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  • Clearing firms are independent intermediaries that specialize in clearing trades through a In [[securities]], clearing firms manage the back-office details of securities transactions between broker-dealers.
    2 KB (248 words) - 22:00, 2 January 2014
  • ...tandard & Poor's, a division of the McGraw-Hill Companies that covered the securities and futures industries from 1973 to December 2005, when it ceased publishin ...at interact with U.S. markets and the entry of foreign banks or securities firms into the U.S. markets. <ref> LexisNexis http://w3.nexis.com/sources/scripts
    1 KB (162 words) - 22:17, 29 October 2018
  • ...been registered with FINRA within the previous two years as well as about firms who are currently or in the past have been registered with FINRA. ...e, as reported on industry registration/licensing forms brokers, brokerage firms and regulators complete.
    1 KB (188 words) - 23:18, 20 November 2014
  • ...erged with the [[Securities Industry Association]] in 2005 to become the [[Securities Industry and Financial Markets Association]] (SIFMA). ...velopment of new products and services, and create efficiencies for member firms, while preserving and enhancing the public’s trust and confidence in the
    2 KB (224 words) - 20:41, 29 July 2011
  • | org_name = The Swedish Securities Dealers Association | products = Promotes the common interests of its member firms in regard to regulatory market and infrastructure-related issues
    2 KB (220 words) - 08:30, 28 July 2016
  • | 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
  • | 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 = China Securities Regulatory Commission | products = Chinese securities markets regulator
    5 KB (745 words) - 02:23, 20 February 2022
  • The firm derives its profits from the market rather than from commissions. Firms that engage in proprietary trading believe that they have a competitive adv == Proprietary Trading Firms ==
    3 KB (336 words) - 17:59, 2 August 2019
  • | org_name = National Association of Securities Dealers (see [[FINRA]]) ...rganization]] (SRO) responsible for the regulation of its industry, with [[Securities and Exchange Commission]] (SEC) oversight.
    2 KB (278 words) - 20:08, 12 May 2014
  • |employer = Southwest Securities, Inc. ...rities]] transactions for correspondent [[brokerage]] firms and provides [[securities]] [[brokerage]], [[investment banking]], commercial banking and other finan
    2 KB (327 words) - 16:20, 6 January 2014
  • ...[securities]] for use in managing [[portfolio]]s. In other words, they are firms that are not dealer banks.<ref>{{cite web|url=http://www.foxbusiness.com/ne
    1 KB (144 words) - 22:58, 8 December 2021
  • | 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
  • ...ony, and policy recommendations for government authorities and leading law firms and corporations.<ref>{{cite web|url=http://www.nera.com/AboutOurFirm.asp|n [[Category:Consulting Firms]]
    880 bytes (116 words) - 14:26, 2 June 2017
  • ...tee]] on December 2, 2009 to put an end to [[“too big to fail”]] financial firms, and help prevent the failure of such institutions from becoming a systemic .../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
  • | company_name = BNP Paribas Securities Services BNP Paribas Securities Services is a provider of securities services and investment operations solutions to issuers, financial institut
    1 KB (204 words) - 17:27, 24 October 2011
  • | org_name = Japan Securities Dealers Association ...Acts as a regulator and promoter of the development of the Japanese securities market
    2 KB (306 words) - 16:22, 29 September 2011
  • ...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
  • ...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
  • | 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

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