"representative" nach Englisch mit Beispielen - Kollokationen-Wörterbuch Englisch
- Individuals trading securities must pass exams administered by FINRA to become registered representatives.
- Marc E. Lackritz, the president of the Securities Industry Association, said the S.E.C. had only found 40 individuals with sales practice problems, while the nine companies employ 50,762 registered representatives.
- All three men went back to school at night to study for the tests they would take to become registered representatives empowered to buy and sell stocks.
- The firm's chief stock trader and 11 of its registered representatives were also named in the indictment.
- This enables the company to distribute its variable products through independent registered representatives, registered investment advisors, banks, and wire houses.
- FINRA is funded primarily by assessments of member firms' registered representatives and applicants, annual fees paid by members, and by fines that it levies.
- Worthen failed to keep copies of all customer letters and failed to maintain an adequate system to supervise its registered representatives, it said.
- Lincoln Savings Bank in New York has a private banking unit, only a year old, with several registered representatives who make customer contacts and then turn them over to the bank's brokerage unit.
- We prefer to grow our own registered representatives.
- "We now have 72 registered representatives in our three Westchester offices and we've taken on six trainees who are going to school for nine weeks from 8:30 to 5," he said.
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