broker dealer SRO

См. также в других словарях:

• Financial Industry Regulatory Authority — In the United States, the Financial Industry Regulatory Authority, Inc., or FINRA, is a private corporation that acts as a self regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD).… …   Wikipedia

• SEC Form BDW — A form that must be completed by all securities broker dealers and submitted to the Securities and Exchange Commission (SEC) in order to terminate status as a registered broker. Form BDW can be used by the broker dealer to file either a full… …   Investment dictionary

• Variable universal life insurance — (often shortened to VUL) is a type of life insurance that builds a cash value. In a VUL, the cash value can be invested in a wide variety of separate accounts, similar to mutual funds, and the choice of which of the available separate accounts to …   Wikipedia

• Registered Representative — A Registered Representative, also called a General Securities Representative, a Stock Broker, or an Account Executive, is an individual who is licensed to sell securities and has the legal power of an agent. Registered Representatives usually… …   Wikipedia

• Pink Sheets — Pink Quote, informally known as the Pink Sheets, is an electronic quotation system operated by Pink OTC Markets that displays quotes from broker dealers for many over the counter securities. Market makers and other brokers can use Pink Quote to… …   Wikipedia

• Rule 144A — Rule 144A, adopted pursuant to the U.S. Securities Act of 1933, as amended (the Securities Act ) provides a safe harbor from the registration requirements of the Securities Act of 1933 for certain private resales of restricted securities to QIBs… …   Wikipedia