Sentence examples for small broker from inspiring English sources

When Fuld took over, the bank was relatively small broker, with revenues of just $75m.

He said that many auditors of small broker dealers had told the board they believed that they were exempt from the S.E.C. independence rules.

You can also cash in your coins at any time and get real currency in return, for a small broker fee, he adds.

And small brokers, unlike big banks, are still permitted by regulators to pay all-cash bonuses.A good small broker can flourish in the market's interstices serving the clients the big banks neglect and providing specialist research.

Mr. Stein thinks it is vital for numerous small broker age houses to exist, more over, so that public investors will not be discriminated against in the efforts of Amer ican industry to raise capital.

Nadel & Co., a small broker age firm with memberships on the New York Stock Exchange and American Stock Exchange, said yesterday that it had ceased operations, preparatory to the sale of its business.

Large and small broker-dealers will then have until November 2018 and November 2019, respectively, to start reporting their data.

Large broker-dealers will have two years from the plan's approval to begin reporting data (latest November 2018) and small broker-dealers will have three years (latest November 2019).

"They missed a lot of serious problems while picking on issues that are not important in the scheme of things," said Joseph Mays Jr., a former examiner at Finra's predecessor, who currently advises small broker-dealers on regulatory matters.

One of the advisers on the deal was Axes America, a small broker-dealer in New York headed by two Japanese bankers, Hajime Sagawa and Akio Nakagawa, who had worked together at Drexel Burnham Lambert.

At one end are dozens of small brokers who hawk ideas for offset projects to arms-makers and their clients.