Sentences with phrase «broker dealer websites»

Not exact matches

While recent changes to securities law permit companies to raise money from small investors through Kickstarter - style projects, the SEC noted the «DAO» project did not comply with formalities for doing so, such as registering as a broker - dealer or registering the website with regulators.

Club membership also gives members bragging rights as elite brokers, the ability to advertise their status on their websites, and priority when accounts of departing brokers are redistributed or when customers are referred to the broker - dealer from other parts of Bank of America, according to a description of the recognition clubs in Merrill's 2014 compensation booklet.

The firm's website explains that by using its newly unveiled service, companies interested in holding a token offering can «Access a large range of securities & compliance capabilities by conducting token sales through a registered broker dealer and [Financial Industry Regulatory Authority] registered funding portal.»

The website also falsely claimed that its managing affiliate, «Williams Corporation,» which operates out of Hong Kong and Dubai, was both a «licensed and brokered» global firm and a «licensed securities dealer,» when in fact it was neither registered with the State Securities Board nor the Financial Industry Regulatory Authority.

You are leaving the Equity Institutional website to enter the ETC Brokerage Services (Member FINRA / SIPC) website, the registered broker - dealer affiliate of Equity Trust Company.

You are leaving the Trustetc.com to enter the ETC Brokerage Services (Member FINRA / SIPC) website, the registered broker - dealer affiliate of Equity Trust Company.

To determine whether a particular trading platform / binary options broker is registered with the SEC as a broker - dealer, visit the FINRA BrokerCheck website.

You are leaving the Equity Institutional website to enter the ETC Brokerage Services (Member FINRA / SIPC) website, the registered broker - dealer affiliate of Equity Trust Company.

While the firm's website is currently not accessible, information from Scambroker, a website that scrutinizes securities brokers and dealers, shows that the firm has been handling cryptocurrency trading services and is not registered with the FCA as a licensed broker.

You are leaving the Trustetc.com to enter the ETC Brokerage Services (Member FINRA / SIPC) website, the registered broker - dealer affiliate of Equity Trust Company.

You are leaving the Equity Institutional website to enter the ETC Brokerage Services (Member FINRA / SIPC) website, the registered broker - dealer affiliate of Equity Trust Company.

«It is also important to distinguish whether the site is an Amazon.com (ticker: AMZN) of real estate, wherein anyone who pays a fee can list their opportunities and no material due diligence has been conducted, or a website that is operated by broker - dealer or sponsors themselves,» he says.

The contents of this website constitute neither an offer to sell nor a solicitation of an offer to buy any security which can be made only by prospectus, filed or registered agencies, and sold by broker / dealers authorized to do so.