Securities firm means a leading market maker of over the counter equity and multi-asset derivatives with expertise in variable annuity modeling.

Securities firm means securities firms engaging in securities

Securities firm means any entity licensed and supervised by relevant securities regulators. Entities should be subject to supervisory arrangements comparable to those under Basel II including, in particular, risk-based capital requirements. Domestically, these include all licensed corporations that have registered with the Securities and Futures Commission of Hong Kong.

Examples of Securities firm in a sentence

Ticking G indicates the claim is of a Customer of a Bankrupt Securities Firm, who is a customer for net equity as contemplated by section 262 of the Act.
Transaction between Bank E and Securities Firm D conducted to transfer the risk from Bank E to Firm D.Original transaction by Bank E.
On November 28, 2012, as approved by the National Association of Financial Market Institutional Investors via the Notice on the Market Assessment Results of Securities Firm Members to Engage in Lead Underwriting Business for Non-financial Enterprises Debt Financing Instruments in the Inter-bank Market ([2012] No. 19), the company could engage in lead underwriting business for non-financial enterprises debt financing instruments in the inter- bank market.
The requirements of 40 USC § 3704 are applicable to construction work and provide that no laborer or mechanic be required to work in surroundings or under working conditions which are unsanitary, hazardous, or dangerous.
In order to clear transactions in options other than futures options or commodity options, a Clearing Member must be a fully-registered broker-dealer or a Non-U.S. Securities Firm.

More Definitions of Securities firm

Securities firm means any entity licensed and supervised by relevant securities regulator. Domestically, these include all non-banking financial entities including investment companies and funds that are under the supervision of the Capital Markets Authority. Securities brokers and financial intermediaries are also included under this definition.

Securities firm means securities firms engaging in securities underwriting, proprietary trade

Securities firm means a person who carries on 40 “securities firm” means a person who carries on

Securities firm means orders from other securities firms executed on an agency basis.

Securities firm means securities firms engaging in securities underwriting, proprietary trade and brokering or securities finance companies engaging in the securities finance business.

Securities firm means a person who carries on the business of buying and selling securities from, to or for a customer, whether or not as a member of an exchange, as principal or agent, and includes any person required to be registered to enter into securities transactions with the public, but does not include a corporate entity that is not a corporation within the meaning of section 2.