dealer in securities 中文意思是什麼

dealer in securities 解釋
證券經記人
  • dealer : n. 1. 商人，…商。2. 發牌人，莊家。3. 以某種方式待人的人。
  • in : adv 1 朝里，向內，在內。 A coat with a furry side in有皮裡子的外衣。 Come in please 請進來。 The ...
  • securities : 期貨
  1. 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。
  2. It is a registered securities dealer in hong kong and its principal activity is securities brokering. it currently holds three trading rights of the stock exchange of hong kong ltd. " the exchange "

    該公司是本港的注冊證券交易商，其主要業務是提供證券經紀服務，現持有3個由香港聯合交易所有限公司聯交所發出的交易權。
  3. A former dealer of a securities company was charged for allegedly stealing 1. 6 million worth of shares and warrant shares in various companies from clients

    廉政公署落案起訴一名前證券行經紀，懷疑她從客戶盜取共值一百六十萬元的多間公司股票及認股證。
  4. Y ltd. was incorporated in hong kong on 28 february 1989 and it is an associated company of x ltd. it is a registered dealer under the securities ordinance. it currently holds 5 trading rights of the exchange

    Y有限公司於1989年2月28日在香港注冊，它是x有限公司的相聯公司，按證券條例注冊為交易商，現持有5個由聯交所發出的交易權。
  5. Part three was the discovery on the questions about system of relief on substantial law from the point of judicial practice which included four parts. in the first part, this article held that the proper defendant should including issuer of securities, initiator of securities, directors, supervisors and managers of issuer, securities dealer and its high official, intermediary " organization and its liable person, and securities supervision commission and that each kind of the said persons have their own grounds for exemption

    正文第三部分主要是從司法實踐角度來研究虛假陳述實體法救濟制度諸問題，包括四部分內容:一是賠償義務主體的范圍及抗辯理由。關於前者，本文從比較法角度提出責任主體應包括證券發行人，證券發起人，發行人的董事、監事和經理，證券承銷商及其高級管理人員，證券中介機構及其責任人員以及中國證監會，並一一分析其具體范圍及可行性問題。
  6. A former dealer of a securities company was sentenced to six years imprisonment for swindling about 12 million worth of cash and shares from her clients to make up for her own losses in share investment

    一名前證券行經紀，因個人投資失利侵吞多名客戶總值一千二百萬元現金及股票，以填補其個人損失，被判入獄六年。
  7. Bondsinasia has developed btx, the most sophisticated global electronic trading platform for asian fixed income securities. btx supports multi - dealer functionality in both local currency bonds and g3 denominated asian credits. it allows market makers and institutions to complete asian fixed income deals electronically on a bilateral basis with speed and efficiency in a secure environment

    邦盛亞洲的專用交易科技可支持多位交易商參與亞洲區本土貨幣債券及由亞洲發債體發行以貨幣為單位的債券的交易，讓市場莊家與機構可以在安全的環境下，快捷有效地在雙邊基礎上進行亞洲區定息債券的電子交易。
  8. But dealer system is a trend of deal system in securities markets in the world, so it brings forward some advices of developing dealer system in china

    但從世界范圍看，做市商制度是證券市場交易制度的一種趨勢，因此提出在國內發展做市商制度的一些建議。
  9. 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。
  10. Cease - and - desist proceedings. ? section 21c ( c ) ( 2 ) of the securities exchange act of 1934 ( 15 u. s. c. 78u ? 3 ( c ) ( 2 ) ) is amended by inserting ‘ ‘ registered public accounting firm ( as defined in section 2 of the sarbanes - oxley act of 2002 ), ’ ’ after ‘ ‘ government securities dealer, ’ ’

    1934年的證券交易法的21c部分由本法案作出修訂，並在「政府證券經銷商」後面增加了「注冊會計師事務所」 （該術語由2002年薩班斯奧克斯利法案的第二部分定義） 。
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