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Google Keyword Rankings for : carry broker definition
1
Carrying Broker - Financial Dictionary
https://financial-dictionary.thefreedictionary.com/Carrying+Broker
1. A member of a commodity exchange who provides clearing services for other members or brokers. A carrying broker does this in addition to his/her other duties ...
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https://financial-dictionary.thefreedictionary.com/Carrying+Broker
1. A member of a commodity exchange who provides clearing services for other members or brokers. A carrying broker does this in addition to his/her other duties ...
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2
Carrying Broker - Definition and Meaning | RJO Futures
https://rjofutures.rjobrien.com/futures-trading-resources/glossary/carrying-broker
A member of a futures exchange (usually a clearinghouse member) through which another firm, broker, or customer chooses to clear all or some trades. × Inflation ...
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https://rjofutures.rjobrien.com/futures-trading-resources/glossary/carrying-broker
A member of a futures exchange (usually a clearinghouse member) through which another firm, broker, or customer chooses to clear all or some trades. × Inflation ...
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3
Carrying Broker Definition - Law Insider
https://www.lawinsider.com/dictionary/carrying-broker
Commodity Broker means any person who engages in the business of effecting transactions in Commodity Contracts for the account of others or for his or her own ...
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https://www.lawinsider.com/dictionary/carrying-broker
Commodity Broker means any person who engages in the business of effecting transactions in Commodity Contracts for the account of others or for his or her own ...
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4
What Does a Carrying Broker Do? - Practical Adult Insights
https://www.practicaladultinsights.com/what-does-a-carrying-broker-do.htm
A carrying broker is a type of facility that handles transactions on behalf of another broker in exchange for a service fee...
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https://www.practicaladultinsights.com/what-does-a-carrying-broker-do.htm
A carrying broker is a type of facility that handles transactions on behalf of another broker in exchange for a service fee...
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5
what to consider when choosing a carrying broker - TD Bank
https://www.td.com/ca/document/PDF/about/becomingamember/documents/tdw-about-becomingamember-documents-choosingcarryingbroker-en.pdf
(Sample agreements and definitions are available on IIROC's website). ... the Carrying Broker assumes initial capital responsibility for these accounts ...
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https://www.td.com/ca/document/PDF/about/becomingamember/documents/tdw-about-becomingamember-documents-choosingcarryingbroker-en.pdf
(Sample agreements and definitions are available on IIROC's website). ... the Carrying Broker assumes initial capital responsibility for these accounts ...
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6
Clearing Firms FAQ | FINRA.org
https://www.finra.org/arbitration-mediation/overview/additional-resources/faq/clearing-firms
When you open an account with a brokerage firm that is a clearing or "carrying" firm, the firm not only handles your orders to buy and sell securities, ...
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https://www.finra.org/arbitration-mediation/overview/additional-resources/faq/clearing-firms
When you open an account with a brokerage firm that is a clearing or "carrying" firm, the firm not only handles your orders to buy and sell securities, ...
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7
Carrying Broker Definition - Shmoop
https://www.shmoop.com/finance-glossary/carrying-broker.html
Carrying brokers are brokers, or even brokerage firms, that tend to operate in the back, carrying out tasks for deals other brokers make.
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https://www.shmoop.com/finance-glossary/carrying-broker.html
Carrying brokers are brokers, or even brokerage firms, that tend to operate in the back, carrying out tasks for deals other brokers make.
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8
Introducing / Carrying Broker Relationship - IIROC
https://www.iiroc.ca/introducing-carrying-broker-relationship
Introducing / Carrying arrangements are entered into to allow a Member (the "introducing" broker) to use the back office facilities of another Member (the " ...
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https://www.iiroc.ca/introducing-carrying-broker-relationship
Introducing / Carrying arrangements are entered into to allow a Member (the "introducing" broker) to use the back office facilities of another Member (the " ...
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9
Carrying Broker-dealer - Definition SIE
https://solomonexamprep.com/content-gl/2071/28/carrying-broker-dealer
a broker-dealer authorized to clear customer transactions, carry customer accounts, and keep custody of customers' funds and securities for itself and other ...
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https://solomonexamprep.com/content-gl/2071/28/carrying-broker-dealer
a broker-dealer authorized to clear customer transactions, carry customer accounts, and keep custody of customers' funds and securities for itself and other ...
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10
Carrying Broker :: Legal Dictionary - Justia
https://www.justia.com/dictionary/carrying-broker/
Carrying Broker. An exchange member firm, usually a Futures Commission Merchant, through whom another broker or customer elects to clear all ...
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https://www.justia.com/dictionary/carrying-broker/
Carrying Broker. An exchange member firm, usually a Futures Commission Merchant, through whom another broker or customer elects to clear all ...
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11
FORM CUSTODY For Broker-Dealers - SEC.gov
https://www.sec.gov/files/formcustody.pdf
4. “Dealer” has the same meaning as in 15 U.S.C. 78c(a)(5). 5. “Carrying broker-dealer” means a ...
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https://www.sec.gov/files/formcustody.pdf
4. “Dealer” has the same meaning as in 15 U.S.C. 78c(a)(5). 5. “Carrying broker-dealer” means a ...
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12
Introducing Broker Meaning & Definition - Securities CE
https://securitiesce.com/definitions/5764-introducing-broker/
Many broker dealer do not self clear or carry customer accounts. Carrying customer accounts and clearing customer trades requires a large amount of ...
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https://securitiesce.com/definitions/5764-introducing-broker/
Many broker dealer do not self clear or carry customer accounts. Carrying customer accounts and clearing customer trades requires a large amount of ...
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13
what to consider when choosing a carrying broker | iiac
https://iiac.ca/wp-content/uploads/What-to-Consider-When-Choosing-A-Carrying-Broker.pdf
There are 4 types of contractual relationships possible in an introducing/carrying relationship (Sample agreements and definitions are available on the IDA's ...
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https://iiac.ca/wp-content/uploads/What-to-Consider-When-Choosing-A-Carrying-Broker.pdf
There are 4 types of contractual relationships possible in an introducing/carrying relationship (Sample agreements and definitions are available on the IDA's ...
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14
Evolution of Introducing Broker/Carrying Broker Rules Type 1 ...
http://accvm.ca/wp-content/themes/IIAC/resources/4166/original/CFO%20textbook%20-%20chapter%2013%20update%20-%2022March11%20Handout%20(IBCB%20Arrangements).pdf
Carrying brokers are securities firms that offer back office services and ... Before July 1997, IIROC Rule 35 defined a distinct category of membership in.
