  • ...receives revenue from its investment income, primarily from U.S. Treasury securities. == Products and Services ==
    3 KB (400 words) - 13:29, 14 August 2012
  • ...adviser nor broker-dealer and has not registered with the United States [[Securities and Exchange Commission]]." Cottonwood Vending has nearly 100 machines in ...andards set by the NYDFS. BitLicense is one of two companies whose primary services center around automated cryptocurrency kiosks, or "bitcoin ATMs," to have b
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  • ...ecurities (a [[broker-dealer]] specializing in residential mortgage-backed securities (RMBS)). <ref>{{cite web|url=http://www.amherstholdings.com/about-amherst-h == Products and Services ==
    2 KB (326 words) - 14:55, 22 April 2013
  • ...night Futures. Two years later, in 2014, the FCM was acquired by [[Wedbush Securities]] and renamed [[Wedbush Futures]]. ...peak, before diversifying to include professional credit and [[clearing]] services and expanding its electronic execution business<ref>{{cite web|url=http://w
    4 KB (597 words) - 17:23, 6 August 2021
  • ...ce October 1986. The company provides financial services consulting to the securities, investment banking and derivatives space. He was previously editorial advi Merryman joined [[UBS Financial Services]] in September 1985 as senior vice president. He worked in IPO's and [[bond
    2 KB (266 words) - 17:53, 31 December 2013
  • ...00119312510043180/dex211.htm |name=Subsidiaries of CME Group Inc.|org=U.S. Securities and Exchange Commission|date=July 27, 2020}}</ref> | CME Group Index Services LLC
    3 KB (351 words) - 15:29, 27 July 2020
  • [[International Securities Exchange]] offers options on a cash-settled ISE Homebuilders Index (RUF). T ...ue&menu2=true&link2=true&symbol=RUF|name=Product Details|org=International Securities Exchange|date=November 7, 2007}}</ref> including Hovnanian Enterprises Inc.
    3 KB (427 words) - 19:42, 15 May 2019
  • | company_name = Securities Industry and Financial Markets Association ...{{cite web|url=http://www.sifma.org/about/about.html|name=Organization|org=Securities Industry and Financial Markets Association|date=March 31, 2009}}</ref>
    4 KB (575 words) - 20:39, 15 May 2019
  • ...nology Magazine focuses on [[information technology]] trends driving the [[securities]] and [[investment]] industries. and focuses on [[emerging technologies]] f == Products and Services ==
    1 KB (189 words) - 18:10, 2 August 2019
  • ...istorical files and back testing, real-time decision support and other web services. Livevol is a subsidiary of [[CBOE Holdings]] and offers suite of products< ...al files and back testing, real-time decision support, flat files, XML web services, web components, custom development and consulting.
    4 KB (527 words) - 11:32, 21 March 2017
  • ...f> Yunger also spent some time at [[Bank of America]] in their Consulting Services Group, where she played an integral role in the launch and success of their Yunger is a member of the [[National Association of Securities Professionals]]’ Chicago & Baltimore/Washington chapters, the [[Mid-Atlan
    2 KB (321 words) - 14:34, 22 August 2011
  • ...p, where he was responsible for directing research activities and advisory services. He is the chairman of the International Association for Quantitative Fina ...ns, Dr. Lindsey served as the director of market regulation for the [[U.S. Securities and Exchange Commission]] and as the chief economist of the SEC. He was a f
    3 KB (452 words) - 16:07, 12 May 2022
  • ...o Head Transaction Services|org=WSJ.com|date=July 7, 2009}}</ref> He spent six years at Nasdaq in that role. ...[[Investment Company Institute]]. He is a former attorney with the [[U.S. Securities and Exchange Commission]] (SEC).
