Sentence examples for securities brokers from inspiring English sources

§ 404.5 Securities counts by registered government securities brokers and dealers.

Section 17(a) requires that securities brokers or dealers "make..

§ 404.2 Records to be made and kept current by registered government securities brokers and dealers; records of non-resident registered government securities brokers and dealers.

§ 403.5 Custody of securities held by financial institutions that are government securities brokers or dealers.

§ 404.3 Records to be preserved by registered government securities brokers and dealers.

§ 405.3 Notification provisions for certain registered government securities brokers and dealers.

Matsui Securities, founded in 1931 by Takeshi Matsui, was a traditional securities broker until 1995, when it shifted its focus to online.

(B) The Securities and Exchange Commission for a securities broker or dealer.

Mr. Cunningham, 39, a negotiable securities broker, lived fully.

If the Commission finds that any registered government securities broker or registered government securities dealer is no longer in existence or has ceased to do business as a government securities broker or government securities dealer, the Commission, by order, shall cancel the registration of such government securities broker or government securities dealer.

"government securities broker" has the meaning prescribed in section 3(a)(43) of the Securities Exchange Act of 1934.