Brokerage firms

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  • Bài 1. Các loại hình công ty chứng khoán phổ biến trên thế giới Các loại hình công ty chứng khoán phổ biến trên thế giới VASC/UBCK, 06/06/2001, 20h00 Khi bắt đầu làm quen với việc kinh doanh chứng khoán, việc đầu tiên chúng ta phải làm là mở tài khoản tại một công ty chứng khoán. Khi ấy, chúng ta sẽ gặp một loạt các thuật ngữ "bí hiểm" như: full-service brokerage firm

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  • 2001, 20h00 Khi bắt đầu làm quen với việc kinh doanh chứng khoán, việc đầu tiên chúng ta phải làm là mở tài khoản tại một công ty chứng khoán.

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  • I would like to thank the person who inspired this book and without whom it would not have been written: my friend, my business partner, and Director of Research, Cherrie Mahon. This book was actually born when I met Cherrie in 1998. She was a stockbroker at the time and was endlessly inquisitive about my newsletter, research techniques, and rather unusual approach to stock selection in comparison to what she was learning at the major “mainstream” brokerage firm that employed her.

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  • Khi bắt đầu làm quen với việc kinh doanh chứng khoán, việc đầu tiên chúng ta phải làm là mở tài khoản tại một công ty chứng khoán.

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  • The Report provides a number of statistics to put in context the growth and activities of on-line investors and firms. It also describes the various products and services currently offered on-line. Finally, the Report describes various trends in the industry, including: (a) the continued growth of on-line investing and the pressure it has put on traditional firms to offer on-line services; (b) how the growth of on-line brokerage will impact the services firms offer going forward; and (c ) how firms are developing technology to provide automated, but personalized, advice on-line. ...

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  • You cannot predict the future or control the present—these are prime directives governing the creation and use of options. This text takes the mystery out of predicting and profiting from the future price trends of stocks and futures contracts using fundamental and/or technical analysis along with option strategies that manage the associated risk. Savvy market operators have devised methods of attacking the markets aggressively, while protecting themselves from the daily risk of loss.

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  • It’s rare that someone should develop an obsession with Wall Street with out sharing its driving passion, the accumulation of money. It would prob ably take years of psychoanalysis to untangle that contradiction, not to mention others too sensitive to name here. No doubt that contradictory obsession has early roots, but its most po tent adult influence was probably my first job out of college, at a small brokerage firm in downtown Manhattan.

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  • This book weaves strands of research that date back more than 20 years, to approximately 1990–1991. Although I worked at a futures commission merchant (that is, a brokerage firm) while in graduate school, that work involved financial futures exclusively. Deciding to leave that business in mid-October 1987 (thereby causing the 1987 crash), first for a stint in litigation support consulting and then on to academia at the Michigan Business School, I worked on research completely unrelated to futures markets.

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  • Chapter 2 Entering Wallstreet. I called Lou Keller. I told him who I was and what I wanted. Next day he sent me some papers to sign, and advise me that as soon as I returned them with a deposit I would have an account with his brokerage firm

    pdf9p leslie88 24-09-2010 43 4   Download

  • An option holder is able to look to the system created by OCC's Rules which includes the brokers and Clearing Members involved in a particular option transaction and to certain funds held by OCC - rather than to any particular option writer for performance. Prior to the existence of option exchanges and OCC, an option holder who wanted to exercise an option depended on the ethical and financial integrity of the writer or his brokerage firm for performance. Furthermore, there was no convenient means of closing out one's position prior to the expiration of the contract.

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  • OCC has developed a procedure known as Exercise By Exception to expedite its processing of exercises of expiring options by certain brokerage firms that are Clearing Members of OCC. Under this procedure, which is sometimes referred to as "ex-by-ex", OCC has established in-the-money thresholds and every contract at or above its in-the- money threshold will be exercised unless OCC's Clearing Member specifically instructs OCC to the contrary. Conversely, a contract under its in-the-money threshold will not be exercised unless OCC's Clearing Member specifically instructs OCC to do so.

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  • In this chapter, students will be able to understand: Investment banking services, brokerage services, sources of income, regulation of securities firms, risks of securities firms, valuation of a securities firm, interaction with other financial institutions, participation in financial markets, globalization of securities firms.

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  • In addition to banks, other financial institutions issue significant amounts of preferred stocks. For example, in 2007 Freddie Mac and Fannie Mae raised $13 billion through two preferred stocks offerings. Similar to banks, Fannie Mae and Freddie Mac have capital requirements that make preferred stocks an attractive source of capital. The Federal Housing Finance Agency (FHFA), which regulates Fannie Mae and Freddie Mac, requires them to maintain a level of “core capital,” comprised of common stock, retained earnings, and perpetual, non-cumulative preferred stock.

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  • I would like to extend my thanks to all those who contributed to this study. In addition to the research team, I would like to thank the PSE, the Capital Market Authority, the brokerage firms and the other experts we interviewed whose comments and ideas we benefited from. For the same reason, I am grateful to all the participants at the workshop during which the study was presented and discussed. Thanks also go to Dr. Basem Makhool, Dr. Atef Alawneh, and Dr. Sulaiman Abbadi for reviewing and refereeing the study. Last but not least, I want to extend my thanks...

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  • The Palestinian stock market has a number of key players, including the Palestine Securities Exchange, public listed companies, brokerage firms, the Capital Market Authority (CMA) and shareholders. The Palestine stock market was created in 1996, performing its first deal early in 1997. It evolved quickly in the last ten years, the number of listed companies reaching 35 with a capitalization of US$ 950 million.

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  • A major in Finance will offer you a wide range of employment opportunities. Potential careers may be found in corporations, retail and wholesale banking, insurance companies, finance companies, and brokerage houses. Specific jobs include portfolio management, risk management, personal financial planning advisory services, project and investment analysis, treasury operations, foreign exchange and money market dealing, and equity operations. A sample of career possibilities is below along with some of the roles performed in those jobs.

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  • Salomon Brothers Investment banking firm founded by Arthur, Percy, and Herbert Salomon in 1910 in New York City. The original firm began as a money broker between brokerage houses and banks on Wall Street and slowly began trading in bonds during World War I.

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  • With complaints and inquiries from senior citizen investors concerning financial services and investment fraud increasing, the Missouri Securities Division, a division in the Office of Missouri Secretary of State Robin Carnahan, 1 took steps to determine how to best increase protection for those investors.

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