Sentences with phrase «unregistered brokers»

Anna Lupasco, vice-president of the Moscow Association of Realtors (MAR), says up to 50 per cent of real estate transactions in Moscow are closed with the participation of unregistered brokers, 25 per cent of whom are «black brokers».

«Given the significant consequences of acting as an unregistered broker - dealer and the increased attention being given to this issue by the SEC staff, private - fund advisers should consider reviewing their practices to determine whether any activities that may be approaching or crossing the line would require broker - dealer registration,» David Blass, the chief counsel of the SEC's division of trading and markets, suggested in a speech last April.

The SEC enforcement action alleges operating an unregistered broker dealer, facilitating unregistered securities, defrauding small businesses while promising... Read More

Not exact matches

(12) Has neither a related person who is a broker - dealer / municipal securities dealer / government securities broker or dealer (registered or unregistered) nor one who is an insurance company or agency.

(10) Is not actively engaged in business as a broker - dealer (registered or unregistered).

GATE believes the trading of unregistered securities is accomplished most effectively through a broker dealer, an ATS or an exchange registered with the SEC because such transactions provide the books and records and an audit trail that can be used for surveillance purposes.

The Comision Nacional del Mercado de Valores (CNMV), Spain's financial authority, issued on Tuesday warning notices against unregistered forex brokers that operate the websites www.oexgroup.com and www.mt4invest.com/es-ES and...

Last April CFTC has put Tallinex on its warning RED list of unregistered, or as it calls them, «Registration Deficient» that currently features more than 71 forex and binary options brokers.

Canada's Manitoba Securities Commission (MSC) warns of PluStocks — yet another unregistered binary options broker that swindled residents of the province out of a total of CAD 144...

According to the MSC, only since the beginning of this year residents of the province reported losses to unregistered offshore binary options brokers amounting to CAD 330 000.

This would include among other things, not breeding a dog without an Orthopedic Foundation for Animals registration number, not breeding unregistered dogs, not selling puppies through a broker and not shipping dogs before a certain age.

The broker used unapproved personal email accounts and text messages to communicate with an unregistered administrative assistant about member firm customers.

The statement warned exchanges that currently support unregistered securities trading that they must register with the SEC as a national securities exchange, an alternative trading system (ATS), or a broker - dealer.