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http://accvm.ca/wp-content/themes/IIAC/resources/4166/original/CFO%20textbook%20-%20chapter%2013%20update%20-%2022March11%20Handout%20(IBCB%20Arrangements).pdf
Carrying brokers are securities firms that offer back office services and ... Before July 1997, IIROC Rule 35 defined a distinct category of membership in.
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15
* Carrying broker (Stock market) - Definition - Lexicon & Encyclopedia
https://en.mimi.hu/stockmarket/carrying_broker.html
Carrying broker - Topic:Stock market - Lexicon & Encyclopedia - What is what? Everything you always wanted to know.
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https://en.mimi.hu/stockmarket/carrying_broker.html
Carrying broker - Topic:Stock market - Lexicon & Encyclopedia - What is what? Everything you always wanted to know.
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16
Definition: broker from 15 USC § 78c(a)(4) - Law.Cornell.Edu
https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=15-USC-1380616231-482320175&term_occur=999&term_src=
(4) Broker.— (A) In general .— The term “broker” means any person engaged in the business of effecting transactions in securities for the account of others.
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https://www.law.cornell.edu/definitions/uscode.php?width=840&height=800&iframe=true&def_id=15-USC-1380616231-482320175&term_occur=999&term_src=
(4) Broker.— (A) In general .— The term “broker” means any person engaged in the business of effecting transactions in securities for the account of others.
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17
What is a Carrying Broker? - RGF Integrated Wealth Articles
https://www.rgfwealth.com/articles/detail/view/what-is-a-carrying-broker
So, what exactly does a Carrying Broker or, as it's often called, a Carrying Dealer, do? A Carrying Broker provides back office functions such ...
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https://www.rgfwealth.com/articles/detail/view/what-is-a-carrying-broker
So, what exactly does a Carrying Broker or, as it's often called, a Carrying Dealer, do? A Carrying Broker provides back office functions such ...
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18
CFTC Glossary | CFTC
https://www.cftc.gov/LearnAndProtect/EducationCenter/CFTCGlossary/glossary_g.html
The broker accepting the order from the customer collects a fee from the carrying broker for the use of the facilities. Often used to consolidate many small ...
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https://www.cftc.gov/LearnAndProtect/EducationCenter/CFTCGlossary/glossary_g.html
The broker accepting the order from the customer collects a fee from the carrying broker for the use of the facilities. Often used to consolidate many small ...
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19
Clearing Arrangements for Introducing Broker-Dealers
https://www.lawrencekaminlaw.com/wp-content/uploads/2018/07/2010-Broker-Dealer-Regulation.pdf
also may be carried, but introducing broker proprietary transactions ... “business reduction” and “prohibition on expansion” are defined in the Rule.
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https://www.lawrencekaminlaw.com/wp-content/uploads/2018/07/2010-Broker-Dealer-Regulation.pdf
also may be carried, but introducing broker proprietary transactions ... “business reduction” and “prohibition on expansion” are defined in the Rule.
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20
Carrying Broker: Meaning And Definition - LikeForex.com
https://www.likeforex.com/glossary/w/carrying-broker-23891
carrying broker meaning and definition in investing and trading, brokerages, A broker, usually a futures commission merchant, who conducts transactions for ...
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https://www.likeforex.com/glossary/w/carrying-broker-23891
carrying broker meaning and definition in investing and trading, brokerages, A broker, usually a futures commission merchant, who conducts transactions for ...
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21
Broker-Dealer Concepts Regulation of Non-U.S. Broker ...
https://prfirmpwwwcdn0001.azureedge.net/prfirmstgacctpwwwcdncont0001/uploads/e449c3c05b57741311b79e351c50b4a0.pdf
In such an arrangement, the carrying firm would also hold any customer funds and securities following the trade date. With respect to the registered broker- ...
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https://prfirmpwwwcdn0001.azureedge.net/prfirmstgacctpwwwcdncont0001/uploads/e449c3c05b57741311b79e351c50b4a0.pdf
In such an arrangement, the carrying firm would also hold any customer funds and securities following the trade date. With respect to the registered broker- ...
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22
Customer - FIA Documentation
https://www.fiadocumentation.org/fia/attachment_dw.action?attkey=FRbANEucS95NMLRN47z%2BeeOgEFCt8EGQJsWJiCH2WAVTMsHbzvCk5kPiV7f4S9oR&nav=FRbANEucS95NMLRN47z%2BeeOgEFCt8EGQ2r3qtn6CZtU%3D&attdocparam=pB7HEsg%2FZ312Bk8OIuOIH1c%2BY4beLEAevmYZyWo%2FP%2BI%3D&fromContentView=1
The non-LME Clearing Broker is then defined in the Agreement as the Carrying Broker. LME Executing Member: This term is used to define the member of the LME ...
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https://www.fiadocumentation.org/fia/attachment_dw.action?attkey=FRbANEucS95NMLRN47z%2BeeOgEFCt8EGQJsWJiCH2WAVTMsHbzvCk5kPiV7f4S9oR&nav=FRbANEucS95NMLRN47z%2BeeOgEFCt8EGQ2r3qtn6CZtU%3D&attdocparam=pB7HEsg%2FZ312Bk8OIuOIH1c%2BY4beLEAevmYZyWo%2FP%2BI%3D&fromContentView=1
The non-LME Clearing Broker is then defined in the Agreement as the Carrying Broker. LME Executing Member: This term is used to define the member of the LME ...
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23
Accounts and Services Agreement and Disclosures
https://www.paradigmcap.com/nbin-account-and-services-agreements-and-disclosures
“Carrying Broker”) and the Introducing Broker as defined in the Client Account Application Form attached (collectively, the “Brokers”) agreeing to.
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https://www.paradigmcap.com/nbin-account-and-services-agreements-and-disclosures
“Carrying Broker”) and the Introducing Broker as defined in the Client Account Application Form attached (collectively, the “Brokers”) agreeing to.
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24
Self Clearing Broker Dealers - The Complete Guide
https://centerpointsecurities.com/self-clearing-broker/
Brokers are the conduit which enables customers to access the stock markets and place trades. Once that buy or sell button is hit and the trade is executed, the ...
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https://centerpointsecurities.com/self-clearing-broker/
Brokers are the conduit which enables customers to access the stock markets and place trades. Once that buy or sell button is hit and the trade is executed, the ...
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25
SEC and FINRA Staffs Jointly Address Broker-Dealer Custody ...
https://www.dechert.com/knowledge/onpoint/2019/8/sec-and-finra-staffs-jointly-address-broker-dealer-custody-of-di.html
5 This means that a carrying broker-dealer must hold these ... However, these protections are applicable only to “securities” as defined in ...
