「securities」の共起表現一覧(1語右で並び替え)
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| The two partners also founded Power | Securities, a business established to pursue opportunit |
| ll Street in 1987 as a broker with Makefield | Securities, a small Erie-based firm partly owned by his |
| not sufficient to constitute maintenance of | securities accounts. |
| Securities across the city ensured the Expo would pass | |
| "possible violations of Section 17(a) of the | Securities Act of 1933, Sections 10(b) and 13(a) of the |
| The | Securities Act of 1933 required stockbrokers to provide |
| on statements in the United States under the | Securities Act of 1933. |
| Congress enacted the Glass-Steagall Act, the | Securities Act of 1933 and the Securities Exchange Act |
| l Act, the Utility and Review Board Act, the | Securities Act, the Insurance Act, the Retail Business |
| h as General Rules and Regulations under the | Securities Act, Regulation C, Regulation S-K and Regula |
| arged with insider trading under the Ontario | Securities Act. |
| Bill 198 amends Part XXIII.1 of the Ontario | Securities Act. |
| e integration of traditional capital markets | securities activities, equity research, loan sales, por |
| ioner of Financial Institutions and Kentucky | securities administrator. |
| 987; chief executive officer, North American | Securities Administrators Association from 1987 to 1989 |
| MI 52-109 has been agreed to by the Canadian | Securities Administrators (CSA), and covers additional |
| It involves commission sales and purchase of | securities, agency of debt services and dividend distri |
| David Shapiro, director of Sasfin | Securities, an independent banking and financial servic |
| Beginning as a | securities analyst with Paine Webber, she enjoyed a lon |
| Between 1968 and 1970 Steele was a | securities analyst for the Travelers Insurance Company. |
| After a brief stint as a | securities analyst, he settled in Toronto, becoming a b |
| nts, Presentation to the New York Society of | Securities Analysts, June 8, 2006. |
| Form 10-K405 is an SEC filing to the US | Securities and Exchange Commission (SEC) that indicates |
| The | Securities and Exchange Commission, the Justice Departm |
| onald C. Cook served as chairman of the U.S. | Securities and Exchange Commission between 1952 and 195 |
| icing, Finance Theory, Modeling Fixed Income | Securities and Interest Rate Options (second edition), |
| first Chief Accountant of the United States | Securities and Exchange Commission. |
| Form 3 is an SEC filing filed with the US | Securities and Exchange Commission to indicate a prelim |
| ance companies, pension funds, mutual funds, | securities and commodities brokers. |
| to June 1971 he was Lead counsel on energy, | securities and consumer matters; Special Counsel to the |
| ised about Yum being described as a licensed | Securities and Futures Commission representative when h |
| law firm Kaufman & Canoles, specializing in | securities and banking law. |
| des has served as a Commissioner of the U.S. | Securities and Exchange Commission (SEC) since August 1 |
| the Treasury talked to officials at the U.S. | Securities and Exchange Commission (SEC) about apparent |
| Foo, and economist Manu Bhaskaran, of Crosby | Securities, and to journalists Kenneth James and Patric |
| CEC was investigated by the United States | Securities and Exchange Commission for various issues o |
| Shad (1923-1994), served as chairman of U.S. | Securities and Exchange Commission between 1981 and 198 |
| Energy Corporation (NYSE: WEC) each filed a | Securities and Exchange Commission Form 8-K to combine |
| January 5, 1928) served as chairman of U.S. | Securities and Exchange Commission between 1977 and 198 |
| investigator and manager with the Australian | Securities and Investments Commission since the early 1 |
| s, "The unusual complaint was brought by the | Securities and Exchange Commission, which contends that |
| d on the Practitioners Panel of the FSA, the | Securities and Investments Board, the initial committee |
| He became regional administrator of the U.S. | Securities and Exchange Commission in San Francisco in |
| s (born 1931) served as Chairman of the U.S. | Securities and Exchange Commission between 1975 and 197 |
| ormer Qwest executives were sued by the U.S. | Securities and Exchange Commission. |
| t of Education, Culture, and Sports, and the | Securities and Exchange Commission as a non-stock, non- |
| d to pay $0.93 million costs incurred by the | Securities and Futures Commission's investigation into |
| n operations are regulated by the Australian | Securities and Investments Commission (ASIC) and the Gr |
| ny describes as an "informal inquiry" by the | Securities and Exchange Commission, and as policy regar |