    10 KB (1,404 words) - 17:09, 6 August 2021
  • ...strategic monitoring. Since February 2010, he has also overseen AMF Client Services, supervising activities pertaining to investor education and awareness prog
    2 KB (327 words) - 21:36, 26 October 2011
  • ...kademie AG - the first German institution directed at offering educational services on [[investing]] themes. He also served as managing director at [[TradeStre ...subsequently passed exams as a FSA ([[Financial Services Authority]], UK) Securities Representative, FSA Futures and Options Representative and [[XETRA]] [[trad
    2 KB (283 words) - 23:41, 1 August 2019
  • The Financial Stability Improvement Act was passed by the [[House Financial Services Committee]] on December 2, 2009 to put an end to [[“too big to fail”]] .../news/-24335-1.html|name=House Committee Passes "Too Big To Fail" Bill|org=Securities Industry News|date=December 3, 2009}}</ref>
    1 KB (199 words) - 16:36, 29 September 2011
  • ...s Ltd., London in November 2008 as principal and head of triparty [[repo]] services. ...d [[collateral]]ized trading across multiple [[asset class]]es including [[securities]] [[lend]]ing, short-dated [[derivatives]], repos / [[reverse repo]]s, [[CP
    2 KB (330 words) - 14:40, 11 July 2017
  • Williams was previously the vice president of CBOE's regulatory services division. ...m 1983 to 1986, Williams worked for [[Refco]] and for Refco's affiliated [[securities]] [[broker-dealer]] in the research department and as a Series 3- and Serie
    2 KB (299 words) - 20:17, 30 July 2021
  • ...uity]], [[sector index]] and currency [[option]] marketing and educational services to [[investor]]s, [[brokerage]] firms and [[institutional]] clients in Nort ...sity, and is a graduate of the [[Securities Industry Association]] (SIA) [[Securities Industry Institute at the Wharton School of the University of Pennsylvania]
    2 KB (303 words) - 17:45, 13 January 2015
  • ...g in the late 1980s the group rapidly acquired a number of large financial-services companies in Switzerland and abroad but later streamlined its operations.<r ...ensions arm Winterthur, which it had acquired in 1997, to French financial services giant AXA for $10 billion cash.
    7 KB (924 words) - 18:20, 22 February 2022
  • |job = Managing Director, Futures Services <!-- Person's occupation, type of work, NOT their company, or leave blank - Paul S. Davies is managing director of futures services at Goldman Sachs in Singapore.
    2 KB (305 words) - 09:45, 14 April 2016
  • ...Information Services]], a vendor of corporate tax compliance software and services, which he founded in 2005 with [[Warburg Pincus]]. ...date=March 20, 2012}}</ref> From 1987 to 1991, he was chairman and CEO of Securities Data Corp., a leading financial market database, until its acquisition by T
    2 KB (316 words) - 00:43, 7 January 2014
  • ...parate regional [[exchange]]s and offers trading in [[fixed income]] and [[securities]]. ...d company offers trading, listings, post-trade, market data and technology services.<ref>{{cite web|url=https://translate.google.com/translate?hl=en&sl=es&u=ht
    8 KB (1,159 words) - 20:13, 21 May 2019
  • Because Auerbach Grayson is considered a registered broker-dealer under [[Securities and Exchange Commission]] (SEC) regulation 15A (6), it is allowed to distri == Products and Services ==
    3 KB (384 words) - 21:49, 8 January 2014
  • ...reet Reform and Consumer Protection Act]], passed by the [[House Financial Services Committee]] on Dec. 2, 2009 to put an end to “[[too big to fail]]” fina == Products and Services ==
    4 KB (572 words) - 13:23, 25 October 2021
  • ...to December 2003. Before that, he was a principal at [[Vanguard Brokerage Services]], the brokerage arm of [[The Vanguard Group Inc.]], where he was in charge ...utures subsidiary from 1987 to 1998. He was employed by [[Thomson McKinnon Securities Inc.]] from 1974 to 1985 and served as vice president of sales and branch m
    3 KB (502 words) - 00:57, 7 January 2014
  • |employer = Securities Industry and Financial Markets Association Timothy R. Ryan, Jr. is president and CEO of the [[Securities Industry & Financial Markets Association]] ([[SIFMA]]). He replaced [[Marc
    3 KB (468 words) - 16:20, 6 January 2014
  • Avatar Trading Group, LLC is the parent company for [[Avatar Securities, LLC]] and [[Avatar Trading, LLC]]. It is a proprietary trading firm that == Products and Services ==
    2 KB (342 words) - 17:21, 24 October 2011
  • Burgundy was a [[trading]] facility for listed Nordic [[securities]] launched on June 12, 2009 as a regional [[multilateral trading facility]] ...et]], [[SEB]], [[Swedbank och Öhman]]. Other participants active in Nordic securities are also being invited to join as members.<ref>{{cite web|url=http://www.ne
    5 KB (667 words) - 17:23, 11 April 2019
  • .../dealer and full service investment bank that specializes in the financial services sector.
    3 KB (440 words) - 20:17, 2 January 2014
  • ...of Citigroup. He was chief financial officer of Citi's Global Transaction Services from 2002 to 2005. He began his career at the bank in 1984.
