the broker-dealer. Make recommendations based on a reasonable inquiry into a client's investment objectives, financial situation, and other factors Always place client interests ahead of...
and (ii) the broker-dealer receives no "special compensation" for providing the investment advice. Both elements of this exemption must be met to rely on it.[8] Many broker-dealers also...
Citigroup Global Markets Europe AG Commerzbank AG Credit Agricole Corporate and Investment... securities broker-dealer that is permitted to trade directly with the Federal Reserve System...
For broker dealers and their affiliates, fast-moving markets and stringent regulations are a fact of life. Robust, comprehensive compliance strategies are essential to regulatory compliance, risk m...
A dealer is a person or firm who buys and sells securities for their own account, whether through a broker or otherwise.
The company was founded in 1981 and mainly works as a broker-dealer, but also manages investment assets through its subsidiary Cambridge Investment Research Advisors Inc. It is one of the...
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Investment advisers are fiduciaries who must place their clients' interests ahead of their own. Brokers serve the interests of broker-dealers they represent.
Dunham | LinkedIn 팔로워 1,564명 | Dunham & Associates Investment Counsel, Inc. is a Registered Investment Adviser and Broker/Dealer. Member FINRA/SIPC. | In 1985, Dunham & Associates Investment Counse...
Pursuant to Minnesota Statutes §§ 80A.56 and 80A.57, it is unlawful for a person to transact business in Minnesota as a broker-dealer or agent unless the person is registered or exempt from registr...