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David S. Schaffer, a transactional lawyer with experience in restructurings, mergers and acquisitions and securities transactions, has joined the Chicago office of Bryan Cave as a partner.
Ticker, high-speed means of reporting information on securities transactions.
It is used today to mean all securities transactions that are handled outside the exchanges.
The agency's spending is entirely offset by fees assessed on securities transactions.
Through most of the 1990s, its staff barely grew, even though the volume and value of securities transactions exploded.
For years, the two men ran a sleepy operation arranging private securities transactions and advising on mergers.
Still, these parties must share in the losses to reinforce the need for due diligence in securities transactions.
[C4.] Korea to Investigate Conglomerates South Korea plans to investigate six large conglomerates on suspicion of illegal securities transactions.
Let bankers be bankers, insurance executives sell insurance policies, and stockbrokers act as intermediaries in securities transactions.
Ameritrade and Datek say the unit, a business called IClearing that processes securities transactions, is not doing anything wrong.
"Broker-dealer registration helps ensure those who effect securities transactions can be relied upon to understand and faithfully execute their obligations to customers and the markets".
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