    2 KB (319 words) - 16:11, 27 March 2014
  • ...the owner of Engmann Options, a San Francisco-based private investment and securities consulting firm, and a senior advisor to WarpForge. ...an of the parent company of [[SageTrader|SageTrader, LLC]], a professional securities firm serving small hedge funds, proprietary trading groups and active trade
    5 KB (759 words) - 22:47, 9 September 2021
  • ...mktreformwiki/index.php/European_Securities_and_Markets_Authority European Securities and Markets Authority]</div> ...w.neurope.eu/article/financial-services-regulations-adopted|name=Financial Services regulations adopted|org=New Europe Online|date=December 19, 2012}}</ref> Th
    5 KB (625 words) - 13:46, 5 July 2013
  • ...delay in December of 2008, the exchange received rule approval from the [[Securities and Exchange Commission]] in mid-March of 2008. <ref>{{cite web|name="NASDA ...ket announced it would implement new pricing, subject to filing with the [[Securities and Exchange Commission]] (SEC). Amid the changes, the NASDAQ Options Marke
    5 KB (664 words) - 19:10, 1 November 2013
  • ...electronic marketplace and data service provider for Canadian dollar debt securities and derivatives. The CanDeal markets division account for more than 90% of ...l Bank Financial Inc.]], [[RBC Capital Markets]], [[Scotia Capital]], [[TD Securities]] and [[TMX Group]].
    7 KB (868 words) - 19:51, 22 June 2020
  • SOFFEX was launched in 1988 as the world's first all-electronic securities exchange.<ref>{{cite web|url=http://query.nytimes.com/gst/fullpage.html?res ...X Swiss Exchange and SWX Europe as "pre-eminent liquidity venues for Swiss securities trading."<ref>{{cite web|url=http://www.mondovisione.com/index.cfm?section=
    2 KB (344 words) - 19:12, 15 August 2011
  • ...ension funds, hedge funds, stock exchanges and clearing houses, securities services providers and corporations. == Products and Services ==
    4 KB (520 words) - 15:44, 18 April 2022
  • .../dealer and full service investment bank that specializes in the financial services sector.
    3 KB (420 words) - 00:25, 24 August 2011
  • ...657176/000165717619000001/xslFormDX01/primary_doc.xml|name=Form D|org=U.S. Securities and Exchange Commission|date=June 11, 2020}}</ref> ...657176/000165717620000001/xslFormDX01/primary_doc.xml|name=Form D|org=U.S. Securities and Exchange Commission|date=June 11, 2020}}</ref>
    10 KB (1,278 words) - 14:03, 13 January 2022
  • == Products and Services == ...ommittee for Banking Supervision]] and the [[International Organization of Securities Commissions]] (IOSCO).<ref>{{cite web|url=https://www.businesswire.com/news
    3 KB (424 words) - 12:50, 21 June 2021
  • ...vices. Previously, he served as the President of [[E*TRADE Mortgage Backed Securities Corporation]].<ref>{{cite web|url=http://investing.businessweek.com/busines Caplan played a key role in integrating E*Trade's various products and services in his capacity as Chief Financial Products Officer and Managing Director o
    2 KB (303 words) - 18:56, 8 January 2014
  • ...s in the UK and abroad. Millman is also a non-executive director of a data services and media company serving the UK healthcare industry and of a US market res Millman, a Fellow of the [[Securities and Investment Institute]], holds a MA from the University of Oxford.
