broker-dealer 中文意思是什麼

broker-dealer 解釋
經紀自營商
  • broker : n. 1. （股票等的）經紀人，掮客；（買賣的）中間人，代理人。2. 〈英國〉舊貨商人；當鋪主；（經官方批準對債務人被扣押財物的）估價員[出售人]。3. 〈口語〉婚姻介紹人。
  • dealer : n. 1. 商人，…商。2. 發牌人，莊家。3. 以某種方式待人的人。
  1. The company also has a bank overseen by the office of thrift supervision ; an insurance unit ; a subsidiary that provides borrowers with loan closing services like appraisals and flood certifications ; and a broker - dealer that trades securities

    它還通過海石竹管理機構分支控制一家銀行，一家保險公司以及一家向貸款者提供還貸業務像評估和提供洪水證明的子公司；一家證券交易所。
  2. Csfb and ssb engaged in inappropriate spinning of " hot " initial public offering allocations in violation of sro rules requiring adherence to high business standards and just and equitable principles of trade, and the firms books and records relating to certain transactions violated the broker - dealer record - keeping provisions of section 17 of the securities exchange act of 1934 and sro rules nyse rule 440 and nasd rule 3110

    面對空中客車公司的激烈競爭，波音與麥道的合併有利於維護美國的航空工業大國地位其次，盡管美國只有波音公司一家干線民用飛機製造企業，但由於存在來自勢均力敵的歐洲空中客車的競爭，波音公司不可能在開放的美國和世界市場上形成絕對壟斷地位。如果波音濫用市場地位提高價格，就相當于把市場拱手讓給空中客車。
  3. Has a firm or company registered under the securities laws of any jurisdiction as a securities dealer, broker, investment advisor or underwriter, suspended or terminated your employment for cause

    是否曾因某種原因被依法注冊的券商、經紀、投資顧問或承銷商暫時中止或永久終結工作？
  4. Have you ever filed a complaint against a foreign exchange dealer, securities broker or commodities dealer

    您曾經抱怨過外匯經紀商，或期貨交易商嗎？
  5. The company is invested by the china foreign exchange trade system & national interbank funding center ( cfets ) and icap plc, the world ' s largest inter - dealer broker

    合資公司由中國外匯交易中心暨全國銀行間同業拆借中心與全球最大的貨幣經紀公司毅聯匯業（ icap ）集團共同發起設立。
  6. The china foreign exchange trade system & national interbank funding center ( cfets ) and icap plc, the world ' s largest inter - dealer broker, are approved by china banking regulatory commission to form a joint venture - - - shanghai cfets - icap international money broking co

    中國外匯交易中心暨全國銀行間拆借中心與世界最大的貨幣經紀公司之一icap集團獲中國銀監會的批準在上海籌建一家合資貨幣經紀公司?上海國際貨幣經紀有限責任公司。
  7. The same individual or firm may function, at different times, either as broker or dealer

    在不同時期，同一個人或公司可能會分別充當經紀商或自營商的角色。
  8. Also, the amount of cash and easily liquidated assets that a broker / dealer or bank needs to meet sec regulations

    也指經紀人/交易商或銀行因要滿足sec規定而持有的現金和可迅速變現的資產。
  9. Shanghai cfets - icap international money broking co., ltd. is an inter - dealer broker approved by the china banking regulatory commission

    上海國際貨幣經紀有限責任公司是一家由中國銀行業監督管理委員會批準設立的合資貨幣經紀公司。
  10. Globalink securities, inc. nasd sipc broker dealer division was established in 1997 as a california corporation. today, globalink securities is a registered broker dealer with securities and exchange commission and registered in 27 us states as a general securities broker dealer. globalink securities, inc. offers a wide range of securities and investment vehicles

    歡迎進入格林證券美股通，我們將提供您在投資理財上專業的服務團隊以及高水平的交易平臺，與最強的技術支持，讓您享有最佳的服務質量，並希望能讓您在投資理財的道路上事半功倍。
  11. Blodget also has agreed to a federal court order that will enjoin him from future violations of the federal securities laws and nasd and nyse rules. blodget also will be censured and permanently barred from associating with any broker, dealer, or investment adviser

    總之，投資銀行對客戶和整個社會承擔一種誠信fiduciary義務和責任，主要表現為不同業務部門之間的利益沖突，尤其是其咨詢分析業務存在的利益沖突。
  12. Idb inter - dealer broker

    交易商之間經紀人
  13. Increased sales of 401 pension products, due to the continued penetration of the broker dealer market, were offset by lower variable annuity sales as a result of the volatile equity markets during the quarter

    401 k退休金產品銷量因持續滲透經紀市場而增加，但因股市于季內表現反覆導致變額年金銷量下跌而抵銷。
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