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About 811 results for "national association of securities de..."

New traders join NASD OTC market

FIVE traders joined the National Association Securities Dealers [NASD] Over The Counter [OTC] market last week, bringing total registered traders of the participating institutions to 124. According to the newsletter, this growth is expected and ... The Guardian Nigeria, 17 hours ago

54 images for national association of securities dealers

Tampa Bay Times, 3 days ago
Benefits Pro, 1 week ago
Albuquerque Journal, 1 week ago
Let's Talk Payments, 4 days ago
Irish Independent, 3 weeks ago
Irish Independent, 3 weeks ago
San Francisco Chronicle, 2 weeks ago
St Lucia Star, 2 weeks ago
VOCM, 1 week ago
Outdoors Northwest, 2 days ago

Phillip Futures Approved for Retail Forex Dealer Membership, Debuting in the Fall

CommentsCHICAGO, /PRNewswire/ -- Chicago-based is proud to announce it has received National Futures Association (NFA) approval to become a forex dealer member (FDM) and forex firm. As an FDM, Phillip Futures will be able to offer over-the-counter ...
 AndhraNews.net3 days ago

REISA Changes Name to ADISA, the Alternative and Direct Investment Securities Association

INDIANAPOLIS, Sept. 15, 2014 (GLOBE NEWSWIRE) -- REISA, the nation's leading trade association serving the alternative investment and securities industry, announced today its Board of Directors voted unanimously to change the organization's name to ...
 Wall Street Business Network2 days ago
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Financial services update September 8 2014 Securities and Exchange Commission

New Final Rules Nationally Recognized Statistical Rating Organizations On August 27th, the Securities and Exchange Commission (SEC) adopted new requirements for credit rating agencies to enhance governance, protect against conflicts of interest, ...
 Lexology1 week ago The financial report September 4, 2014 - US Securities and Exchange Commission developments  Lexology1 week ago

Securities America Celebrates 30 Years of Strength and Stability

LA VISTA, Neb.--(BUSINESS WIRE)-- Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE MKT: LTS), is celebrating its 30th anniversary in 2014 with activities involving its financial advisors, ...
 Yahoo! Finance1 week ago Ladenburg Thalmann Financial Services : Securities America : Celebrates 30 Years of Strength and Stability  4 Traders1 week ago
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Rediff.com

HDFC MF front-running case: Sebi bars former dealer

Closing a seven-year-old front running case at HDFC Mutual Fund, Securities and Exchange Board of India has barred former equity dealer Nilesh Kapadia and three others from the markets and ordered return of over Rs 1.75 crore (Rs 17.5 million) worth illegal gains. Kapadia, who had to quit the top fund house after the front-running case of 2007 came to the light, and three individuals who were trading on the basis of his tip-offs -- Rajiv Ramniklal Sanghvi, Chandrakant P Mehta and Dipti Paras ...
 Rediff.com1 month ago

SEC Charges N.Y.-Based High Frequency Trading Firm With Violating Net Capital Rule For Broker-Dealers

) - The Securities and Exchange Commission today charged a New York-based high frequency trading firm with violating the net capital rule that requires all broker-dealers to maintain minimum levels of net liquid assets or net capital. The firm's ...
 4 Traders1 hour ago

Protection 1's Sister Company, Brite Energy, Appoints Jimmy Chuang Chief Structured Finance Officer

Brite Energy, sister company of Protection 1, the largest full-service business and home security company in the U.S., today announced that is has hired Jimmy Chuang as its new Chief Structured Finance Officer. Protection 1 recently announced the ...
 Benzinga.com23 hours ago Protection 1's National Account Manager, Andy Patrick, to Lead Applied Threat Assessment and Protective Intelligence Session at Upcoming American Society of Industrial Security Conference  Wall Street Business Network1 week ago PROTECTION 1 : 's National Account Manager, Andy Patrick, to Lead Applied Threat Assessment and Protective Intelligence Session at Upcoming American Society of Industrial Security Conference  4 Traders1 week ago
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NASAA Appoints Advisory Council to Work with Regulators on Committee on Senior Issues and Diminished Capacity

Targeted News Service WASHINGTON, Sept. 16 -- The North American Securities Administrators Association issued the following news release:The North American Securities Administrators Association (NASAA) today announced the formation of an advisory ...
 Insurance News Net8 hours ago NACo Financial Services Center Launches New Partnership to Help Counties Manage Investment Needs  Insurance News Net1 week ago Bowsher First Colloquia Speaker of Semester  Insurance News Net1 day ago IRI Recognizes Importance of Financial Advice  Insurance News Net1 day ago

Feldman Joins Spencer Re from Allstate Dealer Services

PR Newswire Association LLC NEW YORK and SAN JUAN, Puerto Rico, Sept. 16, 2014 /PRNewswire/ -- Spencer Re, a Spencer Capital Holdings company, today announced that Brian Feldman has joined the firm as Executive Vice President. "We are excited to ...
 Insurance News Net1 day ago
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