    1 KB (189 words) - 16:20, 6 January 2014
  • ...'s Corp.]] As part of her work with the firm she has dealt with [[mortgage securities]] and other structured finance deals, which were the target of U.S. [[regul Rose was the head of the S&P mortgage securities ratings team from 1999 to 2008, but was reassigned in January 2008 to her p
    3 KB (377 words) - 20:47, 12 February 2014
  • * Checkfree Investment Services (USA) * La Branche Financial Services (New York, USA)
    4 KB (573 words) - 08:10, 28 July 2016
  • |employer = Wedbush Securities <!-- Where the person works, or leave blank --> Edward W. Wedbush founded [[Wedbush Securities]], a financial services and investment firm, in 1955 with a colleague, Robert Werner. Wedbush serve
    7 KB (927 words) - 17:00, 6 August 2021
  • ...}}</ref> Parent company MarketWatch Inc. also runs MarketWatch Information Services, which licenses its products for use by other content providers. == Products and Services ==
    4 KB (516 words) - 17:39, 19 December 2013
  • ...onvergex Limited]]. Its London-based brokerage was renamed Cowen Execution Services Limited.<ref>{{cite web|url=http://www.cowen.com/news/cowen-complete-acquis ...onvergex Group was formed in October 2006 from the union of [[BNY Mellon]] Securities Group and Eze Castle Software.<ref>{{cite web|url=http://www.bnyconvergex.c
    6 KB (841 words) - 10:36, 30 June 2017
  • ...rl=https://www.sec.gov/litigation/complaints/2014/comp-pr2014-160.pdf|name=SECURITIES AND EXCHANGE COMMISSION v. ANTHONY G. BLUMBERG|org=U.S. SEC|date=June 29, 2 In August 2014, the U.S. [[Securities and Exchange Commission]] and the Department of Justice charged Blumberg fo
    4 KB (525 words) - 14:30, 29 June 2017
  • ...ing (GSET) and Futures Business. He was a member of the Finance Committee, Securities Division Business Practices Committee and the firm-wide new products commit
    2 KB (298 words) - 15:19, 12 November 2020
  • ...ue&menu2=true&link2=true&symbol=RND|name=Product Details|org=International Securities Exchange|date=November 15, 2007}}</ref> ...hat also include: [[ISE Integrated Oil and Gas Index]]; [[ISE Oil and Gas Services]]; [[ISE U.S. Regional Banks]]; [[ISE Semiconductor]]; [[ISE Gold]]; [[ISE
    2 KB (308 words) - 19:41, 15 May 2019
  • ...areness are the investor's first line of defense against fraud, the [[U.S. Securities and Exchange Commission]], the [[Commodity Futures Trading Commission]], th ==Securities and Exchange Commission Investor Publications==
    16 KB (2,339 words) - 18:31, 3 January 2014
  • |job = Financial Services Secretary ...ww.hm-treasury.gov.uk/minprofile_myners.htm|name=Paul Myners CBE Financial Services Secretary to the Treasury |org=HM Treasury|date=June 19, 2009}}</ref>When h
    3 KB (401 words) - 08:09, 28 July 2016
  • ...al [[ICO]]s to help clarify when and how they should observe Swiss AML and securities laws. ...for [[cryptocurrency]] startups. One reason for this may be that financial services companies seeking to do business in Switzerland are usually required either
    7 KB (939 words) - 21:30, 23 July 2021
  • | company_name = SIX Swiss Exchange | company_logo = [[Image:Six logo.gif]]
    9 KB (1,323 words) - 15:43, 18 March 2022
  • ...by CBOE, American Stock Exchange LLC, Boston Stock Exchange, International Securities Exchange, NYSE Arca, Inc. and Philadelphia Stock Exchange) so that all the ...cument.aspx?DIR=ACNews&FILE=20060406.doc|name=CBOE CHOSEN TO BE REGULATORY SERVICES PROVIDER FOR NEW OPTIONS REGULATORY SURVEILLANCE AUTHORITY|org=CBOE|date=De
    3 KB (423 words) - 15:19, 17 December 2011
  • ...Stock Exchanges (FESE) is an association that represents operators of 42 [[securities]] [[exchange]]s active in [[equities]], [[bond]]s, and [[derivatives]] in t ...on of Central Counterparty Clearing Houses]] (EACH) and [[European Central Securities Depositries Association]] (ECSDA) in particular in the context of the code
    3 KB (386 words) - 17:26, 11 April 2019
  • ...inst the company. Sentinel froze customer accounts in August 2007 as the [[Securities and Exchange Commission]] (SEC) and the [[National Futures Association]] (N ...violation of the Investment Advisers Act." Nearly $460 million in customer securities had been transferred to a proprietary house account by Sentinel.<ref>{{cite
    5 KB (699 words) - 17:41, 1 April 2014
  • ...Also previously, she was executive director and senior counsel with [[UBS Securities, LLC]]. ...porate]], regulatory and transactional matters involving [[futures]] and [[securities]] regulation, registration and compliance, [[financial market]]s and cleari
    4 KB (546 words) - 09:16, 2 August 2017