| erated the company as a subsidiary for their | securities and investments division. |
| filing a complaint against him with the U.S. | Securities and Exchange Commission. |
| it, whilst being under the ownership of Land | Securities, and from Spring 2008 is the home to the Min |
| Consumer Credit, the Oklahoma Department of | Securities, and the Oklahoma Department of Insurance. |
| In 1998, then United States | Securities and Exchange Commission (SEC) Chairman Arthu |
| United States Department of Justice and the | Securities and Exchange Commission and try to negotiate |
| stem, the required filing format of the U.S. | Securities and Exchange Commission. |
| was appointed by President Bush to the U.S. | Securities and Exchange Commission and sworn in on Janu |
| annual proxy filings with the United States | Securities and Exchange Commission, his 2005 compensati |
| his appointment as the Chairman of the U.S. | Securities and Exchange Commission (SEC) under Presiden |
| extent of nearly £100,000 upon unmarketable | securities, and making advances in opposition to every |
| The | Securities and Exchange Commission (SEC) has conceded t |
| post at the CSRC, she worked at Hong Kong's | Securities and Futures Commission from 1991 to early 20 |
| Leaders of the U.S. | Securities and Exchange Commission (SEC) testified on F |
| and former Commissioner of the United States | Securities and Exchange Commission (SEC). |
| He served as chairman of U.S. | Securities and Exchange Commission from 1987 to 1989, a |
| scope for growth, leading to a critical U.S. | Securities and Exchange Commission (SEC) filing allegin |
| Jr., was selected to become chairman of the | Securities and Exchange Commission. |
| s of the corporate regulator; the Australian | Securities and Investments Commission. |
| In 1985, the United States | Securities and Exchange Commission sued former company |
| ter the Examiner's report was published, the | Securities and Exchange Commission (SEC) sent letters t |
| on, SC Johnson, Merck, Raytheon and the U.S. | Securities and Exchange Commission. |
| ector at both Lehman Brothers and Prudential | Securities, and immediately prior to joining the PBGC, |
| SEC filing that must be submitted to the US | Securities and Exchange Commission within 10 days, by a |
| ard and Steven Newman were subpoenaed by the | Securities and Exchange Commission about sales of Xyber |
| an, former commissioner of the United States | Securities and Exchange Commission, is the current pres |
| ess to pay his margin loan to Native Nations | Securities, and Native Nations (and Red Horse's) inabil |
| tion Form 8-K, filed April 20, 2009 with the | Securities and Exchange Commission. |
| national Trade & Commerce Corporation by the | Securities and Exchange Commission revealed Erdman to b |
| A U.S. | Securities and Exchange Commission investigation did re |
| The | Securities and Exchange Commission announced that, on O |
| Bank Structure and Competition, former U.S. | Securities and Exchange Commission Chairman, Christophe |
| victims of Enron's collapse to persuade the | Securities and Exchange Commission (SEC) and the Bush A |
| anks, insurance companies and the trading of | securities and ensure the viability, integrity and stab |
| The U.S. | Securities and Exchange Commission and members of the i |
| uded Cooper Cameron, NetIQ Corp., Prudential | Securities, and South Trust Bank. |
| EPR Architects and built by Mowlem for Land | Securities, and although finally completed in 1998, sta |
| ompany's annual report on Form 10-K with the | Securities and Exchange Commission. |
| ty, money, property, or bond with or without | securities; and are covered by a lawful liability insur |
| (c) member of the Advisory Committee of the | Securities and Exchange Commission; (d) a member of the |
| Securities and Exchange Commission | |
| statutory body whose powers derive from the | Securities and Futures Ordinance (SFO) legislation. |
| o serve as a financial analyst with the U.S. | Securities and Exchange Commission. |
| Securities and Futures Bureau | |
| second jury failed to reach a decision on 11 | securities and mail fraud charges and a second judge, J |
| entral Listing Authority, established by the | Securities and Exchange Board of India (SEBI), Member, |
| , he became a regional administrator for the | Securities and Exchange Commission in Washington, D.C. |
| Terra Markets ( | securities and capital markets) |
| cal year, but according to a filing with the | Securities and Exchange Commission, he will get a sever |
| 4 when he was appointed to the United States | Securities and Exchange Commission (SEC) by President L |
| ite collar fraud as a prosecutor at the U.S. | Securities and Exchange Commission (SEC) between 2002 a |
