Bankers who are advising corporate customers on a securities transaction consult their market-making colleagues.
After all, the U.K. already has a securities transaction tax in place.
No person associated with a member shall participate in any manner in a private securities transaction except in accordance with the requirements of this Rule.
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No member or person associated with a member shall guarantee a customer against loss in connection with any securities transaction or in any securities account of such customer.
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Be clear that there are two distinct permissions needed from your employing firm when you intend to engage in an outside business and also in a private securities transaction.
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The news blog FT Alphaville got a hold of the defense filing Goldman Sach submitted last year when the Securities and Exchange Commission was investigating the complex securities transaction that is at the center of its fraud suit against the Wall Street bank.
Investors should demand to see proof that a salesperson is licensed to make a recommendation to sell securities before agreeing to any transaction involving securities.
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Among potential problems with shorter settlement cycles were issues around securities lending, foreign exchange transaction and delivery of physical securities.
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Through Citicorp and Citi Holdings, Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services and wealth management.
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The probe last month was led by China's central bank and top securities regulator and focused on a kind of transaction that could magnify trading risks for Chinese banks and brokerage firms.
The bond-market investigation, led by China's central bank and top securities regulator, focuses on a kind of transaction that could magnify trading risks for Chinese banks and brokerage firms, the people said.
The AWC alleges that the significant potential risks posed by using mortgage proceeds to make securities investments and the high concentration level in the VUL investment, rendered the transaction unsuitable.
The International Securities Association for Institutional Trade Communication (ISITC), an industry trade group focused on transaction processing, reports that a pool of members surveyed show that almost all think that finance industry could benefit from greater leadership.
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The transaction will leave a stub Wachovia with its brokerage and asset management units behind, AG Edwards and Evergreen Securities.
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