  • ...named Ernst & Young's Entrepreneur of the Year Metro New York in Financial Services. He also ranked 7th among Institutional Investor magazine's 2008 Online Fin Prior to Liquidnet, Merrin co-founded VIE Systems, Inc., a financial services application integration software company, in 1997. In 1985, he founded his
    2 KB (311 words) - 01:01, 7 January 2014
  • ...ing. The company has also witnessed growing demand for application support services to help banks deliver cost-savings and business efficiencies. ...ancial opened a new office in Boston, Massachusetts, and now operates from six locations in five countries worldwide
    4 KB (568 words) - 18:23, 3 July 2014
  • ...itish [[fintech]] that provides [[blockchain]] technology to the financial services industry. The original company, SETL Development Ltd., filed for insolvency ...s designed to be interoperable with existing data systems in the financial services industry; according to the company's website, it is designed to have the ab
    6 KB (868 words) - 20:58, 5 April 2021
  • ...ernational provider of [[banking]], financial, advisory and [[investment]] services. It is headquartered in Sydney, Australia. ...ers a full range of investment, financial market and advisory products and services, and in Europe, the Middle East, Africa and the Americas, Macquarie focuses
    4 KB (624 words) - 21:26, 31 March 2015
  • Manikay Partners was named in a U.S. Securities Exchange Commission action in September of 2013. The SEC accused 23 funds == Products and Services ==
    3 KB (402 words) - 14:33, 27 June 2017
  • ...r_bios.aspx|name=Global Exchange CEO & Investor Conference |org=Rosenblatt Securities|date=October 7, 2009}}</ref> and the chairman of the [[World Federation of ...v/spotlight/seniors/bios/richard_ketchum.pdf|name=Richard Ketchum|org=U.S. Securities Exchange Commission|date=May 7, 2008}}</ref> Ketchum joined [[NASD]] as ex
    5 KB (734 words) - 20:19, 2 November 2015
  • Timothy W. Cameron is a managing director of the [[Securities Industry and Financial Markets Association]] (SIFMA) and the principal staf ...n led efforts to build a new governance structure to oversee [[fiduciary]] services that included trustee of [[unregistered mutual fund]]s, directed trustee of
    2 KB (315 words) - 18:53, 8 January 2014
  • | products = Settlement services for bonds, equities and investment funds ...ludes Euroclear Bank, based in Brussels, as well as the national [[central securities depositories]] Euroclear Belgium, Euroclear France, Euroclear Nederland, Eu
    9 KB (1,246 words) - 21:22, 19 October 2021
  • ...head trader of Sentinel Management Group, a cash management firm offering services to futures commission merchants, funds and individual investors that went b ...e suit alleges that the two used customer collateral to purchase high-risk securities such as [[collateralized debt obligations]] ([[CDO]]s) and other illiquid a
    3 KB (369 words) - 20:06, 24 February 2014
  • ...years’ experience in a number of sectors, including software and financial services. ...he served as CFO for two AIM-listed groups, WH Ireland Group and Merchant Securities Group. He was previously the finance director, EMEA & APAC, for the Nasdaq
    2 KB (362 words) - 21:36, 26 February 2018
  • ...ellert is chairman and CEO of [[Rapid Ratings International]], a financial services company that uses a proprietary quantitative system to rate the financial h ...and renamed the firm Howland Securities. Gellert worked as CEO of Howland Securities until 2010, when the company was sold and renamed.
    5 KB (732 words) - 18:16, 10 January 2022
  • Robin M. Trott is a Singapore based financial services executive who is an executive director with Norton Edge, an Asia-based capi He has led prime services and electronic execution business for major banks in both Asia and Europe.<
    3 KB (424 words) - 21:15, 28 May 2021
  • ...the Federal Reserve Bank of New York, SWIFT, the International Securities Services Association and the OTC Derivatives Regulators’ Forum. He was a member of
    3 KB (518 words) - 21:42, 23 June 2015
  • ...ty index futures business product line and also led CME's entry into index services via the acquisition of Dow Jones Indices and the subsequent formation of th ...ca's Trading, and prior to that he served as president of Hull Transaction Services. Warren also held senior positions at Chicago Corporation/ABN AMRO and Arth
    3 KB (406 words) - 21:29, 13 December 2018
  • ...with-two-allen--overy-lawyers-05-16-20111/|name=Katten Boosts UK Financial Services Practice with Two Allen & Overy Lawyers|org=Katten Muchin Rosenman LLP|date ...complex securities, commodities and derivatives transactions as well as US securities and commodities law regulation.