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https://www.dechert.com/knowledge/onpoint/2019/8/sec-and-finra-staffs-jointly-address-broker-dealer-custody-of-di.html
5 This means that a carrying broker-dealer must hold these ... However, these protections are applicable only to “securities” as defined in ...
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26
Introducing Broker (IB) Members | NFA
https://www.nfa.futures.org/members/ib/index.html
An introducing broker (IB) is an individual or organization that solicits or accepts orders to buy or sell futures contracts, forex, commodity options, ...
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https://www.nfa.futures.org/members/ib/index.html
An introducing broker (IB) is an individual or organization that solicits or accepts orders to buy or sell futures contracts, forex, commodity options, ...
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27
Broker Dealer - Explained - The Business Professor, LLC
https://thebusinessprofessor.com/investments-trading-financial-markets/broker-dealer-definition
A broker-dealer is a person or a company buying and selling securities for their account or their customers. In US securities regulation ...
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https://thebusinessprofessor.com/investments-trading-financial-markets/broker-dealer-definition
A broker-dealer is a person or a company buying and selling securities for their account or their customers. In US securities regulation ...
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28
SEC Adopts Final Amendments to Broker-Dealers Rules
https://www.goodwinlaw.com/~/media/Files/Publications/Attorney%20Articles/2013/SEC%20Adopts%20Amendments%20To%20BD%20Rules.pdf
The Final Amendments define insolvent to mean that the broker: ―(i) is the ... A carrying broker-dealer that carries accounts holding proprietary securities ...
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https://www.goodwinlaw.com/~/media/Files/Publications/Attorney%20Articles/2013/SEC%20Adopts%20Amendments%20To%20BD%20Rules.pdf
The Final Amendments define insolvent to mean that the broker: ―(i) is the ... A carrying broker-dealer that carries accounts holding proprietary securities ...
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29
SIE - 1.1 Questions Flashcards - Quizlet
https://quizlet.com/415864179/sie-11-questions-flash-cards/
Carrying firms, or clearing broker-dealers, can execute trades, clear and settle transactions, take custody of customer funds and securities, and handle all ...
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https://quizlet.com/415864179/sie-11-questions-flash-cards/
Carrying firms, or clearing broker-dealers, can execute trades, clear and settle transactions, take custody of customer funds and securities, and handle all ...
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30
17 CFR 240.15c3-1 -- Net capital requirements for brokers or ...
https://www.ecfr.gov/current/title-17/chapter-II/part-240/subject-group-ECFRc8401dcba174f73/section-240.15c3-1
A broker or dealer shall be deemed to hold securities for, or to carry ... of such broker's or dealer's net capital as defined in paragraph (c)(2) of this ...
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https://www.ecfr.gov/current/title-17/chapter-II/part-240/subject-group-ECFRc8401dcba174f73/section-240.15c3-1
A broker or dealer shall be deemed to hold securities for, or to carry ... of such broker's or dealer's net capital as defined in paragraph (c)(2) of this ...
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31
Futures Brokerage Activities and Futures Commission ...
https://www.federalreserve.gov/boarddocs/supmanual/trading/3000p3.pdf
holding company, as defined in sections 225.2(r) ... enters into its own carrying-broker relationship ... performance of a carrying broker.
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https://www.federalreserve.gov/boarddocs/supmanual/trading/3000p3.pdf
holding company, as defined in sections 225.2(r) ... enters into its own carrying-broker relationship ... performance of a carrying broker.
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32
SEC Amends Financial Responsibility Rules for Broker-Dealers
https://www.jdsupra.com/post/contentViewerEmbed.aspx?fid=f3b1e3b5-262f-465b-994f-665cf28381b8
If a PAB Account holder objects to the use of non-margin securities in the carrying broker-dealer's course of business, the broker-dealer must maintain ...
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https://www.jdsupra.com/post/contentViewerEmbed.aspx?fid=f3b1e3b5-262f-465b-994f-665cf28381b8
If a PAB Account holder objects to the use of non-margin securities in the carrying broker-dealer's course of business, the broker-dealer must maintain ...
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33
Brokerage - Overview, Functions, and Specializations
https://corporatefinanceinstitute.com/resources/commercial-lending/brokerage/
A brokerage provides intermediary services in various areas, e.g., investing, obtaining a loan, or purchasing real estate. A broker is an ...
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https://corporatefinanceinstitute.com/resources/commercial-lending/brokerage/
A brokerage provides intermediary services in various areas, e.g., investing, obtaining a loan, or purchasing real estate. A broker is an ...
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34
Constraints on Broker-Dealers Operating Outside Their Home ...
https://scholarship.law.upenn.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=1335&context=jil
"Is not the U.S. broker-dealer, through an agent, already carrying ... The term "security" is narrowly construed as meaning shares, debentures.
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https://scholarship.law.upenn.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=1335&context=jil
"Is not the U.S. broker-dealer, through an agent, already carrying ... The term "security" is narrowly construed as meaning shares, debentures.
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35
Introducing and Carrying Broker Deposit Industry Best Practices
https://www.cdic.ca/wp-content/uploads/BDAG-Introducing-and-carrying-broker-deposit-industry-best-practices-operationalizing-LEI.pdf
1.2 CDIC Act Amendments: Impact on Carrying Broker as Nominee Depositor (Current ... Introducing broker “DEF” is registered under LEI ...
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https://www.cdic.ca/wp-content/uploads/BDAG-Introducing-and-carrying-broker-deposit-industry-best-practices-operationalizing-LEI.pdf
1.2 CDIC Act Amendments: Impact on Carrying Broker as Nominee Depositor (Current ... Introducing broker “DEF” is registered under LEI ...
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36
Updates to Broker-Dealer Financial Reporting Rule FAQs
https://www.berrydunn.com/news-detail/the-sec-updates-its-broker-dealer-financial-reporting-rule-faqs
However, to qualify, the broker-dealer cannot carry margin accounts, must promptly transmit all customer funds and deliver all securities ...
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https://www.berrydunn.com/news-detail/the-sec-updates-its-broker-dealer-financial-reporting-rule-faqs
However, to qualify, the broker-dealer cannot carry margin accounts, must promptly transmit all customer funds and deliver all securities ...
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37
Overview of U.S. Securities Laws Applicable to Broker-Dealers
https://www.tarterkrinsky.com/publications/overview-of-us-securities-laws-applicable-to-broker-dealers
Most broker-dealers, with the exception of members of a national securities exchange that carry no customer accounts and transact virtually ...
