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About 808 results for "national association of securities de..."

LPL Financial Selected as Finalist for Two 2014 NC Tech Awards

Victor Fetter up for CIO of the Year; firm recognized for use of its innovative technology LPL Financial LLC, the nation's largest independent broker-dealer*, a custodian for registered investment advisors (RIAs), and a wholly owned subsidiary of ... PRWeb, 2 days ago

28 images for national association of securities dealers

Savannah Morning News, 1 day ago
Green Car Reports, 6 days ago
Tampa Bay Times, 2 days ago
RIA Novosti, 2 days ago
MyFox New York, 1 week ago
VOCM, 5 days ago
Tampa Bay Times, 2 days ago
Human Events Online, 1 week ago
United States Army, 2 weeks ago
RIA Novosti, 3 weeks ago

Enforcement Notice Hearing - IN THE MATTER OF Industrial Alliance Securities Inc. - Settlement Hearing

Information contained on this page is provided by an independent third-party content provider. WorldNow and this Station make no warranties or representations in connection therewith. If you have any questions or comments about this page please ...
 WSPA3 days ago
Wall Street Business Network

McEvoy Joins Ohio National as Vice President, Broker Dealer Operations, and President, ONESCO

CINCINNATI, OH -- (Marketwired) -- 10/21/14 -- National Financial Services is pleased to announce that Patrick H. McEvoy has joined the company as vice president, broker dealer operations, and president, The O.N. Equity Sales Company (ONESCO). ...
 Wall Street Business Network3 days ago

What Does It Take to Make the SEC Happy? SEC Criticism of Broker-Dealers Due Diligence for Sales of Unregistered Securities Leaves More Questions Than Answers

To ensure that broker-dealers (BDs) do not inadvertently facilitate an unlawful distribution of securities, the Securities and Exchange Commission has long required BDs to conduct a reasonable inquiry into the circumstances surrounding their ...
 JD Supra19 hours ago

Comments on the International Organization of Securities Commissions' Consultative Report: Risk Mitigation Standards for Non-centrally Cleared OTC Derivatives (PDF)

Japanese Bankers Association We, the Japanese Bankers Association ("JBA"), would like to express our gratitude for this opportunity to comment on the Consultative Report: Risk Mitigation Standards for Non-centrally Cleared OTC Derivatives 1. Policy ...
 Noodls5 days ago
Security Sales and Integration

Testing IP Surveillance Cameras

I hope that this information will get installing security companies technicians, dealers and managers thinking more about real-world performance of IP cameras. According to statistics from SSI 's Gold Book 2014, the average growth of IP-addressable ...
 Security Sales and Integration1 week ago

OTC derivatives reform where are we five years on?

By Alex McDonald, CEO, and David Clark, Chairman, Wholesale Markets Brokers Association The derivatives aspect to the project has focused on three key tenets, namely: ensuring that all eligible OTC derivatives be traded on electronic trading ...
 GlobalCapital17 hours ago

Tesla battles history in fight for direct sales [Detroit Free Press :: ]

Oct. 23--The auto dealer franchise laws, such as the one dealers amended and Gov. Rick Snyder signed this week that would bar Tesla Motors Most states passed a form of these laws in the years before and after World War II when most dealerships ...
 BusinessWeek2 days ago

Brite Energy, Protection 1's Solar Arm, Launches its Residential Business in San Diego

CHICAGO--(BUSINESS WIRE)-- Protection 1, the largest full-service business and home security company in the U.S., today announced its solar arm, Brite Energy, has launched in its first market, San Diego, Calif. Over the next several months, ...
 Yahoo! Finance2 days ago

NDFB rebels snatch 7 rifles

Kokrajhar, Oct. 21: Suspected National Democratic Front of Bodoland (NDFB) rebels of the Songbijit faction reportedly snatched seven INSAS rifles from the 135 battalion (territorial army) ecological task force at Khalashi area near Saralbangha river ...
 Calcutta Telegraph3 days ago
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