He isn't a registered securities broker in Arizona or with the National Association of Securities Dealers.
They watch nearly 5, 000 brokerage firms, more than 163, 000 branch offices and in excess of 635, 000 registered securities representatives.
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Although some CVRs are registered tradable securities, the majority are non-transferable because the issuing company does not want to incur the additional cost, disclosure obligations, and legal responsibilities associated with registering them with the SEC.
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But under U.S. law, a banker can't advertise securities products or take orders on transactions from U.S. clients without being registered with the Securities and Exchange Commission.
At OppenheimerFunds, cash collateral generated by securities lending may be invested in a fund run by the parent company but not registered with the Securities and Exchange Commission.
There are more than 275, 000 so-called investment advisor representatives registered with the Securities and Exchange Commission.
Frank's legislation would require mandatory reporting by companies registered with the Securities and Exchange Commission, and the U.S. oil industry thinks this goes too far.
SecondMarket is registered with the Securities and Exchange Commission as an "alternative trading system, " its compliance staff communicates regularly with its Washington minders, and Mr. Silbert hired a former SEC lawyer to be his general counsel.
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The court filing signed by Mr. Galanis includes his promise to avoid "acting as an officer or director of any issuer that has a class of securities registered" with the SEC or "that is required to file" financial reports with the agency.
Thankfully today there is growing awareness that professional, registered money managers and securities firms often engage in wrongdoing.
The Siedle Directory of Securities Dealers provides retail and institutional investors alike with critical information regarding the integrity of all brokerage firms registered with the National Association of Securities Dealers, Inc. (NASD).
Tipped off by an investor, Arkansas' securities commissioner ordered Howell to stop issuing notes, claiming he was selling securities without being registered as a broker-dealer.
Abern has been in the securities industry since 1986, and registered with several FINRA member firms, including from March 2005 to August 2008 with Cambridge Legacy Securities, LLC.
Securities are offered through registered broker dealers with the crowdfunding platforms acting solely as intermediaries.
The company is a U.S. Securities and Exchange Commission Registered Investment Advisor.
The funding portal also must become a member of a national securities association that is registered under Section 15A of the Exchange Act.
The Directory provides retail and institutional investors alike with critical information regarding the integrity of all brokerage firms registered with the National Association of Securities Dealers, Inc.
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Registered financial analyst with the Brazilian Securities and Exchange Commission.
If a Securities and Exchange Commission-registered money manager had committed similar fraud, it would have been shut down.
U.S. securities law and regulations restricts registered investment advisors (an agent) as to whom they may charge a performance-based fee.
Investment advisors must be registered with the SEC or a state securities regulator, depending on the value of client assets under management.
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The investment products and investment funds described in this Website are not registered under the U.S. Securities Act of 1933 and its amendments, and should not be offered or sold to individuals in the United States as required by the Security and Exchange Act of 1933.
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Rapley entered the securities industry in 1995 and was registered with FINRA member firm Andrew Garrett, Inc. during the times relevant to this matter.
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These securities are not and will not be registered in the United States and therefore can only be sold to qualified investors under rule 144A or to those outside the United States under Regulation S. While I am not quoting exactly, I am quoting the gist of the press release issued by the company.
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Madoff had registered as an investment adviser, and as such the Securities and Exchange Commission had the authority to oversee his books.
Gulan entered the securities industry in 1998 and by December 2002 was registered with FINRA member firm Fintegra, LLC, where he remained until May 10, 2011.
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Investors can verify background of registered representatives and their firms by contacting a home state's securities regulators, usually located in the state capital, or online at www.nasdbrokercheck.com, a website run by the National Association of Securities Dealers.
He took risks, making markets in unusual securities like the state of California's individual registered warrants, issued during a 2009 budget crisis and he received venture capital from FirstMark Capital, Hong Kong tycoon Li Ka-shing, and one of Singapore's state-owned investment funds.
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So, a brief bit of online due diligence would have warned you that you had been approached to engage in Forex trading with someone who was not registered to conduct such a business and, worse, had been barred from the securities industry years earlier for fraud and forgery.
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And while investment advisers (including planners who give investment advice) are required to register with the SEC and securities officials in 37 states, officials are concerned that some planners who aren't registered are giving advice anyway.
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