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Within the U.S. government, security clearance levels serve as a mechanism to ascertain which individuals are authorized to access sensitive or classified information. These levels often appear in employment postings for Defense related jobs and other jobs involving substantial amounts of responsibility, such as air traffic control or nuclear ...
In connection with an investigation into the SEC's role in the collapse of Bear Stearns, in late September, 2008, the SEC's Division of Trading and Markets responded to an early formulation of this position by maintaining (1) it confuses leverage at the Bear Stearns holding company, which was never regulated by the net capital rule, with leverage at the broker-dealer subsidiaries covered by ...
In order to qualify for a portfolio margin account, a broker-dealer customer must meet the minimum equity guidelines as set by FINRA: $100,000 for customers of firms that have real-time intra-day monitoring systems, $150,000 for customers of firms without real-time intra-day monitoring systems, and $500,000 for Prime Broker customers or ...
So don’t overlook the security of any exchange or broker you’re using. ... experienced a number of years with losses of 55 percent to 73 percent and gains of 300 percent or more,” says Black ...
These range from trading in physical shares either directly or via margin lending, to using derivatives such as futures, options or covered warrants. A number of brokers have been actively promoting CFDs as alternatives to all of these products. [37] The CFD market most resembles the futures and options market, the major differences being: [38 ...
In financial services, a broker-dealer is a natural person, company or other organization that engages in the business of trading securities for its own account or on behalf of its customers. Broker-dealers are at the heart of the securities and derivatives trading process.
With interest rate cuts looming and the stock market trading near all-time highs, some investors are looking for a safe asset that has a proven track record of gains — and that’s gold. 5 ways ...
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