Sentences with phrase «for dealer firms»

IIROC issues cybersecurity report cards for dealer firms [Press release].

Not exact matches

«For almost a decade, many of the largest and most prominent private equity firms appear to have chosen to increase their bottom line without subjecting themselves to the oversight, limitations and expenses of the required broker dealer regulatory regime,» Thomas said.

Broker - dealers can sell any product considered «suitable» for a particular customer's net worth and risk appetite, even if they choose one that is more lucrative to the firm or adviser.

Mr. Francois, 49, on the job at Chrysler for 15 months, is gaining a reputation among his ad agencies, dealers and staff for surprising them and taking the kinds of risks that make them feel more confident than they ever did while owned by German carmaker Daimler or private - equity firm Cerberus Capital.

FINRA Rule 2111 requires, in part, that a broker - dealer or associated person «have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the [firm] or associated person to ascertain the customer's investment profile.»

Follow Carolyn on LinkedIn for her unique perspective on how home office executives can tackle the opportunities and challenges facing broker - dealer firms.

GrowthCap is a trade name for GrowthCap, LLC and its subsidiaries and other affiliates which include: GrowthCap Partners, LLC, a Delaware limited liability company, registered broker - dealer and FINRA and SIPC member firm, which provides independent financial advice on private placements, mergers, acquisitions, financial restructurings and similar corporate finance matters, and financial advisory.

Broker - dealers are helping investors make better retirement decisions as a result of procedural changes firms have made in preparation for the DOL fiduciary rule, according to a study done by state regulators on the Individual Retirement Account rollover market.

We conduct trillions of dollars annually in financial transactions for our customers, including the world's largest banks, broker - dealers, investment banks, trading firms, hedge funds, governments and investment firms.

Additionally, blockchain asset management firm Templum and broker - dealer Liquid M Capital have also unveiled plans for a registered ATS that will facilitate ICO security token exchange and issuance.

Last week, Cuomo officials designated the three banks that contributed the campaign funds — JPMorgan Chase, Citigroup and Bank of America — as the dealers for a $ 33 million bond issue, enabling the firms to reap lucrative fees.

But the comptroller's internal hiring controls apparently missed that Kang was fired from an investment firm prior to taking the state job for accepting an $ 8,000 Rolex watch in return for giving business to an unnamed securities dealer, according to the Bharara indictment.

Online used car subscription service firm Fair's partnership with Ally Financial gives Fair a way for dealers to dispose of used cars that come back into the system and also access to... Read more