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https://www.tarterkrinsky.com/publications/overview-of-us-securities-laws-applicable-to-broker-dealers
Most broker-dealers, with the exception of members of a national securities exchange that carry no customer accounts and transact virtually ...
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38
Bank - Broker “Push Out” Rules: - K&L Gates
https://www.klgates.com/files/Publication/1cc79b8f-e287-4f96-8407-608805f5e73c/Presentation/PublicationAttachment/8ee134c0-21d9-4c80-b805-6eba5e2159ef/IM_White_Paper_Jan_08.pdf
exclusion from the definition of a “broker” until January 1, 2009.3 ... securities activities carried on pursuant to other applicable statutory exceptions.
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https://www.klgates.com/files/Publication/1cc79b8f-e287-4f96-8407-608805f5e73c/Presentation/PublicationAttachment/8ee134c0-21d9-4c80-b805-6eba5e2159ef/IM_White_Paper_Jan_08.pdf
exclusion from the definition of a “broker” until January 1, 2009.3 ... securities activities carried on pursuant to other applicable statutory exceptions.
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39
New Broker Dealer Financial Responsibility and Financial ...
https://www.sewkis.com/publications/new-broker-dealer-financial-responsibility-and-financial-reporting-rules/
Prior to the recent amendments, under Rule 15c3-3, a broker-dealer did not fall within the definition of a customer, meaning that a carrying ...
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https://www.sewkis.com/publications/new-broker-dealer-financial-responsibility-and-financial-reporting-rules/
Prior to the recent amendments, under Rule 15c3-3, a broker-dealer did not fall within the definition of a customer, meaning that a carrying ...
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40
title 6 - Delaware Code Online
https://delcode.delaware.gov/title6/c073/sc01/index.html
(3) “Broker-dealer” means any person engaged in the business of effecting transactions in securities for the account of others or for the broker-dealer's own ...
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https://delcode.delaware.gov/title6/c073/sc01/index.html
(3) “Broker-dealer” means any person engaged in the business of effecting transactions in securities for the account of others or for the broker-dealer's own ...
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41
Distribution and broker-dealer Legal Advice
https://www.eversheds-sutherland.com/global/en/what/practices/financial-law/distribution-and-broker-dealer.page
Broker-dealers and financial institutions that carry out broker-dealer activities, including investment managers, advisers and insurers, ...
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https://www.eversheds-sutherland.com/global/en/what/practices/financial-law/distribution-and-broker-dealer.page
Broker-dealers and financial institutions that carry out broker-dealer activities, including investment managers, advisers and insurers, ...
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42
Carrying Broker - Forex Definition - Forexpedia
http://www.forexpedia.org/glossary/view/carrying_broker
Commodities or securities broker who offers back office functions including clearing, custodial, and settlement services to customers or other brokers. It ...
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http://www.forexpedia.org/glossary/view/carrying_broker
Commodities or securities broker who offers back office functions including clearing, custodial, and settlement services to customers or other brokers. It ...
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43
PCAOB Standards for Small Firm Broker-Dealer Auditors
https://pcaobus.org/News/Events/Documents/01142015_Webinar/BD_Standards_Webinar_Slides.pdf
Carrying broker-dealer (as defined in SEC Release. No. 34-70073) that has custody of customer assets to file a new Compliance Report, ...
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https://pcaobus.org/News/Events/Documents/01142015_Webinar/BD_Standards_Webinar_Slides.pdf
Carrying broker-dealer (as defined in SEC Release. No. 34-70073) that has custody of customer assets to file a new Compliance Report, ...
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44
11 Types of Brokering Services | Clutch.co
https://clutch.co/resources/financial-services/brokering-services
1. Stocks ... A stock brokerage or stockbroker is an intermediary who specializes in carrying out buy and sell orders on stock or commodities ...
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https://clutch.co/resources/financial-services/brokering-services
1. Stocks ... A stock brokerage or stockbroker is an intermediary who specializes in carrying out buy and sell orders on stock or commodities ...
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45
SEC and FINRA Issue Guidance on How to Characterize ...
https://www.sidley.com/en/insights/newsupdates/2020/07/sec-and-finra-issue-guidance-on-how-to-characterize-certain-broker-dealers
Such a characterization was predicated on the fact that such a broker-dealer does not carry customer accounts or otherwise receive or hold ...
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https://www.sidley.com/en/insights/newsupdates/2020/07/sec-and-finra-issue-guidance-on-how-to-characterize-certain-broker-dealers
Such a characterization was predicated on the fact that such a broker-dealer does not carry customer accounts or otherwise receive or hold ...
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46
BROKER-DEALER REGISTRATION PACKET (NON-FINRA ...
https://www.dobs.pa.gov/Documents/DoBS%20Forms/Securities%20Forms/Form_Broker-DealerRegistrationPacket_Non-FINRA.pdf
(iii) A bank which meets the exceptions from the definition of “broker” under ... or without consideration, into a stock or similar security, or carrying a.
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https://www.dobs.pa.gov/Documents/DoBS%20Forms/Securities%20Forms/Form_Broker-DealerRegistrationPacket_Non-FINRA.pdf
(iii) A bank which meets the exceptions from the definition of “broker” under ... or without consideration, into a stock or similar security, or carrying a.
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47
Introducing Brokers Guidance_FINAL 508.pdf - FinCEN
https://www.fincen.gov/sites/default/files/2019-07/Introducing%20Brokers%20Guidance_FINAL%20508.pdf
An Introducing Broker in commodities is defined in both the CIP Rule3 ... Traditional IBs “introduce” their customers to FCMs that carry ...
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https://www.fincen.gov/sites/default/files/2019-07/Introducing%20Brokers%20Guidance_FINAL%20508.pdf
An Introducing Broker in commodities is defined in both the CIP Rule3 ... Traditional IBs “introduce” their customers to FCMs that carry ...
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48
Types of Brokerage Accounts | Charles Schwab
https://www.schwab.com/brokerage/types-of-brokerage-accounts
Individual brokerage account. An individual brokerage account has the name of one, and only one, account owner attached. · Joint brokerage account. A joint ...
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https://www.schwab.com/brokerage/types-of-brokerage-accounts
Individual brokerage account. An individual brokerage account has the name of one, and only one, account owner attached. · Joint brokerage account. A joint ...
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49
NRS: CHAPTER 645 - REAL ESTATE BROKERS AND ...
https://www.leg.state.nv.us/nrs/nrs-645.html
NRS 645.009 “Client” defined. “Client” means a person who has entered into a brokerage agreement with a broker or a property management agreement with a broker.