| agement of, as required by the United States | Securities and Exchange Commission (SEC). |
| vitt, Jr., was chairman of the United States | Securities and Exchange Commission from 1993 to 2001. |
| g of mutual fund shares according to the the | Securities and Exchange Commission. |
| k (born 1936) served as chairman of the U.S. | Securities and Exchange Commission in the year of 1973. |
| statements and disclosures made to the U.S. | Securities and Exchange Commission. |
| bout 150,000USD) for three violations of the | Securities and Exchange Act. |
| In February 2009 the | Securities and Exchange Commission investigated the US |
| rge W. Bush in the investigation by the U.S. | Securities and Exchange Commission into possible inside |
| DAQ:SNDV) was an American technology-focused | securities and investment banking firm known primarily |
| fe Margaret Hubbard and his business Aorangi | Securities and seven charitable trusts into statutory m |
| ria, Virginia was a commissioner of the U.S. | Securities and Exchange Commission (SEC). |
| f Investment Management at the United States | Securities and Exchange Commission ("SEC") and the form |
| orate finance, banking, commodities trading, | securities and international trade law. |
| establishment of what is now the Australian | Securities and Investments Commission. |
| mber 5, 2000) served as chairman of the U.S. | Securities and Exchange Commission between 1955 and 195 |
| Other tenants include the | Securities and Futures Commission. |
| ro Shopping Fund (a partnership between Land | Securities and Delancey, which owns several other Londo |
| d dissemination of knowledge in the field of | securities and investments to develop high ethical stan |
| required by law to file forms with the U.S. | Securities and Exchange Commission (the "SEC"). |
| id Kotz is the Inspector General of the U.S. | Securities and Exchange Commission (SEC) since his appo |
| In November 2009, the | Securities and Exchange Commission alleged that Albert |
| ion, based in Birmingham, Alabama, after the | Securities and Exchange Commission charged former manag |
| Singapore Exchange, the | securities and derivatives exchange of Singapore. |
| Filing with the U.S. | Securities and Exchange Commission to raise money to fi |
| 86) was an American lawyer and member of the | Securities and Exchange Commission under President Harr |
| trial, and slander of Preston Tucker by the | Securities and Exchange Commission has long been specul |
| by structured products (such as asset-backed | securities and mortgage-backed securities). |
| r 23rd, 1995) served as chairman of the U.S. | Securities and Exchange Commission between 1953 and 195 |
| ary in 1919, Thomas worked in the investment | securities and insurance business in New York City for |
| lege graduate, Pike was a member of the U.S. | Securities and Exchange Commission from 1940 to 1946 an |
| with various SROs such as NYSE and NASD, the | Securities and Exchange Commission also works with othe |
| gh-worth individuals and later managing U.S. | Securities and Exchange Commission (SEC) compliance iss |
| ck stock for about $10,262,000, according to | Securities and Exchange Commission filings. |
| egulation and self-regulation, and created a | Securities and Investments Board (SIB) presiding over v |
| une 16, 1977) served as chairman of the U.S. | Securities and Exchange Commission between 1964 and 196 |
| The | Securities and Futures Commission (SFC) of Hong Kong is |
| directorships at organisations including the | Securities and Futures Authority (no longer extant as s |
| It is engaged in | securities and futures dealing, margin financing and mo |
| arned they would soon be investigated by the | Securities and Exchange Commission. |
| of obstructing an official proceeding of the | Securities and Exchange Commission was filed against Ar |
| alsey Stuart Shields, later Prudential-Bache | Securities and Prudential Securities. |
| the Federal Bureau of Investigation, and the | Securities and Exchange Commission had pursued a parall |
| es a nominal discount worth 62%, to the U.S. | Securities and Exchange Commission. |
| Bond is a life assurance bond investment in | securities and assets. |
| uary 2011, CESR was replaced by the European | Securities and Markets Authority, which is part of the |
| s the European arm and HQ of Bank of America | Securities, and features one of Europe's largest tradin |
| e was appointed a special agent for the U.S. | Securities and Exchange Commission to investigate alleg |
| In 2006, the | Securities and Exchange Commission (SEC) notified ACS t |
| According to the | Securities and Futures Commission (SFC), Du purchased C |
| es J. Caffrey served as chairman of the U.S. | Securities and Exchange Commission between 1946 and 194 |