With 755 horsepower the 2019 Chevrolet Corvette zr1 is the most powerful Corvette ever it's also the most technologically advanced behind me are the rolling s's at Road Atlanta and we're here to see if we can reach to the supercar levels of performance afforded by this thing's massive power big tires and the tall wing on the back after that we'll take to the streets to see if a car this powerful can behave itself in public this is a monster of a car I've had some brief track opportunities moving this morning to get used to the pace of this machine which is phenomenal we're gonna warm up as we get out to the road Atlanta and sort of build up to the pace that this car can operate at now initially when you hop in this car you have this shrine to the engine right above you you see the line of the hood it kind of dominates the center of the view you can see over it it doesn't affect visibility but it's immediately obvious and that kind of speaks to what makes this car special it's a monster of an engine listen to that [Music] that is tremendous tremendous acceleration and incredible power but what I finding so far my brief time here at the Atlanta is that everything else in the car is rut has risen to match hurt me while I lay into it on the back straight look you know 150 mile - an - hour indicated we're going to ease up a little bit on it because I need to focus on talking rather than driving but like I was saying the attributes of the rest of the car the steering the braking capability the grip every system of this car is riding to the same level of the power and I think that's what makes it really impressive initially this is undoubtedly a mega mega fast car but it's one that doesn't terrify you with its performance potential there's a level of electronic sophistication that is unparalleled at this price point but it's hard not to get you know totally slipped away by the power of this engine so that's why I keep coming back to it this car has an electronically controlled limited slip differential it has shocks filled with magnetically responsive fluid that can react faster to inputs and everything this car has a super sophisticated stability control system that teaches you how to drive it quick but also makes you go faster we haven't even gotten into exploring it yet because the limits of this car are so high that frankly it takes a while to grow into it but [Music] I think what's impressive about this car is despite how fast it is it is approachable you can buy this car to track dates with it and grow with it as a driver and as an owner I think that's a really special [Music] because you will never be more talented than this car is fast ever unless you are a racing driver casually grazing under 50 miles an hour on this straight okay I'm just going to enjoy driving this now [Music][Applause][Music] this particular Corvette zr1 comes with the cars track performance package a lot of those changes happen underneath the sheet metal but one of the big differences that is immediately obvious is this giant carbon fiber wing now the way this thing is mounted is actually into the structure of the vehicle and it makes you know loading the rear hatch a bit more difficult but we're assuming that's okay if you're looking for the track performance this thing delivers also giving you that performance are these Michelin Pilot Sport cup tires which are basically track oriented tires that you can drive on the street but as we wake our way to the front of the thing what really matters is what's under the hood that's right there's actually a hole in the hood of this thing and that's because this engine is so tall it's tall because it has a larger supercharger and a bunch of added cooling on it to help it you know keep at the right temperature the supercharger is way larger than the one on the zo six and it has a more cooling capacity and the downside is it's taller so it pops literally through the hood the cool thing is from the top you can actually see this shake when you're looking at it from you know a camera from the top of the vehicle this all makes for 755 horsepower making this the most powerful Corvette ever now what's important about that is this not just the power but likewise everything in the car has to be built to accommodate and be able to drive to the level of speed this thing can develop that's why you had the massive cooling so I had the aerodynamics and that's why I had the electronic sophistication inside [Applause] we had a lot of time to take this car on the track yesterday and I've had the night to think about things Matt today two crews on the road and see how this extreme performance machine deals with the sort of more civil minded stuff of street driving the track impressions remain this thing is unquestionably one of the most capable cars you can get from a dealer these days a lot of that's besides the point now because we're on the street we have speed limits they have the ever - present threat of law enforcement around every corner so the question is what does this car feel like in public when you slow this car down it feels like a more powerful Corvette you don't get much tram lining from these big wheels though we as the front end doesn't want to follow grooves in the pavement it is louder it is a little firmer but it's certainly livable on a day to day basis that's surprising for a vehicle of this capability normally these track oriented cars are so hardcore that you wouldn't want to drive them to the racetrack but let's face it you spend more time driving to the track than you do on the track and the fact that this thing works well in both disciplines is really impressive I can also dial everything back and cruise and not feel like I'm getting punished for driving a hardcore track machine that's a that's a really nice accomplishment that's something that you won't find in cars that are this fast and costs maybe double this much the engine in this car dominates the entire experience you can't miss the engine and the whole friend this car is sort of a shrine to it the way it pops out of the hood the way it's covered with coolers around the sides it is the experience of this car and that does make driving this thing special and also the fact that it doesn't look half bad either in fact I think it has some of the coolest looking wheels currently available on a new car this car as we mentioned this car has the track package the track package on this car gives you what they call competition bucket seats which are a little wide for my tastes but I'm you know not the widest person in the world this automatic transmission works well I mean there's so much torque again out of this engine that it can be very smooth and almost imperceptible its clunky on occasion I think I'd might opt for the manual although Chevy tells me about 80 % of its customers will go for the automatic I don't think they're gonna be disappointed and that's gonna be the faster transmission drag strip on the street - and on the racetrack man it was a little bit more satisfying to my taste though we've talked about the exhaust I have it set in the track setting let's quiet it down a little bit so you can hear the difference now I've set that separately from everything else so let's put it stealth what happened to the engine sound that's pretty that's pretty amazing man stealth is really stealth and then go back to track Wow actually a really big difference that's that's pretty great the Corvette has always been a strong value proposition and nowhere is that more evident than this zr1 giving you a nearly unbeatable track performance per dollar now the nice thing is on the road this doesn't feel like a ragged edge track machine either you could genuinely drive it every day the compromises are few and that's what makes this car so special if you like what you see keep it tuned right here and be sure to visit Edmunds.com [Music]

Scott Meyer is the «brofounder» of 9 Clouds (brother + cofounder), a digital marketing firm proudly based in Sioux Falls, SD that provides inbound marketing for auto dealers.

U.S. Buick dealers have been asking for the Envision for the better part of the year, but a firm deal was not in place until General Motors signed a new four - year labor contract with the UAW, with sales of the Envision being part of the agreement.

FIF — a voluntary financial industry group composed of member firms such as broker - dealers, exchanges, and vendors — serves as a central resource for objective commentary and analysis on industry initiatives and informs regulators about the impact of proposed regulation and other market structure changes.

Interpositioning: A prohibited practice of placing another firm between a broker / dealer and the best available market for a security, denying the customer the best available price.

