How To Use Securities firm In A Sentence
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Lorraine has a great job in the city; she is a head secretary for a large and important stocks and securities firm.
ICED
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The lackluster performance ended one of the bumpiest years in the firm's 142-year-history with a thud that deepened questions about how Goldman, Morgan Stanley and other securities firms can expand without revving up some of the same risky practices that helped cause the financial crisis.
Goldman Profit Is Pinched by New Rules
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Retailers and securities firms led losses in Korea, while some machinery maker stocks outperformed on bargain-hunting.
Asian Shares Lose Ground; Concerns Over Greece Debt
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But the growing muscle of securities firms in the metal-storage business is riling users and traders, who say the firms have both a bird's-eye view of supply and demand and the ability to control what goes in and out of their warehouses.
Commodities Beckon Banks
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If the Deutsche Börse deal goes through, the combined company would tower over Nasdaq, marooning Mr. Greifeld without a major merger partner for the electronic market, launched in 1971 by Wall Street securities firms.
Executive Showdown at the Big Board Corral
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If securities regulators across the nation work together more effectively, Mr. Borg adds, they could reverse the traditional calculation by ne'er-do-well securities firms and brokers that "the reward has always outweighed the risk, even on bad products.
In Alabama, Beware the Borg
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Article 15 Failure by a securities firm to its payment and settlement obligation constitutes default.
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Lorraine has a great job in the city; she is a head secretary for a large and important stocks and securities firm.
ICED
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To avoid heavy losses, the banks had their captive securities firms package the loans and sell them as securities to the proverbial widows and orphans.
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Remove the restriction that the domestic partner in a JV securities firm has to be an existing securities firm.
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But the growing muscle of securities firms in the metal-storage business is riling users and traders, who say the firms have both a bird's-eye view of supply and demand and the ability to control what goes in and out of their warehouses.
Commodities Beckon Banks
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A securities firm shall fully disclose the fee schedule and itemized thereofproducts and services it provides.
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Outsize bonuses at big banks and securities firms have never been more controversial.
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The biggest securities firms, for example, continued to pay their reps more for selling proprietary products than outside ones.
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Many foreign securities firms have been investing in China by means of technical support and consultancy.
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Securities regulatory authority State Council should coordinate and supervise administrative restructuring of the securities firm.
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Co. have sued the securities firm for alleged racial discrimination over an electronic mailing they said contained racist jokes.
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The shortfall is widely blamed on the pell-mell panic inside MF Global to keep the securities firm alive long enough to arrange a sale.
Money From MF Global Feared Gone
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Conflict: Because the bank is affiliated with the securities firm it has an interest in the success of the underwriting activity.
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The payments usually get bigger if the broker is successful at the new firm, but if a broker leaves early, the securities firm typically wants some money back.
Signing Bonuses Haunt Wall Street
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The securities firm shall employ ongoing training to improve the professional ethics of wealth managers.
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Effective supervision of securities firms of their employees and agents is a foundation of the federal regulatory scheme of investor protection.
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In 2001, a few newspapers carried stories on local securities firms swindling money from investors but soon all fell silent.
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Remove the restriction that the domestic partner in a JV securities firm has to be an existing domestic securities firm.
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Some securities firms arrange bank loans for customers, earning fees for doing so.
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The Japanese securities firm has made periodic efforts to secure a solid investment banking foothold in London.
Times, Sunday Times
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The securities firm shall employ ongoing training to improve the professional ethics of wealth managers.
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This observation was made by a new branch manager in a securities firm.
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Managers in the computer company found it somewhat easier to establish supportive peer relationships than those in the securities firm.
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I witnessed how these institutions, Wall Street securities firms, and other non-banks took up the slack from an impaired banking system.
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Effective supervision of securities firms of their employees and agents is a foundation of the federal regulatory scheme of investor protection.
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Article 10 The entrusted securities firm should undertake custody fee and business operation cost during custody.
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If securities regulators across the nation work together more effectively, Mr. Borg adds, they could reverse the traditional calculation by ne'er-do-well securities firms and brokers that "the reward has always outweighed the risk, even on bad products.
In Alabama, Beware the Borg
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These feelings were particularly acute for the branch managers in the securities firms.
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For securities firms, being a top-ranked bookrunner tends to attract more business, not only in placing deals but in secondary market trading.
Wall Street Grabs for Stock Deals
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Securities firms shall comply with the regulations of the Competent Authority and set aside a portion of its annual after-tax profit as special reserve.
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Managers in the computer company found it somewhat easier to establish supportive peer relationships than those in the securities firm.
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Republican gains in Congress will likely give Wall Street only a limited reprieve from the sweeping financial overhaul signed into law in July, while exposing banks and securities firms to heightened risk of hostile rhetoric from tea-party lawmakers.
Reprieve for Wall Street Is Expected to Be Limited