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https://www.leg.state.nv.us/nrs/nrs-645.html
NRS 645.009 “Client” defined. “Client” means a person who has entered into a brokerage agreement with a broker or a property management agreement with a broker.
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50
4 CCR 725-1 - Code of Colorado Regulations
https://www.sos.state.co.us/CCR/GenerateRulePdf.do?ruleVersionId=8900&fileName=4%20CCR%20725-1
Designated Broker: Has the same meaning pursuant to section 12-10-402(3), C.R.S. ... For Brokerage Firms with independently carried firm coverage, all the.
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https://www.sos.state.co.us/CCR/GenerateRulePdf.do?ruleVersionId=8900&fileName=4%20CCR%20725-1
Designated Broker: Has the same meaning pursuant to section 12-10-402(3), C.R.S. ... For Brokerage Firms with independently carried firm coverage, all the.
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51
Glossary - CME Group
https://www.cmegroup.com/education/glossary.html
A contract or unit of trading. Originally, one contract, or "car," was the quantity of a commodity that would fill a railroad car. See also lot. Carrying Charge.
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https://www.cmegroup.com/education/glossary.html
A contract or unit of trading. Originally, one contract, or "car," was the quantity of a commodity that would fill a railroad car. See also lot. Carrying Charge.
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52
[Solved] The difference between a broker and a dealer is A ...
https://www.studocu.com/en-us/messages/question/2732910/the-difference-between-a-broker-and-a-dealer-isa-dealers-sell-drugs-brokers-sell-housesb
B. Brokers bring together buyers and sellers, but carry no inventory. Dealers stand ready to buy and sell from their inventory. C. Brokers transact in stocks ...
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https://www.studocu.com/en-us/messages/question/2732910/the-difference-between-a-broker-and-a-dealer-isa-dealers-sell-drugs-brokers-sell-housesb
B. Brokers bring together buyers and sellers, but carry no inventory. Dealers stand ready to buy and sell from their inventory. C. Brokers transact in stocks ...
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53
Financial Responsibility Rules for Broker-Dealers
https://www.federalregister.gov/documents/2013/08/21/2013-18734/financial-responsibility-rules-for-broker-dealers
The second step is that a carrying broker-dealer must maintain a reserve of cash or qualified securities in an account at a bank that is at ...
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https://www.federalregister.gov/documents/2013/08/21/2013-18734/financial-responsibility-rules-for-broker-dealers
The second step is that a carrying broker-dealer must maintain a reserve of cash or qualified securities in an account at a bank that is at ...
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54
Code of Laws - Title 40 - South Carolina Legislature
https://www.scstatehouse.gov/code/t40c057.php
A real estate brokerage firm is the agent of a buyer, seller, landlord, ... estate brokerage firm represents the buyer in an agency capacity as defined in ...
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https://www.scstatehouse.gov/code/t40c057.php
A real estate brokerage firm is the agent of a buyer, seller, landlord, ... estate brokerage firm represents the buyer in an agency capacity as defined in ...
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55
Commission Proposes Regulation B to Govern Broker ...
https://www.willkie.com/-/media/files/publications/2004/07/commission-proposes-regulation-b-to-govern-broke__/files/regulationbpdf/fileattachment/regulation_b.pdf
the bank exceptions from the definition of “broker” in the Securities Exchange Act of 1934 (the ... (e) THE BANK DOES NOT CARRY CUSTOMER.
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https://www.willkie.com/-/media/files/publications/2004/07/commission-proposes-regulation-b-to-govern-broke__/files/regulationbpdf/fileattachment/regulation_b.pdf
the bank exceptions from the definition of “broker” in the Securities Exchange Act of 1934 (the ... (e) THE BANK DOES NOT CARRY CUSTOMER.
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56
HAWAII ADMINISTRATIVE RULES Chapter 16-99 Real estate ...
https://cca.hawaii.gov/pvl/files/2013/08/99-C.pdf
estate transaction as defined in section 16-99-3.1 to the listing broker who ... be carried forward to satisfy the continuing education requirements for any.
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https://cca.hawaii.gov/pvl/files/2013/08/99-C.pdf
estate transaction as defined in section 16-99-3.1 to the listing broker who ... be carried forward to satisfy the continuing education requirements for any.
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57
illustrative-exemption-reports-examples-final-01-10-21.pdf
https://us.aicpa.org/content/dam/aicpa/interestareas/frc/industryinsights/downloadabledocuments/brd/illustrative-exemption-reports-examples-final-01-10-21.pdf
[Name of Company] (the “Company”) is a registered broker-dealer subject to ... (3) did not carry PAB accounts (as defined in Rule 15c3-3) throughout the ...
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https://us.aicpa.org/content/dam/aicpa/interestareas/frc/industryinsights/downloadabledocuments/brd/illustrative-exemption-reports-examples-final-01-10-21.pdf
[Name of Company] (the “Company”) is a registered broker-dealer subject to ... (3) did not carry PAB accounts (as defined in Rule 15c3-3) throughout the ...
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58
SEC Footnote 74 Provides Alternative for Broker-Dealers Who ...
https://www.acisecure.com/sec-footnote-74-provides-alternative-for-broker-dealers-who-dont-hold-customer-funds/
Didn't carry broker-dealer proprietary accounts as defined in Exchange Act Rule 15c3-3. Also, a Non-Covered Firm should no longer indicate in ...
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https://www.acisecure.com/sec-footnote-74-provides-alternative-for-broker-dealers-who-dont-hold-customer-funds/
Didn't carry broker-dealer proprietary accounts as defined in Exchange Act Rule 15c3-3. Also, a Non-Covered Firm should no longer indicate in ...
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59
Global Exchange Traded Services - Wells Fargo
https://www.wellsfargo.com/cib/institutional-investing/global-exchange-traded-services/
... 'High-touch' voice brokerage for futures and options; Customized clearing ... either through direct memberships or through third-party carrying brokers.
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https://www.wellsfargo.com/cib/institutional-investing/global-exchange-traded-services/
... 'High-touch' voice brokerage for futures and options; Customized clearing ... either through direct memberships or through third-party carrying brokers.
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60
Regulation R Guidance The Gramm-Leach-Bliley Act (GLBA ...
https://dlr.sd.gov/banking/trusts/documents/regulation_r%20_guidance.pdf
without registering as a broker-dealer with the SEC but limits those activities to certain broker exceptions as defined under Section 3(a)(4)(B) of the ...
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https://dlr.sd.gov/banking/trusts/documents/regulation_r%20_guidance.pdf
without registering as a broker-dealer with the SEC but limits those activities to certain broker exceptions as defined under Section 3(a)(4)(B) of the ...
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61
Registration Information - NM RLD
https://www.rld.nm.gov/securities-division/firms-industry-professionals/broker-dealers-and-sales-reps/registration-packet/
This individual must be registered in the state. 2. Filing Fees (submitted through FINRA):. a. $300 for broker-dealer firm registration. b. $ 50 for each broker ...
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https://www.rld.nm.gov/securities-division/firms-industry-professionals/broker-dealers-and-sales-reps/registration-packet/
This individual must be registered in the state. 2. Filing Fees (submitted through FINRA):. a. $300 for broker-dealer firm registration. b. $ 50 for each broker ...
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62
Brokerage Firms
https://www.cnbv.gob.mx/en/Supervised-Entities/Brokerage-houses/Paginas/Brokerage-Firms.aspx
To do these activities, brokerage firms can carry out the liquidation of ... among the most important are: defining the risk profile of the ...
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https://www.cnbv.gob.mx/en/Supervised-Entities/Brokerage-houses/Paginas/Brokerage-Firms.aspx
To do these activities, brokerage firms can carry out the liquidation of ... among the most important are: defining the risk profile of the ...
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63
Clearing Firm (Clearing Broker) - Moneyzine.com
https://moneyzine.com/investments/clearing-firm/
Brokerage houses that are not carrying firms are known as introducing firms, and they will have an arrangement with a carrying firm on the exchange.
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https://moneyzine.com/investments/clearing-firm/
Brokerage houses that are not carrying firms are known as introducing firms, and they will have an arrangement with a carrying firm on the exchange.
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64
Could/Should an Investment Adviser be a Broker-Dealer?1
http://compliglobe.com/wp-content/uploads/2018/12/When-is-an-Adviser-a-Broker-June-11-2018.pdf
brokerage (defined and discussed below) holds a single license from its regulator ... relating to transactions carried out under Rule 15a-6 would have to be ...
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http://compliglobe.com/wp-content/uploads/2018/12/When-is-an-Adviser-a-Broker-June-11-2018.pdf
brokerage (defined and discussed below) holds a single license from its regulator ... relating to transactions carried out under Rule 15a-6 would have to be ...
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65
Finders and Unregistered Broker-Dealers - Venable LLP
https://www.venable.com/insights/publications/2018/05/finders-and-unregistered-brokerdealers
Because the broker definition is the one that finders have the most ... Nevertheless, some factors may carry more weight than others.
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https://www.venable.com/insights/publications/2018/05/finders-and-unregistered-brokerdealers
Because the broker definition is the one that finders have the most ... Nevertheless, some factors may carry more weight than others.
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66
IIROC proposes restricted membership for U.S. broker-dealers
https://www.lexology.com/library/detail.aspx?g=e6a54d9d-32cc-4ca8-8484-9515cbcfb051
Introducing/carrying broker relationships: A Restricted Dealer Member can be an introducing broker, but can only be a carrying broker for ...
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https://www.lexology.com/library/detail.aspx?g=e6a54d9d-32cc-4ca8-8484-9515cbcfb051
Introducing/carrying broker relationships: A Restricted Dealer Member can be an introducing broker, but can only be a carrying broker for ...
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67
Trade Away Transactions | Fidelity Institutional
https://clearingcustody.fidelity.com/app/item/RD_13569_24481/trade-away-transactions.html
Pursuant to the terms of your Fidelity Brokerage Customer Account Agreement, your authorized Agent/Advisor may execute securities transactions with ...
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https://clearingcustody.fidelity.com/app/item/RD_13569_24481/trade-away-transactions.html
Pursuant to the terms of your Fidelity Brokerage Customer Account Agreement, your authorized Agent/Advisor may execute securities transactions with ...
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68
How Does a Discount Broker Make Money? - WallStreetMojo
https://www.wallstreetmojo.com/discount-broker/
A discount broker is an entity in the business that helps investors buy and sell of securities on the stock exchange by charging significantly lower fees on ...
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https://www.wallstreetmojo.com/discount-broker/
A discount broker is an entity in the business that helps investors buy and sell of securities on the stock exchange by charging significantly lower fees on ...
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69
Am I an Unregistered Broker Dealer? - Fund Law Group
https://www.fundlawgroup.com/learn/am-i-an-unregistered-broker-dealer
Definition of a Broker Dealer · Is employed by the issuer; · Receives transaction-based compensation rather than a salary, such as a commission; ...
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https://www.fundlawgroup.com/learn/am-i-an-unregistered-broker-dealer
Definition of a Broker Dealer · Is employed by the issuer; · Receives transaction-based compensation rather than a salary, such as a commission; ...
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70
Updated Guidance for Broker Dealers on Exemption Provisions
https://keitercpa.com/blog/updated-guidance-broker-dealers-exemption-provisions/
What Broker Dealers need to know about SEC's updated guidance on Exemption ... Do not carry proprietary accounts as defined in Rule 15c3-3.
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https://keitercpa.com/blog/updated-guidance-broker-dealers-exemption-provisions/
What Broker Dealers need to know about SEC's updated guidance on Exemption ... Do not carry proprietary accounts as defined in Rule 15c3-3.
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71
Bill broker Definition & Meaning - Merriam-Webster
https://www.merriam-webster.com/dictionary/bill%20broker
The meaning of BILL BROKER is one who negotiates the discount of bills of exchange either as agent or usually by buying and selling them or buying them and ...
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https://www.merriam-webster.com/dictionary/bill%20broker
The meaning of BILL BROKER is one who negotiates the discount of bills of exchange either as agent or usually by buying and selling them or buying them and ...
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72
Does the Term Bank Broker-Dealer Still Have Meaning
https://scholarship.law.unc.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=1157&context=ncbi
Under the proposal, a financial holding company v, ould generally have been required to deduct fifty percent of the total carrying value of all merchant banldng ...
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https://scholarship.law.unc.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=1157&context=ncbi
Under the proposal, a financial holding company v, ould generally have been required to deduct fifty percent of the total carrying value of all merchant banldng ...
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73
Securities and Exchange Commission § 240.15c3–1 - GovInfo
https://www.govinfo.gov/content/pkg/CFR-2011-title17-vol3/pdf/CFR-2011-title17-vol3-sec240-15c3-1.pdf
Brokers or Dealers That Carry Customer. Accounts. (2)(i) A broker or ... funds, or to carry customer or broker ... tivities as a market maker as defined.
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https://www.govinfo.gov/content/pkg/CFR-2011-title17-vol3/pdf/CFR-2011-title17-vol3-sec240-15c3-1.pdf
Brokers or Dealers That Carry Customer. Accounts. (2)(i) A broker or ... funds, or to carry customer or broker ... tivities as a market maker as defined.