By registering for any of these emails, you agree to Buffalo's terms and conditions and that you are qualified as an institutional investor or otherwise member of a registered broker / dealer, registered investment advisor, or investment consulting firm.

General securities firms: Brokers or dealers who carry customer or other broker / dealer accounts and receive and hold securities and funds for those accounts.

Bond prices usually include a markup (when you are buying) or a markdown (when you are selling), that reflects the cost the broker - dealer firm incurs for holding the bond in inventory plus a profit.

Before his stint at Third Avenue, Mr. Wadhwaney was director of research for Marty Whitman's firm, M.J. Whitman LLC, a New York - based broker - dealer.

(1) The following shall be exempt from the Credit Services Organization Act: (a) A person authorized to make loans or extensions of credit under the laws of this state or the United States who is subject to regulation and supervision by this state or the United States or a lender approved by the United States Secretary of Housing and Urban Development for participation in a mortgage insurance program under the National Housing Act, 12 U.S.C. 1701 et seq.; (b) A bank or savings and loan association whose deposit or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or a subsidiary of such a bank or savings and loan association; (c) A credit union doing business in this state; (d) A nonprofit organization exempt from taxation under section 501 (c)(3) of the Internal Revenue Code; (e) A person licensed as a real estate broker or salesperson under the Nebraska Real Estate License Act acting within the course and scope of that license; (f) A person licensed to practice law in this state acting within the course and scope of the person's practice as an attorney; (g) A broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (h) A consumer reporting agency; (i) A person whose primary business is making loans secured by liens on real property; (j) A person, firm, corporation, or association licensed as a collection agency in this state or a person holding a solicitor's certificate in this state acting within the course and scope of that license or certificate; and (k) A person licensed to engage in the business of debt management pursuant to sections 69 - 1201 to 69 - 1217.

A new policy could make recognizing firms regulated by the Mutual Fund Dealers Association of Canada (MFDA) easier for Canadian investors.

The best sources for individual bonds tend to be larger broker - dealer firms or firms that specialize in selling bonds to individual investors.

A trade association representing independent broker - dealers and financial advisers is calling on Finra to allow firms to decide for themselves whether to supervise their representatives» work for third - party investment advisory firms.

Banks, trust companies and investment dealers also have investment management divisions which manage money for their firms» clients.

A firm or person who acts as an intermediary by buying and selling securities to dealers on an agency basis rather than for its own account.

Animal Broker A person, firm, partnership, corporation or association that purchases animals for resale to other brokers or pet dealers.

In 2016, he engineered the acquisition of the high - powered advisory firm Art Agency, Partners, for $ 50 million in cash, which has likely helped to grow the house's work in private sales, once the province of dealers and now an increasingly important source of revenue for auction companies.

Dealers like Cohan are «the gatekeepers,» said Hill, who recently became chairman of Blackstone Alternative Asset Management after running the hedge fund unit at the private - equity firm for almost 20 years.

Among the other high - value items yet to attract firm offers were Anish Kapoor's unique 20 - foot - wide snake sculpture, «Slug,» dating from 2009, offered by Paris dealer Kamel Mennour for 1.8 million pounds ($ 2.8 million); the Takashi Murakami figure, «Kiki,» offered by fellow Paris trader Paolo Vedovi at $ 1.6 million; and a painting by Abstract Expressionist Joan Mitchell, dating from 1958, at $ 4.5 million with New York dealers Cheim & Read.

The firm has designed spaces for New York art dealers such as David Zwirner, Hauser & Wirth, and has designed exhibitions for the Whitney Museum and the Venice Art Biennale.

So says Sheryl Harris, columnist for The Plain Dealer in Cleveland, who reports that law firms across the country have lost hundreds of thousands of dollars apiece in the scam.

Formed by the merger of Sallah & Cox, LLC and Beam & Astarita, LLC, our attorneys include James D. Sallah, a former Senior SEC Attorney and in - house lawyer for a national brokerage firm, Mark J. Astarita, a nationally recognized securities litigator and outside counsel to dozens of regional broker - dealers and investment advisers, and Jeffrey L. Cox, a former Senior SEC Attorney and federal prosecutor responsible for prosecuting economic crimes.

The Ombudsman for Banking Services and Investments (OBSI) currently has more than 600 participating firms including banks, credit unions, trust and loan companies, investment funds and dealers.

His executive search practice is focused on general counsel, in - house counsel and compliance officer search for national and international corporations, asset managers, hedge funds, private equity firms, proprietary trading firms, broker - dealers and corporate / investment banks.

Formed by the merger of Sallah & Cox, LLC and Beam & Astarita, LLC, our attorneys include James D. Sallah, a former Senior SEC Attorney and in - house lawyer for a national brokerage firm, Mark J. Astarita, a nationally recognized securities litigator and outside counsel to dozens of regional broker - dealers and investment advisers, Jeffrey L. Cox, a former Senior SEC Attorney and federal prosecutor responsible for prosecuting economic crimes and Raymond Beam, a former prosecutor and well - known criminal defense attorney.

Prior to joining Williams Montgomery & John, he practiced for four years at another Chicago - based civil litigation firm where he represented real property developers, motor vehicle dealers, lending companies, food manufacturers and family owned businesses as both plaintiff and defendant in commercial litigation matters involving breach of contract, fraud and disputes under the Uniform Commercial Code, and defended his clients in consumer class action litigation.

The firm is widely recognized for its acumen in defending insured professionals, including lawyers, accountants, physicians, directors and officers, real estate practitioners, insurance brokers and agents, architects and engineers, securities» brokers and dealers, fiduciaries and trustees.

defended hundreds of securities class actions for technology companies, investment banks, broker - dealers and financial services firms;

Internet Law Leadership Conference 2016 (Las Vegas, Nevada) InterDrone 2016 & InterDrone 2015 (Las Vegas) 2016 Drones and UAV's Seminar (Las Vegas) 2016 American National Claims / Litigation Training Conference (Springfield, Missouri) 2016 Hartford Spring Construction Advisory Board Meeting (Hartford, Connecticut) 2016 Drone Dealer Expo (Orlando, Florida) 2016 International Drone Expo (Los Angeles, California 2015 SXSW (Austin, Texas) 2015 ALT (Salt Lake City, Utah) ITechLaw 2014 World Technology Law Conference (New York City) International Trademark Association 2011, San Francisco, California Cyber Law Summit 2011, Las Vegas, Nevada Game Developers Conference 2011, San Francisco, California DOMAINfest 2011, Santa Monica, California RECENT ATTORNEY SPEAKING ENGAGEMENTS: South By Southwest 2010 SXSW Interactive Conference, Austin, Texas West LegalEdcenter Midwestern Law Firm Management, Chicago, Illinois Internet Advertising under Part 255, Altitude Design Summit, Salt Lake City, Utah Online Defamation and Reputation Management, News Talk 650 AM, The Cory Kolt Show, Canada Public Radio Saskatewan Canada Alternative Fee Structures, Center for Competitive Management, Jersey City, New Jersey FTC Part 255 Advertising Requirements, Mom 2.0 Conference, Houston, Texas Webmaster Radio, Cybersquatting & Domain Monetization, Fort Lauderdale, Florida

Simply put, GMC seeks to remove Jonathan Lisus, a partner at Lax O'Sullivan Scott Lisus, and the Lax Firm, as counsel of record in this action for three plaintiffs in this Action and split off the claims of those three plaintiffs from this Action and, also, seeks to prevent the plaintiffs from using a particular document disclosed in other dealer litigation, the so - called «Disputed Document».

FINRA is responsible for administering licenses to qualified investment professionals, checking that there is proper disclosure for any securities related advertising, write and enforce rules that govern the actions of broker - dealer firms and individual securities brokers, and educate investors about our financial markets.

Cassels knew about this conflict from the outset; yet, rather than declining to act for the GMCL dealers and referring to an unconflicted law firm, or even telling the dealers about the retainer with the Federal Government, continued to act for both the Federal Government and the dealers.»

He says the firm could implement a decentralized ledger that eliminates the need for broker - dealers, but still needs to be funded, hosted and maintained by a centralized, experienced authority.

Stockbrokers buy and sell stocks and securities on the stock exchange on behalf of a brokerage firm or broker - dealer in return for fees or commissions.

PROFESSIONAL SUMMARY Senior financial officer with experience working for Broker / Dealers, Alternative Investment firms and as a Certified Public Accountant in the Financial Services industry.

Among the types of firms that the plan would consider for the leverage tax are «funding corporations, real estate investment trusts, trust companies, money market mutual funds, finance companies, structured finance vehicles, broker / dealers, investment funds, and hedge funds.»

We conduct trillions of dollars annually in financial transactions for our customers, including the world's largest banks, broker - dealers, investment banks, trading firms, hedge funds, governments and investment firms.