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securities broker and dealer

网络释义

  证券经纪人和交易员

证券经纪人和交易员

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有道翻译

securities broker and dealer

证券经纪人及交易商

以上为机器翻译结果,长、整句建议使用 人工翻译

双语例句权威例句

  • On a monthly basis, specialized securities broker firms and securities dealer firms shall also prepare one copy of the bank deposit statement.

    专业证券经纪商及专业证券自营商加附银行存款明细表

    www.cntranslators.com

更多双语例句
  • Steve Brozak is president of WBB Securities, LLC, an independent broker-dealer and investment bank specializing in biotechnology, medical devices and pharmaceutical research.

    FORBES

  • Audit Enhancements: A broker-dealer that maintains custody of customer securities and cash would be required to undergo a compliance examination — by a Public Company Accounting Oversight Board-registered public accounting firm — that would include an audit of the controls the broker-dealer has in place to protect customer assets.

    FORBES: All Talk: The SEC's Broken Broker-Dealer, Investment Advisor Examination Program

  • Auditor Access: A broker-dealer that maintains custody of customer securities and cash — or clears transactions — would have to allow SEC and SRO examiners to access the work papers of the registered public accounting firm that audits the broker-dealer and discuss any findings with the personnel of the registered public accounting firm.

    FORBES: All Talk: The SEC's Broken Broker-Dealer, Investment Advisor Examination Program

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