    3 KB (486 words) - 22:16, 1 February 2018
  • | products = Futures/derivatives and securities compliance training and certification Exchange Analytics is a developer and supplier of futures/derivatives and securities compliance training and certification. Its suite of online training courses
    4 KB (550 words) - 04:39, 1 December 2021
  • ...currently serves as the CNMV representative on the [[Committee of European Securities Regulators]]. ...developing a wide range of companies that provide financial intermediation services, private asset management and economic and financial analysis. Simultaneous
    1 KB (201 words) - 20:55, 15 May 2019
  • ...used on [[broker-dealer]] and [[exchange]] compliance, specifically with [[Securities and Exchange Commission]] and [[FINRA]] regulations. She joined Katten in 2 ...senior vice president and director of capital markets compliance at Everen Securities.<ref>{{cite web|url=http://www.prnewswire.com/news-releases/janet-m-angstad
    3 KB (459 words) - 20:17, 14 June 2019
  • Currently, he serves on the board of the American Bankers Association securities organization and the OCC Options Clearing Corp. Mr. Messinger has served on ...onsible for the management of Pershing Trading Services and Pershing Prime Services. He also was a member of the Executive Committee at Pershing and the Operat
    3 KB (420 words) - 16:16, 3 August 2015
  • ...ties, LLC]] (CFS) operates as an [[interdealer-broker]] in the US Treasury securities market. == Products and Services ==
    4 KB (647 words) - 23:10, 27 August 2019
  • ...nge launched with 45 [[TSX]]-listed stocks and said it would roll out more securities before launching its own listing service.<ref>{{cite web|url=http://busines Market data for NEO-listed securities is free for everyone at the outset, the exchange said in a release.<ref>{{c
    9 KB (1,332 words) - 07:17, 1 April 2016
  • |employer = J.P. Morgan Securities LLC ...d of agency clearing, collateral management and execution at [[J.P. Morgan Securities LLC]]. After serving as the global head of the futures and options busines
    4 KB (552 words) - 20:27, 9 February 2016
  • It is supervised by the [[China Securities Regulatory Commission]] and other agencies that regulate state social group == Products and Services ==
    5 KB (656 words) - 18:32, 28 May 2015
  • ...lso responsible for the regulation of trading of certain NYSE products and services, specifically [[NYSE Bonds]] and [[NYSE MatchPoint]].<ref>{{cite web|url=ht ...rious sectors of the corporate bond market. In 1996, he joined the [[U.S. Securities and Exchange Commission]] as a staff attorney.
    2 KB (356 words) - 17:39, 25 January 2016
  • ...m/mktreformwiki/index.php/U.K._Financial_Services_Authority U.K. Financial Services Authority]</div> ...mktreformwiki/index.php/European_Securities_and_Markets_Authority European Securities and Markets Authority]</div>
    8 KB (1,067 words) - 19:24, 27 May 2021
  • | products = Digital asset trading and services | linkedin = six-digital-exchange/
    4 KB (567 words) - 03:39, 21 April 2021
  • |employer = Wedbush Securities ...areer with Wedbush in 2012 serving as senior vice president, correspondent services. He also sits on the board of Lime Brokerage LLC, where he formerly served
    3 KB (373 words) - 16:31, 6 August 2021
  • ...l]] in 2010-11 after a long career with [[Cargill]] and [[Cargill Investor Services]] and more recently [[Penson GHCO]]. He left [[MF Global]] in April of 201 ...iety of trading and management positions before joining [[Cargill Investor Services]] in 1975.<ref>{{cite web|url=http://www.prnewswire.com/cgi-bin/stories.pl?
    4 KB (597 words) - 21:27, 28 October 2020
  • [[International Securities Exchange]] offers options on the cash-settled ISE U.S. Regional Banks Index ...ue&menu2=true&link2=true&symbol=JLO|name=Product Details|org=International Securities Exchange|date=November 15, 2007}}</ref> the Index attempts to capture at le
    2 KB (343 words) - 19:41, 15 May 2019
  • ...hael J. Liccar & Company]], an accounting firm specializing in futures and securities trading.<ref>{{cite web|url=https://www.liccar.com/liccar|name=Michael J. L ...cago and Denver offices and through 1985, was a Manager in the commodities/securities division of Checkers, Simon & Rosner C.P.A.'s (now RSM McGladrey-Chicago).
    4 KB (603 words) - 21:30, 25 January 2016
  • ...office with a practice concentrated on the representation of the financial services industry. John was principal outside counsel to [[trading]] organizations a ...nseling, major litigation under the [[Commodity Exchange Act]] and federal securities laws, and legislative negotiations and advocacy.
