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  • |employer = Uhlmann Price Securities, LLC .../members_jbaer.htm |name=About Uhlmann Price Securities |org=Uhlmann Price Securities |date=January 13, 2008}}</ref>
    2 KB (220 words) - 00:55, 7 January 2014
  • ...ged trade executions, and cash management, among others. Most of the large brokers, such as [[Goldman Sachs]] and [[Morgan Stanley]], provide prime brokerage [[Category:Brokers]]
    451 bytes (58 words) - 18:00, 2 August 2019
  • | company_name = Uhlmann Price Securities, LLC | products = securities, alternative investments
    2 KB (271 words) - 08:14, 28 July 2016
  • |employer = Interactive Brokers Group, Inc. ...om/en/p.php?f=salesInfo&ib_entity=inst|name=Sales Contacts|org=Interactive Brokers|date=August 6, 2008}}</ref>
    2 KB (228 words) - 20:37, 15 May 2019
  • ...]. Stock exchanges also provide facilities for the issue and redemption of securities as well as other financial instruments and capital events including the pay
    420 bytes (55 words) - 19:33, 15 May 2019
  • ...[[futures]], [[options]] or listed [[securities]] on a contract market or securities exchange for any other person from the trading floor (or the [[pits]]) of a Floor brokers receive orders by paper order, by hand signals, over a computer or by phone
    940 bytes (146 words) - 20:13, 29 July 2011
  • May 8, 2006, BrownCo accounts were transferred to E*TRADE Securities. [[Category:Stock Brokers]]
    565 bytes (84 words) - 23:05, 24 October 2011
  • | 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
  • ...ucts are usually called sales loads or [[commission]] and are charged by [[brokers]] on almost all sales, either separately or combined. ...SEC Fee" — Section 31 Transaction Fees|org=SEC|date=June 26, 2008}}</ref> Brokers in turn shift the fee onto their customers.
    967 bytes (147 words) - 15:57, 21 December 2011
  • ...rn is the president of [[AAIM Advisors]] He has been an [[futures]] and [[securities]] broker specializing in natural resources and raw materials. He is an [[Ac ...Price Futures Group]] and a registered representative with [[Uhlmann Price Securities, LLC]]. He left Price and Uhlmann Price in November of 2013.
    2 KB (233 words) - 20:02, 10 February 2014
  • ...estor's state to conduct business or whether he/she has been sanctioned by securities regulators for violations of investment-related regulations or statutes. It ...d licensing database, as reported on industry registration/licensing forms brokers, brokerage firms and regulators complete.
    1 KB (188 words) - 23:18, 20 November 2014
  • ...Group]] offers access [[RTS Connectivity| Connectivity]] to the following brokers. * Lek Securities
    399 bytes (50 words) - 15:41, 29 August 2013
  • ...wered this charge by reducing their operating costs but even some low-cost brokers like Vanguard that offer 'no-load' mutual funds also charge a fee of $20-$7 ...te web|url=http://www.fool.com/investing/brokers/compare.aspx|name=Compare Brokers|org=Motley Fool|date=June 26, 2008}}</ref>
    2 KB (372 words) - 17:01, 23 January 2015
  • | company_name = Striker Securities, Inc. | linkedin = striker-securities
    3 KB (385 words) - 13:48, 21 August 2020
  • |employer = Rosenblatt Securities Inc. Richard Rosenblatt is the founder and chairman of the board of [[Rosenblatt Securities Inc.]] He founded the company in 1979. He is an executive governor of the [
    2 KB (310 words) - 15:08, 15 March 2022
  • ...America and president of the UK-based inter-dealer broker's First Brokers Securities subsidiary.<ref>{{cite web|url=http://www.icap.com/about-the-group/the-exec ...ory Trust & Clearing Corporation]] (DTCC) and served on the board of the [[Securities Industry and Financial Markets Association]] and as an executive director o
    854 bytes (117 words) - 18:57, 8 January 2014
  • ...ities Exchange Act of 1934 is the Act through which Congress created the [[Securities and Exchange Commission]] (SEC). President Franklin D. Roosevelt appointed ...://www.wdfi.org/fi/securities/regexemp/history.htm|name=A Brief History of Securities Regulation|org=State of Wisconsin Department of Financial Institutions|date
    2 KB (270 words) - 22:21, 1 February 2018
  • ...iba.com/association/board.aspx|name=Board Members|org=National Introducing Brokers Association|date=July 21, 2009}}</ref>. * Securities Litigation
    2 KB (266 words) - 17:53, 31 December 2013
  • Frederick G. Uhlmann is a retired futures and securities broker and former Chairman of the [[Chicago Board of Trade]]. He was founding member and senior [[portfolio]] manager with [[Uhlmann Price Securities, LLC]], a one-time [[FINRA]]-registered [[broker-dealer]].
    2 KB (331 words) - 17:58, 5 November 2019
  • In the U.S., blue sky laws are the states' securities laws and rules designed to prevent investment [[fraud]]. The origin of the ...ate to state, but they require registration of securities offerings and of brokers and brokerage firms. Each state has a regulatory agency which administers t
    930 bytes (154 words) - 21:16, 29 July 2011

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