| the director of the Center for International | Securities and Derivatives Markets there. |
| private practice with interests in business, | securities and tax law in Tulsa, Oklahoma. |
| nvestment portfolio consisting of marketable | securities and real property. |
| company said in the S-1 filing with the U.S. | Securities and Exchange Commission. |
| The SFC is responsible fostering an orderly | securities and futures markets, to protect investors an |
| at filed an initial public offering with the | Securities and Exchange Commission (SEC). |
| On September 19, 2007, the United States | Securities and Exchange Commission (SEC) announced that |
| r had his assets frozen by a judge after the | Securities and Exchange Commission filed a lawsuit Marc |
| Investors saw the booming market for new | securities and jumped into the forward market. |
| He chaired Disciplinary Tribunal for The | Securities and Investments Board (SIB) from 1990 until |
| rom 1974 to 1980 and the chairmanship of the | Securities and Investments Board until 1988.. |
| A Wells Notice is a letter that the U.S. | Securities and Exchange Commission (SEC) sends to peopl |
| & Investment has the subsidiaries of Ping An | Securities and Ping An Bank. |
| economist who served as a member of the U.S. | Securities and Exchange Commission under Franklin Delan |
| worth was personal property (jewelry, cash, | securities, and the like). |
| of Unsecured Creditors of WorldCom, Inc. v. | Securities and Exchange Commission, 467 F.3d 73 (2nd Ci |
| He was an Attorney, U.S. | Securities and Exchange Commission from 1941 to 1942. |
| brium asset pricing models, and fixed income | securities and risk hedging. |
| On October 7, 2010, the United States | Securities and Exchange Commission sued Wilcox for stoc |
| Form 5 is an SEC filing submitted to the | Securities and Exchange Commission on an annual basis b |
| any filed a "Form 15" with the United States | Securities and Exchange Commission, under which it will |
| onal divisions; advisory, corporate broking, | securities and wealth management. |
| Sumner Pike, member of the U.S. | Securities and Exchange Commission, member of the Atomi |
| Form S-4 is a form filed with the U.S. | Securities and Exchange Commission relating to a busine |
| d Michael Milken levied by the United States | Securities and Exchange Commission for their role in im |
| operty rights, water rights, motor vehicles, | securities and intangible commercial assets. |
| is a Trust School, in partnership with Land | Securities and Dell Computer. |
| 1993, Breeden served as Chairman of the U.S. | Securities and Exchange Commission. |
| rseeing State Street's investment servicing, | securities and investment research and trading activiti |
| It changed its name to the | Securities and Investment Institute in November 2004. |
| shares, first registered with the Australian | Securities and Investments Commission (ASIC) under the |
| Vinaiphiat, deputy director of the Thailand | Securities and Exchange Commission, said: "The case is |
| Steven Wallman, a former commissioner of the | Securities and Exchange Commission, established the com |
| on-profit organizations approved by the U.S. | Securities and Exchange Commission to solicit U.S. inve |
| ancial Group which has been sued by the U.S. | Securities and Exchange Commission, along with Robert A |
| ng in what some allege were significant U.S. | Securities and Exchange Commission violations. |
| people, the Federal Trade Commission, the US | Securities and Exchange Commission and US state attorne |
| o pay £50,000 towards the legal costs of the | Securities and Futures Authority. |
| 1997, Triton notably became the subject of a | Securities and Exchange Commission complaint which alle |
| In May 2001, the U.S. | Securities and Exchange Commission shut down Slatkin's |
| was established in 1966 under the name China | Securities and Investment Corporation. |
| In April 2009, the Australian | Securities and Investments Commission (ASIC) disqualifi |
| According to filings with the US | Securities and Exchange Commission, the unlisted compan |
| At the same time, the | Securities and Exchange Commission brought civil charge |
| In September 2002, the | Securities and Exchange Commission (SEC) sued FLIR over |
| ng the private equity activities of Bessemer | Securities and had founded the High Technology Lending |
| d M. Hanrahan served as chairman of the U.S. | Securities and Exchange Commission between 1948 and 194 |
| mes have aliases; in 2009, The United States | Securities and Exchange Commission (SEC) filed suit aga |
| dministration before he was appointed to the | Securities and Exchange Commission in 1939. |
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