    2 KB (327 words) - 17:51, 5 November 2019
  • | products = Provides clearing and settlement services for Turquoise The company was formed to provide [[clearing]] and [[settlement]] services for trading venues across Europe, offering [[risk management]] to European
    5 KB (674 words) - 10:34, 8 April 2016
  • | products = Financial Services State Street Corp. is a global financial services company founded in 1792 (and incorporated in 1969), based in Boston, Massac
    5 KB (673 words) - 21:10, 18 December 2019
  • ...002 to 2007, and during this time served as CEO of Credit Suisse Financial Services and co-CEO of Credit Suisse Group. Gruebel worked for [[White Weld Securities]] beginning in 1970, stepping up to CEO in 1975. He completed his training
    3 KB (441 words) - 20:49, 12 February 2014
  • ...and [[James Koutoulas]], CEO of [[Typhon Capital Management]] and [[Typhon Securities]], founded the CCC in November 2011. On Dec. 29, 2011, the CCC was official == Products and Services ==
    4 KB (477 words) - 01:55, 11 January 2022
  • ...ion, either from one side or both. In the U.S. they are regulated by the [[Securities and Exchange Commission]] (SEC). ...rge much lower [[transaction fees]] but typically offer fewer products and services.<ref>{{cite web|url=http://www.moneybluebook.com/reviews-of-the-best-online
    3 KB (379 words) - 08:16, 27 July 2016
  • ...anks also issue and receive [[cash]] equivalents like checks, [[notes]], [[securities]] and [[loan]]s.<ref>{{cite web|url=http://www.investorwords.com/401/bank.h ...ks and credit cards, whose receivables it previously bundled into [[debt]] securities to sell into a [[credit market]] that has since dried up. AmEx also operate
    3 KB (379 words) - 14:01, 11 May 2017
  • ...lue LLC]], a New York-based [[asset management]] and financial information services company. The Dow Jones RBP Indexes are built upon patent-pending proprietar ...nt in: debt over [[market capitalization]], cash plus [[interest]]-bearing securities over market capitalization, and accounts receivables over market capitaliza
    2 KB (337 words) - 09:50, 28 July 2016
  • The HoChiMinh Stock Exchange (HSX), Vietnam's major [[securities]] trading [[exchange]], started in 2000 as nominally communist Vietnam's fi ...rg=HSX|date=March 16, 2009}}</ref> Currently the HSX trades 248 [[listed]] securities including 176 share listings, 68 [[bond]]s and four investment funds, all d
    4 KB (655 words) - 17:34, 19 December 2013
  • ...oadridge as vice president of sales, in securities and banking back office services.
    1 KB (192 words) - 00:39, 7 January 2014
  • == Products and Services == ...Clearing will perform post-trade clearing, risk management and settlement services for the exchange.
    4 KB (551 words) - 17:32, 8 April 2022
  • ...t-based assistance only. In the U.S. their activities are regulated by the Securities & Exchange Commission ([[SEC]]). ...re among the largest customers of online gaming casinos and regularly drop six-figure amounts in single sittings several years after Congress passed the U
    3 KB (362 words) - 08:29, 28 July 2016
  • ...as LLC, the brokerage operations of GETCO Execution Services LLC and GETCO Securities, LLC were first consolidated into Knight Capital Americas LLC (KCA), then O ...ldings sold its futures commission merchant, [[KCG Futures]], to [[Wedbush Securities Inc.]] <ref>{{cite web|url=http://finance.yahoo.com/news/kcg-completes-sale
    7 KB (984 words) - 17:04, 6 August 2021
  • ...of brokerage, [[clearing]] and clearing-related operational and technology services. <ref>{{cite web|url=http://online.wsj.com/article/SB1000142412788732423510 ...enson-charges-idUSL1N0O51W220140519|name=SEC says ex-Penson execs violated securities lending rule|org=Reuters|date=May 21, 2014}}</ref>
    10 KB (1,460 words) - 09:58, 28 July 2016
  • |job = Partner, Global Co-chair, Financial Services ...|org=LinkedIn|date=February 7, 2013}}</ref> He heads the firm's financial services practice and is a member the American Bar Association, the Chicago Bar Asso
    4 KB (603 words) - 02:24, 11 January 2022
  • == Products and Services == BX trades national-listed (Reg NMS) securities that are listed on [[NASDAQ]], the [[New York Stock Exchange]] (NYSE), [[NY
    3 KB (445 words) - 20:33, 14 September 2015
  • ...is an investment holding company incorporated in Mauritius. It operates a securities and derivatives market in Uganda and the East African region, called ALTX E ALTX launched with depository receipt securities issued on the treasury secondary market. In the medium term, ALTX will intr
    3 KB (510 words) - 13:43, 13 July 2016
  • The [[Securities and Exchange Board of India]] (SEBI) approval for the clearing corporation == Products and Services ==
    2 KB (211 words) - 17:35, 19 December 2013
  • | products = financial services ...management, asset management, insurance, banking and related products and services globally.<ref>{{cite web|url=http://www.ml.com/index.asp?id=7695_8134|name=
    11 KB (1,528 words) - 19:40, 26 February 2019
  • ...(It was previously owned by a consortium that included the [[International Securities Exchange]], [[Knight Capital Group]], Inc., [[Citadel]] Derivatives Group, ...esindustry.com/issues/19_53/22145-1.html|name=New Home for Direct Edge|org=Securities Industry News|date=April 25, 2008}}</ref> <ref>{{cite web|url=http://www.ad
    9 KB (1,240 words) - 23:21, 9 February 2021
  • .... He is responsible for leading the Index Investment Strategy, Index Data Services and Communications teams.<ref>{{cite web|url=http://www.johnlothiannews.com ...mmunications. He was also responsible for DJI’s relationships with global securities and derivatives exchanges.<ref>{{cite web|url=http://us.spindices.com/manag
    3 KB (349 words) - 22:02, 10 January 2022
  • | products = Regulation of U.S. securities firms ...e]] firms, about 174,000 branch offices and more than 672,000 [[registered securities representative]]s.
