Introducing Broker Dealer

Ruling FIN-2008-R008 Issued: June 3, 2008 Subject: Bank ...
Bank Secrecy Act (“BSA”) obligations of a U.S. clearing broker-dealer (“clearing firm”) establishing a fully disclosed clearing relationship with a foreign financial institution (“foreign introducing firm”). ... Get Content Here

CA ALERT - Center For Audit Quality
Broker and Dealer Audit Forums Appendix 3: Additional Resources Audit Planning Alert for Auditors of Brokers and Dealers Introduction The Center for Audit Quality (CAQ) is pleased to release our Audit Planning Alert for Auditors of Brokers and Dealers (the Planning Alert). The Planning Alert is an example of the ... Fetch Document

BUSINESS CONTINUITY PROGRAM FOR A NON-INTRODUCING BROKER-DEALER
BUSINESS CONTINUITY PROGRAM FOR A NON-INTRODUCING BROKER-DEALER . October 2017 . 1. Statement of Policy It is the policy of Capstone Capital Markets LLC (the “Broker”) to have a formal program in place that ... Document Viewer

Contents
Contents Direct Broker Feeds Establishing a data feed with a Direct Data Provider 2 Direct Broker Feed List 3 Direct Broker Feed Contacts 5 Clearing Firms Establishing a Data Feed with an Introducing Broker Dealer that Clears through First Clearing 14 First Clearing Feeds 15 ... Read More

UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR ...
Applied with this firm to become a broker-dealer representative. If this radio button/box is selected, continue below. Introducing Broker-Dealer/Financial and Operations Principal (S28) UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER firm(s) ... View Doc

INTERNAL REVENUE SERVICE Department Of The Treasury November ...
An Introducing Broker is a broker-dealer that is regulated by Commission and Association. The Introducing Broker maintains a direct relationship with the investor and is responsible for opening new accounts and obtaining tax information (including the investor’s TIN). X and the Introducing Broker enter into a Clearing Agreement (Agreement). The ... Get Document

OMB Numbers 3038-0023 And 3038-0072 COMMODITY FUTURES TRADING ...
Notice broker-dealer certifies that it is registered with the Securities and Exchange Commission as a broker-dealer, that its broker-dealer registration is not suspended, and that it is a member of a national securities association registered pursuant to Section 15A(a) of the ... Fetch Document

SECURITIES AMERICA BROKER/DEALER TERMS AND CONDITIONS
Industry Regulatory Authority (“FINRA”) member firm and Introducing Broker/Dealer and applies to all activities in any accounts opened with us. References to NFS refer to National Financial Services LLC a New York Stock Exchange member firm (collectively the “Parties”). NFS has been engaged to provide account custody and clearing services ... Document Viewer

UBS CLIENT RELATIONSHIP AGREEMENT
UBS CLIENT RELATIONSHIP AGREEMENT Services Incorporated of Puerto Rico or any other introducing broker-dealer that has a clearing broker-dealer and an investment adviser, offering both brokerage and investment advisory services. ... Fetch Doc

J.H. DARBIE & CO., INC. - Files.brokercheck.finra.org
A broker-dealer and government securities broker or dealer: This firm does not hold or maintain funds or securities or provide clearing services for other broker-dealer(s). Introducing Arrangements This firm does refer or introduce customers to other brokers and dealers. Name: LEK SECURITIES ... Read More

Thrivent Mutual Funds Names VMLY&R Lead Agency Of Record
KANSAS CITY, Mo., Dec. 20, 2018 /PRNewswire/ -- Thrivent Mutual Funds, an award-winning fund family of Thrivent Financial, announced global marketing agency VMLY&R has been selected as lead agency of ... Read News

STANDING ADVISORY GROUP MEETING - PCAOB
Broker-dealer. An "introducing broker-dealer" accepts customers' orders but the orders are processed or "cleared" through another broker, known as a clearing broker. A clearing broker, among other things, receives and executes customers' instructions and settles the money related to the trades. Because introducing broker-dealers do not hold ... View Full Source

Trusted Contact Person Person - Statetrust.com
This form authorizes your Introducing Broker Dealer to contact the TCP and: • Provide the TCP with information about you or your account(s), but does not provide the TCP with the ability to transact on your account(s). • Inquire about your current contact information or health status. ... Doc Retrieval

I 1: COVER PAGE - My Advisor Center
Loring Ward is in the process of ending its introducing broker dealer business, to be completed by year end of 2018. Loring Ward no longer offers its introducing broker dealer services to new clients and has transitioned the majority of its introducing broker dealer and custody platform provider arrangements for ... Document Retrieval

Who Is A Broker? - YouTube
A Broker is the nice guy who will help you navigate the stock market. It’s usually an individual or firm that charges a fee for helping buyers and sellers at the stock market. ... View Video

Introducing The New FirstCommand.com - YouTube
©2018 First Command Financial Services, Inc. parent of First Command Financial Planning, Inc. (Member SIPC, FINRA) and First Command Advisory Services, Inc. Securities and brokerage services are ... View Video

Thrivent Investment Management Inc.
Thrivent Investment Management Inc. (the “Company”) is a registered introducing broker-dealer with the Securities and Exchange Commission (“SEC”) under the Securities Exchange Act of 1934 and registered investment adviser under the Investment Advisers Act of 1940. The Company is also member of the ... Fetch Full Source

Apex Clearing Corporation’s Privacy Policy
Broker/dealer as introducing broker. At Apex, we understand that privacy is an important issue for customers of our introducing firms. It is our policy to respect the privacy of all accounts that we maintain as clearing broker and to protect the security and confidentiality of non-public personal information relating to those accounts. ... Document Retrieval

Nationally Recognized Statistical Rating Organization - Wikipedia
Under this approach, if a CRA (or investment bank or broker-dealer) were interested in using the ratings from a particular CRA for regulatory purposes, the SEC staff would research the market to determine whether ratings from that particular CRA are widely used and considered "reliable and credible." ... Read Article

FCA Controlled Functions - Wikipedia
Controlled functions applicable for UK and overseas firms Significant influence functions CF 1 Director function. If a firm is a body corporate (other than a limited liability partnership), the Director Function is the function of acting in the capacity of a director (other than non-executive director) of that firm. ... Read Article

Re: FCU Purchase Of Certificates Of Deposit Through An ...
Re: FCU Purchase of Certificates of Deposit Through an Introducing Broker. Dear Mr. Figueroa: You have asked if a federal credit union (FCU) may purchase certificates of deposit (CDs) from an SEC-registered broker-dealer through an introducing broker who is. neither an SEC-registered broker-dealer nor a depository institution. As discussed ... Retrieve Content