Securities dealers

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  • Java EE 6 Cookbook for Securing, Tuning, and Extending Enterprise Applications Packed with comprehensive recipes to secure, tune, and extend your Java EE applications professional expertise distilled . Neither the author, nor Packt Publishing, and its dealers and distributors will be held liable for any damages caused or alleged to be caused directly or indirectly by this book. Packt Publishing has endeavored to provide trademark information about all of the companies and products mentioned in this book by the appropriate use of capitals.

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  • Rule 2210 also generally requires mutual fund advertisements to be filed with FINRA’s Advertising Regulation Department. 11 This general filing requirement, however, only applies to mutua fund advertisements and therefore does not apply with respect to private fund advertisements. 12 FINRA nevertheless has the ability to inspect and review its members’ communications, including communications about private funds.

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  • On February 27, 2001, the Securi- ties and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2520 relating to margin requirements for day traders (the “amendments”). 1 The amendments become effec- tive on September 28, 2001 and are substantially similar to amend- ments by the New York Stock Exchange (NYSE) to its margin rules. 2

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  • The cost method presents no special complications. Interest-bearing debt securities that are purchased between interest dates are recorded at cost, which is market value on the date of acquisition. Accrued interest since the last interest payment date is recorded as interest receivable.Accrued interest is added to the cash paid because, at each interest date, the inter- est is paid to whomever holds the securities regardless of when they actually purchased them.

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  • It is important to note that the requirements for sustainability condi- tions vary by subsection because they are inherently different. In par- ticular, these requirements to create sustainability may be more difficult to achieve in practice in water and sanitation, in drainage, and in the transportation subprojects than they are in building schools or clinics.

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  • The smooth functioning of the money market depends critically on brokers and dealers, who play a key role in marketing new issues of money market instruments and in providing secondary markets where outstanding issues can be sold prior to maturity. Dealers use RPs to finance their inventories of securities. Dealers also act as intermediaries between other participants in the RP market by making loans to those wishing to borrow in the market and borrowing from those wishing to lend in the market. Brokers match buyers and sellers of money market instruments on...

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  • Competition among banks for funds ties the RP rate closely to the federal funds rate. The RP rate has historically been below the federal funds rate because RPs are collateralized, which makes them safer than federal funds, and because arranging RPs entails additional transactions costs. Data on RP rates paid by banks to their corporate customers are not available, but from 1983 to 1990 the dealer RP rate (the rate government security dealers pay to obtain funds through RPs) was around 20 to 25 basis points below the federal funds rate. For reasons...

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  • In addition to being the president, Peter Schiff is also a registered representative and owner of Euro Pacifi c Capital, Inc. (Euro Pacifi c). In addition to his duties as director of communications, Andrew Schiff is also a stock broker at the fi rm. Euro Pacifi c is a FINRA registered Broker-Dealer and a member of the Securities Investor Protection Corporation (SIPC).

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  • Originally, several provisions under Dodd-Frank con- cerning swaps would have taken effect on July 16, 2011, but since such provisions required the SEC and CFTC to implement fi nal rules, that date was not achievable. 6 The effective date of most provisions was consequently delayed until December 31, 2011 or until new rules be- come effective, if earlier. 7 Importantly, any provision that references “swap,” “security-based swap,” “swap dealer,” and “major swap participant” is delayed because these defi nitions have not yet been fi nalized.

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  • Excluded from the defi nition of “swap dealer” are entities entering into swaps for their own account and “not as part of a regular business.”16 Accordingly, it is likely that many private funds would be excluded from the defi nition, in the same way that private funds are generally considered to be “traders” and not “dealers” under Section 3(a)(5) of the Exchange Act because they buy and sell securities for their own account and not as part of a regular business. Additionally, a person or entity that engages in a de minimis quantity of swap dealing is not...

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  • You may monitor the market yourself, though at larger firms you’ll be able to rely on the assistance of the money market trading desk. The traders on the desk will contact broker-dealers to review their in- ventory of securities and keep them familiar with the needs of your funds. They’ll also be in touch with corporations interested in issuing commercial paper directly to the buyers, without a broker-dealer as an intermediary. The traders will also help out by monitoring the daily cash needs of the fund.

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  • As part of our latest programme we completed new and follow-up visits to 150 firms that together sell over 1.6m PPI policies a year with a premium value of over £750m. These firms, large and small, represented a wide range of sectors including banks, building societies, friendly societies, mortgage brokers, credit/loan brokers, retailers and motor dealers. We looked at PPI sold alongside unsecured personal loans, revolving credit (credit cards and instalment finance), prime mortgages, other insurance policies and secured loans.

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  • The RBI operates the government bond market, and therefore acts as monetary authority and debt manager, as well as regulator of the government bond market and its key participants— primary dealers and banks. 6 Other participants are regulated by SEBI, the Insurance Regulatory and Development Agency (IRDA), or the Provident Fund regulator. New securities are issued by auction, with primary dealers required to participate. Trading is a mix of OTC bilateral negotiation and an order matching system.

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  • The term “NRSRO” was originally adopted by the Commission in 1975 solely for determining capital charges on different grades of debt securities under the Net Capital Rule. 9 The Net Capital Rule requires broker-dealers, when computing net capital, to deduct from their net worth certain percentages of the market value of their proprietary securities positions.

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  • The stock exchange’s managing authorities are defined by the stock exchange Statute, which came into force on February 9, 2004. The Assembly includes represen- tatives of stock exchange shareholders. Currently there are fifty-seven shareholders, out of whom the highest number is represented by the Banks (forty-one representa- tives), legal entities (ten representatives), and one representative each from the bro- kerage/dealers’ society, Postal Savings Bank, Energoprojekt Garant a.d.

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  • The Reserve Banks perform these services as f iscal agents for these enti- ties. Securities are safekept in the form of electronic records of securities held in custody accounts. Securities are transferred according to instruc- tions provided by parties with access to the system. Access to the Fed- wire Securities Service is limited to depository institutions that maintain accounts with a Reserve Bank, and a few other organizations, such as federal agencies, government-sponsored enterprises, and state govern- ment treasurer’s off ices (which are designated by the U.S.

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  • In the following decades, the insurance regulators of the 48 (and eventually 50) states followed a similar path. State insurance regulators established minimum capital requirements that were geared to the ratings on the bonds in which the insurance companies invested—the ratings, of course, coming from the same small group of rating agencies. Once again, an important set of regulators had delegated their safety decisions to the credit rating agencies. In the 1970s, federal pension regulators pursued a similar strategy.

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