    12 KB (1,635 words) - 01:44, 24 July 2021
  • ...kets and exchange executive who is head of execution services at [[Citadel Securities]]. Before joining Citadel, he was global head of electronic equities at [[B ...he NYSE, NYSE Arca and NYSE Amex. His earlier career included roles at UBS Securities, Schwab Capital Markets, Knight Capital Group and Price Waterhouse. He join
    5 KB (628 words) - 02:45, 11 January 2022
  • ...tments]] and [[Penson]] Financial Services. It offers clearing and custody services for robo advisors, including Wealthfront and Betterment.<ref>{{cite web|url ...on-PEAK6-Apex-30673-1.html|name=Penson and PEAK6 to Form Apex Clearing|org=Securities Technology Monitor|date=July 27, 2012}}</ref> [[Peak6]] will provide [[capi
    3 KB (460 words) - 20:34, 7 February 2019
  • ...ry 2010 of around US$17 billion, similar in size to nearby Oman's [[Muscat Securities Market]]. The BSE has been approved for [[demutualization]] by mid-2010, gi .../singaporebusinessnews/view/391937/1/.html|name=SGX to provide consultancy services for Bahrain Stock Exchange|org=Channel News Asia|date=March 5, 2010}}</ref>
    6 KB (801 words) - 17:31, 11 April 2019
  • ...ki.com/mktreformwiki/index.php/Financial_Services_Authority U.K. Financial Services Authority]</div> ...</ref> He previously served as the chief executive of the UK's [[Financial Services Authority]] between 2007 and 2012.
    5 KB (708 words) - 21:55, 6 January 2014
  • ...e Futures Group, Inc.]], [[Price Asset Management, Inc.]], [[Uhlmann Price Securities, LLC]] and [[Beeland Management Company, LLC]].<ref>{{cite web|url=http://w ...es, now known as [[McGladrey LLP]]. There, she performed audit and [[tax]] services for [[nonprofit]], [[hedge fund]] and [[commodity pool]] clients.
    2 KB (347 words) - 17:14, 8 July 2015
  • He is former executive director of [[Nomura Securities International, Inc.]] Previous to joining Nomura, he was a lawyer and a mem ...January 2001, where he negotiated a joint regulatory structure with the [[Securities and Exchange Commission]] (SEC) for [[security futures]] and played a signi
    5 KB (682 words) - 21:13, 12 November 2019
  • ...orsed by the Financial Services Institute (FSI) and the Bank Insurance and Securities Association (BISA). ...ate=August 20, 2019}}</ref> He is a former president of Lincoln Financial Services.
    3 KB (372 words) - 18:08, 20 August 2019
  • |job = Global Chair of Financial Services and Co-Managing Partner Henry Bregstein is a partner and global co-chair of the financial services practice in [[Katten Muchin Rosenman LLP]]'s New York office.<ref>{{cite we
    2 KB (345 words) - 22:18, 1 February 2018
  • .... It offers professional market participants neutral, high speed brokerage services and [[trading]] software solutions. <ref>{{cite web|url=http://www.neonet.b ...0/00/00/00/00/16/2D/A0/wkr0001.pdf|name=Joacim Wiklander new CEO of Neonet Securities|org=ORC|date=September 6, 2011}}</ref>
    4 KB (556 words) - 08:39, 19 September 2016
  • ....S. Financial Services Authority]] with the powers now held by [[bank]], [[securities]] and [[commodities]] regulators.<ref>{{cite web|url=http://www.bloomberg.c == Products and Services ==
    5 KB (679 words) - 16:00, 25 October 2011

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