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http://www.investopedia.com/exam-guide/series-63/registration-of-persons/broker-dealer-definition-exclusions.asp
... From the Uniform Securities Act, drafted by the NCCUSL: "Broker-dealer" means a
person ... The term does not include: An agent; An issuer; A bank or savings ...
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http://www.investopedia.com/exam-guide/series-63/business-practices/bank-secrecy-act-bsa-compensation.asp
... Transactions for $5,000+, if the bank or affiliate knows, suspects or has reason
to ... owned by the agent and client, and is approved by the broker-dealer. ...
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http://www.investopedia.com/articles/stocks/08/SIPC-insurance.asp
... Anyone who exercises a controlling influence over the firm's management; A
broker/dealer or bank acting for itself rather than for its customers. ...
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http://www.investopedia.com/exam-guide/series-63/business-practices/compliance-custody-client-funds.asp
... Additionally, the client's stock may be used as collateral, by the broker-dealer,
to borrow money from a bank - the primary source for the money loaned to the ...
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http://www.investopedia.com/exam-guide/series-63/foundation/usa-uniform-securities-act-part-1.asp
... This person generally works for a broker-dealer, although he or she can be a person
representing an issuer. BANK - "Bank" means: A banking institution ...
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http://www.investopedia.com/articles/forex/06/interbank.asp
... This is important because the bank wants to make sure that each dealer knows its
currency well and understands the behavior of the other players in the market. ...
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http://www.investopedia.com/exam-guide/series-63/registration-of-persons/broker-dealer-membership-maintenance.asp
... 2.3 Broker Dealer: Initial Registration; 2.4 Broker-Dealer: Membership Maintainance; ...
4.5 Other Trade Practices; 4.6 Anti-Money Laundering; 4.7 Bank Secrecy Act ( ...
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http://stocks.investopedia.com/stock-analysis/2010/Morgan-Stanley-Joins-Bonanza-Of-Bank-Earnings-MS-WFC-C-BAC--JPM-GS0423.aspx
... Wells Fargo, the so-called "the Buffett Bank" because of billionaire Warren Buffett's ...
Wells Fargo reported its home equity, auto dealer service and credit card ...
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http://www.investopedia.com/exam-guide/series-63/registration-of-persons/broker-dealer-initial-registration.asp
... Registrations of Persons - Broker Dealer: Initial Registration. Initial registration
for a broker-dealer is very simple. ... Next: Broker-Dealer: Membership ...
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http://www.investopedia.com/ask/answers/09/hypothecate.asp
... A hypothecation agreement allows a broker-dealer to. ... securities in a street name
loan - using the securities as collateral for other means (ie bank loans and ...