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74
Exclusions | Broker-dealers | Registration | Laws & regulations
https://app.achievable.me/study/finra-series-66/learn/laws-and-regulations-registration-broker-dealers-exclusions
One important note here - this exclusion does not carry over to bank holding ... Firms may also be excluded from the definition of a broker-dealer if these ...
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https://app.achievable.me/study/finra-series-66/learn/laws-and-regulations-registration-broker-dealers-exclusions
One important note here - this exclusion does not carry over to bank holding ... Firms may also be excluded from the definition of a broker-dealer if these ...
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75
U.S. Broker-Dealers and the Financial Crisis
https://www.newyorkfed.org/medialibrary/media/research/staff_reports/sr969.pdf
registered broker dealers that clear transactions or carry customer accounts; ... defined as the sum of loans, advances, notes, bonds, debentures and other ...
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https://www.newyorkfed.org/medialibrary/media/research/staff_reports/sr969.pdf
registered broker dealers that clear transactions or carry customer accounts; ... defined as the sum of loans, advances, notes, bonds, debentures and other ...
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76
Brokerage vs. Investment Bank: What's the Difference? - Indeed
https://www.indeed.com/career-advice/career-development/brokerage-vs-investment-bank
A brokerage is an entity that provides intermediary services to individuals facilitating sales and purchase transactions. Brokerages can provide ...
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https://www.indeed.com/career-advice/career-development/brokerage-vs-investment-bank
A brokerage is an entity that provides intermediary services to individuals facilitating sales and purchase transactions. Brokerages can provide ...
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77
Fundraising Consultants vs. Broker-Dealers - Toptal
https://www.toptal.com/finance/startup-funding-consultants/fundraising-consultants-broker-dealers
Similarly, agents traditionally don't carry liability for their actions during the engagement on behalf of the client. Lastly, unlike lawyers (whose agency is ...
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https://www.toptal.com/finance/startup-funding-consultants/fundraising-consultants-broker-dealers
Similarly, agents traditionally don't carry liability for their actions during the engagement on behalf of the client. Lastly, unlike lawyers (whose agency is ...
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78
Broker - Wikipedia
https://en.wikipedia.org/wiki/Broker
A broker is a person or firm who arranges transactions between a buyer and a seller for a commission when the deal is executed. A broker who also acts as a ...
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https://en.wikipedia.org/wiki/Broker
A broker is a person or firm who arranges transactions between a buyer and a seller for a commission when the deal is executed. A broker who also acts as a ...
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79
Types of Operating Authority | FMCSA
https://www.fmcsa.dot.gov/registration/types-operating-authority
A Broker does not assume responsibility for the household goods and never takes possession of the goods. Household goods are personal items and property ...
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https://www.fmcsa.dot.gov/registration/types-operating-authority
A Broker does not assume responsibility for the household goods and never takes possession of the goods. Household goods are personal items and property ...
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80
U.S. Regulation of the International Securities and Derivatives ...
https://www.clearygottlieb.com/-/media/files/isdm-12th-edition/18-chapter-14-pdf.pdf
[11] The GLB Act modified the Exchange Act definition of "broker" by ... more separate affiliates to carry out wholly nonsecurities activities in areas such ...
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https://www.clearygottlieb.com/-/media/files/isdm-12th-edition/18-chapter-14-pdf.pdf
[11] The GLB Act modified the Exchange Act definition of "broker" by ... more separate affiliates to carry out wholly nonsecurities activities in areas such ...
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81
Broker - Definition and more
https://the-definition.com/term/broker
Brokers are paid by the party who hired the broker and do not carry inventory, get involved in financing, or assume risk. Examples include food brokers, real ...
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https://the-definition.com/term/broker
Brokers are paid by the party who hired the broker and do not carry inventory, get involved in financing, or assume risk. Examples include food brokers, real ...
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82
A Look At SEC Enforcement Against Unregistered Finders
https://www.foley.com/en/insights/publications/2018/08/a-look-at-sec-enforcement-against-unregistered-fin
A “broker” is defined as “any person engaged in the business of effecting transactions in securities for the account of others,”[9] while a ...
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https://www.foley.com/en/insights/publications/2018/08/a-look-at-sec-enforcement-against-unregistered-fin
A “broker” is defined as “any person engaged in the business of effecting transactions in securities for the account of others,”[9] while a ...
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83
Broker Definition and the Primary Types of Brokerages
https://tradersunion.com/interesting-articles/definition-of-broker-and-the-primary-types/
Also, many stockbrokers lend stocks and money to clients, carry out a comprehensive assessment of the investment attractiveness of securities and provide ...
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https://tradersunion.com/interesting-articles/definition-of-broker-and-the-primary-types/
Also, many stockbrokers lend stocks and money to clients, carry out a comprehensive assessment of the investment attractiveness of securities and provide ...
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84
Broker-Dealer Audit and Reporting Updates
https://www.sullcrom.com/siteFiles/Publications/SC_Publication_Broker_Dealer_Audit_and_Reporting_Updates.pdf
carrying broker-dealers6 file an annual compliance report ... Internal control over compliance is defined as internal controls that have the ...
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https://www.sullcrom.com/siteFiles/Publications/SC_Publication_Broker_Dealer_Audit_and_Reporting_Updates.pdf
carrying broker-dealers6 file an annual compliance report ... Internal control over compliance is defined as internal controls that have the ...
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85
SEC Adopts Changes to Broker-Dealer Net Capital and ...
https://www.shearman.com/~/media/files/newsinsights/publications/2013/08/sec-adopts-changes-to-brokerdealer-net-capital-a__/files/view-full-memo-sec-adopts-changes-to-brokerdeale__/fileattachment/secadoptschangestobrokerdealernetcapitalandfinan__.pdf
Answer “Yes” if accounts are carried by the broker-dealer for persons that are not “customers” as that term is defined in Rule 15c3-3 under the ...
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https://www.shearman.com/~/media/files/newsinsights/publications/2013/08/sec-adopts-changes-to-brokerdealer-net-capital-a__/files/view-full-memo-sec-adopts-changes-to-brokerdeale__/fileattachment/secadoptschangestobrokerdealernetcapitalandfinan__.pdf
Answer “Yes” if accounts are carried by the broker-dealer for persons that are not “customers” as that term is defined in Rule 15c3-3 under the ...
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86
What Is A Broker-Dealer? - Davis Polk
https://www.davispolk.com/sites/default/files/whats_a_broker_dealer_2.pdf
“Person associated with a broker or dealer” is defined in ... the broker or dealer; (viii) the bank does not carry a securities account of.
