WebJun 5, 2014 · The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about bank sweep programs, which some broker-dealers offer to their customers as a way to manage cash in their brokerage accounts. This Investor Bulletin describes some of the potential risks associated with bank sweep programs and … WebNov 21, 2024 · Brokerage firms typically pool client assets and include them on their balance sheet. This process is commonly referred to as holding assets in “street name.” Investors should note the language in a brokerage firm’s account agreement, assessing any permission for the broker-dealer to lend, pledge or otherwise use customer securities.
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WebDec 21, 2016 · The broker-dealer must have available facilities that allow SEC and SRO staffs to locate or readily access the appropriate records, read them and produce or download them. 7. Facsimile Enlargements. The broker-dealer must be able to immediately provide any facsimile enlargement of the record that the SEC, SRO or state securities … WebAug 27, 2012 · Gleacher & Company, Inc. (Nasdaq: GLCH) is an independent investment bank that provides corporate and institutional clients with strategic and financial advisory … unterminated lvds
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WebApr 18, 2011 · Gleacher & Company, Inc. (Nasdaq: GLCH) is an independent, full service investment bank that provides corporate and institutional clients with strategic, research-based investment opportunities, capital raising, and financial advisory services, including merger and acquisition, restructuring, recapitalization, and strategic alternative analysis ... WebApr 12, 2024 · (a) Each member shall maintain the following information: (1) for each account: (A) customer's name and residence; (B) whether customer is of legal age; (C) name(s) of the associated person(s), if any, responsible for the account, and if multiple individuals are assigned responsibility for the account, a record indicating the scope of … WebI An investment adviser formed as a corporation sells all of its stock to an acquiring broker-dealer. II An investment adviser formed as a partnership has a partner with a 25% interest resign. III An investment adviser formed as a partnership has 1 partner leave and take the contract to a new advisory firm. A. unterminated key property part