Dickinson worked as a foreign exchange broker in London during the 1980s and later joined a Chelmsford-based consortium of investors, initially trading with his own money.
In this case, it makes sense to use a foreign exchange broker or understand the detail yourself by using a comparison site such as FX Compared.
In more than 60 years as Asia's oldest stock exchange, no broker, trader nor businessman has ever been convicted of stock market fraud.
PSE's surveillance department, found himself at the centre of a vicious struggle between the broker-members that control the exchange and its few non-broker managers.
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The tool is powered by New York-based SecondMarket, an investment platform that is licensed by the U.S. Financial Industry Regulatory Authority and U.S. Securities and Exchange Commission as a broker-dealer.
Normally an exchange or ECN pays broker-dealers two-tenths of a penny per share for putting shares onto its market and charges three-tenths of a penny to brokers who remove them by making a trade.
Both tax pros and financial service firms expect the new 1099-B, Proceeds From Broker and Barter Exchange Transactions, to cause mass confusion.
Egypt's transitional regime also helped broker the odious exchange of over 1, 000 convicted terrorists held by Israel for a single soldier kidnapped and held hostage for five years by Hamas.
Today, several IT security companies are moving into that chaotic marketplace to broker a more equitable exchange of software bugs for dollars.
The SHOP is a key part of the legislation that will allow small businesses to buy more affordable health insurance on the health insurance exchange instead of going through one broker.
In April, the Securities and Exchange Commission filed a civil lawsuit against broker Pond Securities and several individuals.
For investors, it sounds like nothing but good news: Vanguard announced Tuesday that it is latest large broker to let clients trade its exchange-traded funds without incurring any commission charges.
The Singapore Exchange has just announced it will be moving its broker-supervision powers to the Monetary Authority in July.
With only one broker, for example, how can the exchange ensure that customers really do get the best price?
Then there's the Nobel laureate Al Gore himself, now an exceedingly wealthy founder of Generation Investment Management, a green business broker and major stockholder in the Chicago Climate Exchange.
As a young broker in the hog pit of the Chicago Mercantile Exchange, Terrence A. (Terry) Duffy learned how to break up fights.
This would allow even the tiniest Hong Kong broker to offer its clients online trading on the Exchange's site, which will simply check with the brokers to confirm the client's account balance and credit-standing before executing the order.
Traditional Brazil investors have done poorly, while investors who were picking up consumer stocks traded on the Bovespa stock exchange last year did well if they had access to a local broker.
That includes direct oversight of 11, 700 investment advisers, 9, 700 mutual funds and exchange traded funds ( ETFs), and close to 4, 500 broker-dealers with more than 160, 000 branch offices.
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Singer served as a regulatory lawyer with both the American Stock Exchange and the NASD and also as an in-house lawyer for broker-dealers, mutual funds and investment advisers.
As broker-dealers, regulated more lightly by the Securities and Exchange Commission, they were free to put large dollops of capital to work, providing liquidity, making markets and assuming risk.
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Using a stock exchange as a metaphor, the simplest way to explain this ecosystem is, websites have unsold inventory they pass to an ad exchange, similar to a stock exchange, and advertisers utilize demand side platforms, similar to a stock broker, to purchase the inventory.
Even small domestic investors have been getting in on the market moves, with trading value from individual buyers reaching a six-year high in February and accounting for 30% of average daily volume, up from less than 20% last October, according to broker Reorient Group, which cited data from the Tokyo Stock Exchange.
Thus, if a broker at Morgan Stanley criticises a cohort at Lehman Brothers, their exchange cannot be seen by anybody outside the fixed user group but is still kept on record.
New York Gov. David Paterson, correctly noting that the planned construction "obviously ignites tremendous feelings of anger and frustration, " attempted to broker a compromise with the mosque developers by offering state land in exchange for the property.
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Later, as a broker, Duffy stood on the top stair of the pit in an exchange-issued red trading jacket and filled orders.
Peter Donovan, an oil-options broker at Vantage Trading working on the floor of the New York Mercantile Exchange, said some traders quickly exited positions after the erroneous report of a terrorist attack.
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Other stocks should be contemplated as long-term plays because of the transaction costs:Your broker must go through an Aussie counterpart, adding overseas commissions and foreign-exchange spreads to the U.S. brokerage fee.
They are quietly suggesting that a market run by a single specialist broker, which since February 2003 has had the same majority owner as the Stuttgart exchange, does not smell quite right.
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