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https://www.davispolk.com/sites/default/files/whats_a_broker_dealer_2.pdf
“Person associated with a broker or dealer” is defined in ... the broker or dealer; (viii) the bank does not carry a securities account of.
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87
Cash App Investing Customer Account Agreement
https://cash.app/legal/us/en-us/cash-investing-account-agreement
The Carrying Broker holds your Investing Account and is ... of funds to and from your Cash App Balance (as defined in the Cash App Terms), ...
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https://cash.app/legal/us/en-us/cash-investing-account-agreement
The Carrying Broker holds your Investing Account and is ... of funds to and from your Cash App Balance (as defined in the Cash App Terms), ...
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88
Rules of Internal Control of the Broker as a Tool for Risk ...
https://knepublishing.com/index.php/KnE-Engineering/article/view/2967/6320
Internal control in the organization is carried out through [1]: ... contracts that define the general conditions of the broker's relationship with the ...
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https://knepublishing.com/index.php/KnE-Engineering/article/view/2967/6320
Internal control in the organization is carried out through [1]: ... contracts that define the general conditions of the broker's relationship with the ...
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89
A Broker's Guide to Creating a Policy and Procedure Manual
https://www.dllr.state.md.us/license/mrec/mrecarello.pdf
however, the real estate broker must always look to the local jurisdiction's laws and ... for all expenses per the contract (this may also be defined by the ...
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https://www.dllr.state.md.us/license/mrec/mrecarello.pdf
however, the real estate broker must always look to the local jurisdiction's laws and ... for all expenses per the contract (this may also be defined by the ...
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90
Investor FAQs - SIPC
https://www.sipc.org/for-investors/investor-faqs
If your account is at the broker-dealer, you will be eligible for SIPC ... and (2) “securities,” as defined under the Securities Investor Protection Act.
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https://www.sipc.org/for-investors/investor-faqs
If your account is at the broker-dealer, you will be eligible for SIPC ... and (2) “securities,” as defined under the Securities Investor Protection Act.
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91
Broker's and Dealer's Use of a Service Organization
https://www.thecaq.org/wp-content/uploads/2019/03/caq_alert_2018-04_broker_dealer_use_service_organization.pdf
customer securities, and oftentimes that carrying broker or dealer ... The following terms are defined in the PCAOB auditing standards to ...
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https://www.thecaq.org/wp-content/uploads/2019/03/caq_alert_2018-04_broker_dealer_use_service_organization.pdf
customer securities, and oftentimes that carrying broker or dealer ... The following terms are defined in the PCAOB auditing standards to ...
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92
Joint Statement on Broker-Dealer Custody of Digital Asset ...
https://www.tradersmagazine.com/departments/brokerage/joint-statement-on-broker-dealer-custody-of-digital-asset-securities/
Regulators issue a statement on the ability of a broker-dealer to comply ... as a securities record reflecting each security carried by the broker-dealer ...
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https://www.tradersmagazine.com/departments/brokerage/joint-statement-on-broker-dealer-custody-of-digital-asset-securities/
Regulators issue a statement on the ability of a broker-dealer to comply ... as a securities record reflecting each security carried by the broker-dealer ...
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93
TREC Rules - Texas.gov
https://www.trec.texas.gov/agency-information/rules-and-laws/trec-rules
License Holder–A real estate broker or sales agent licensed under Chapter 1101, ... or HIV infection as defined by the Centers for Disease Control of the ...
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https://www.trec.texas.gov/agency-information/rules-and-laws/trec-rules
License Holder–A real estate broker or sales agent licensed under Chapter 1101, ... or HIV infection as defined by the Centers for Disease Control of the ...
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94
Real Estate FAQs - State of Michigan
https://www.michigan.gov/-/media/Project/Websites/lara/bpl/Real-Estate-Brokers-and-Salespersons/FAQs-and-Other/Real-Estate-FAQs.pdf?rev=39c01cb075fc48dcaf34650a87bb0556
A: Yes, after you have transferred your license to a new broker, an electronic copy ... Act 299 of 1980, includes the following definitions:.
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https://www.michigan.gov/-/media/Project/Websites/lara/bpl/Real-Estate-Brokers-and-Salespersons/FAQs-and-Other/Real-Estate-FAQs.pdf?rev=39c01cb075fc48dcaf34650a87bb0556
A: Yes, after you have transferred your license to a new broker, an electronic copy ... Act 299 of 1980, includes the following definitions:.
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95
Fundamentals of Broker-Dealer Regulation 2016
https://www.debevoise.com/~/media/pli_fundamentals_of_broker_dealer_regulation.pdf
Harmonize definition of “customer” between this rule and the Securities Investor Protection. Act by requiring carry brokers to maintain new ...
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https://www.debevoise.com/~/media/pli_fundamentals_of_broker_dealer_regulation.pdf
Harmonize definition of “customer” between this rule and the Securities Investor Protection. Act by requiring carry brokers to maintain new ...
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96
prime-brokerage-services-jpms.pdf
https://www.jpmorgan.com/content/dam/jpm/global/disclosures/by-regulation/prime-brokerage-services-jpms.pdf
securities trading and brokerage activities, as well as providing ... looking after the various details incidental to the clearing and carrying of accounts.
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https://www.jpmorgan.com/content/dam/jpm/global/disclosures/by-regulation/prime-brokerage-services-jpms.pdf
securities trading and brokerage activities, as well as providing ... looking after the various details incidental to the clearing and carrying of accounts.
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97
Chapter 21. Real Estate Brokers, Sales Persons and Rental ...
https://law.lis.virginia.gov/vacodefull/title54.1/chapter21/
Completed a course in the principles of real estate that carried an academic ... "Licensee" means real estate brokers and salespersons as defined in Article ...
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https://law.lis.virginia.gov/vacodefull/title54.1/chapter21/
Completed a course in the principles of real estate that carried an academic ... "Licensee" means real estate brokers and salespersons as defined in Article ...
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98
The "Finder's" Exception from Federal Broker-Dealer ...
https://scholarship.law.edu/cgi/viewcontent.cgi?article=1758&context=lawreview
(CCH) 77,228 (July 8, 1982). 91. An introducing broker may be defined as follows: A broker-dealer that, under a contractual arrangement with a carrying or ...
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https://scholarship.law.edu/cgi/viewcontent.cgi?article=1758&context=lawreview
(CCH) 77,228 (July 8, 1982). 91. An introducing broker may be defined as follows: A broker-dealer that, under a contractual arrangement with a carrying or ...
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