dealings in securities

A man whose business was dealing in securities seemed to be handling a clipping bureau as a side line.

In this way the car and steel giant Daewoo branched out into dealing in securities.

The easing of restrictions which hindered competition between firms dealing in securities on the Stock Exchange.

"Dad, that guy has nothing in that office to indicate that he's dealing in securities.

At present, the stock exchanges within the EU have a near monopoly on dealing in securities, especially in certain national markets.

State attorneys general can enforce what are known as bad-boy statutes that restrict businesses convicted of felonies from dealing in securities.

In section 736(4) (company dealing in securities: distribution materially reducing...

Dealing in securities is regulated by both federal authorities (SEC) and state securities departments.

The insider must deal in securities on a recognized stock exchange, which includes dealing in securities through an investment exchange.

Section 20 only prohibited a bank from affiliating with a firm "engaged principally" in underwriting, distributing, or dealing in securities.

Under Section 32, a bank could not share employees or directors with a company "primarily engaged" in underwriting, distributing, or dealing in securities.

Businesses that qualify for the relief include those of market makers on The Stock Exchange, but no other businesses dealing in securities, stocks or shares.

Under Section 21, no securities firm (understood as a firm "in the business" of underwriting, distributing, or dealing in securities) could accept any deposit.

Journalists and presenters of the BBC's financial output should register all their shareholdings, financial and business interests or dealings in securities.

As a result, many of the regulatory rules governing dealings in securities are part of a broader framework that governs financial products, financial services and financial markets.

The earliest record of dealings in securities in India is the British East India Company's loan securities.

Where Article 18 is concerned, we think it important that the suitability test be reserved for services where advice is given and not, for example, Internet-based dealing in securities.

Traders may be companies with limited liability or joint-stock companies with registered shares only whose issued capital is not less than 50 million forints and whose sole object is the dealing in securities.

The Market has developed its existing system of clearance and settlement, by introducing a new mechanism for ensuring stable dealings in securities, as well as providing a better environment attracting foreign investment into Oman.

A separate, quite voluminous, chapter of the Act deals with the organization of the stock exchange, which is defined as a corporate self-governing body, whose members must be limited companies holding a licence for dealing in securities.

Jan Kregel argues the OCC's approval of bank derivatives activities under bank "incidental powers" constituted a "complete reversal of the original intention of preventing banks from dealing in securities on their own account."

Once the embezzlement was discovered, he was fired from E. F. Hutton in January 1985 and was banned for life from dealing in securities by the National Association of Securities Dealers.

All firms dealing in securities that are not regulated by another SRO, such as by the Municipal Securities Rulemaking Board (MSRB), are required to be member firms of the FINRA.

Professionals such as those working in the areas of dealing in securities are required by the Securities and Futures Ordinance (SFO) to be licensed and therefore need to gain LE qualification for practices in regulated activities.

The prohibition in s.1(1) is supplemented by s.1(2), which prevents an individual from dealing in securities on a recognised exchange, if that individual is an insider who is knowingly connected with a company or its related company who has information which: