central registration depository การใช้

• That number can be used to look up a broker's record in the Central Registration Depository.
• The commissioner's office is usually located in the state capital and investors should request what's called a Central Registration Depository.
• Both your state and the NASD can supply a copy of a broker's CRD rap sheet, which stands for central registration depository.
• The new, improved, whiz-bang product is the Central Registration Depository, an unfortunately named piece of merchandise if ever there was one.
• Neither the transfer of accounts from Marsh Block nor the hiring of some of its employees requires disclosure in First Montauk's Central Registration Depository records.
• Particularly now that the public has figured out how to navigate the database known as the Central Registration Depository, or CRD, where regulators file the ugly histories.
• State regulators sometimes use NASD's database, called the Central Registration Depository, to decide whether to grant a license to a broker transferring from another state.
• It maintains a database _ called the Central Registration Depository _ detailing the professional histories of the more than 500, 000 registered brokers employed by its member firms.
• It also called for improving the existing monitoring system, called the Central Registration Depository, to make it easier for regulators to identify and monitor brokers who have been disciplined.
• The data was part of NASD's central registration depository ( CRD ) of brokers'disciplinary histories that is being modernized under the joint direction of NASD and state regulators.
• If the rules were all being followed, the public would learn about those letters by asking his or her state securities regulators for the Central Registration Depository records of the broker in question.
• On behalf of state securities regulators, FINRA maintains the Central Registration Depository ( CRD ), the central database containing records for all firms and individuals involved in the securities industry in the United States.
• The public service announcements point out that investors can check out a stockbroker's background by using the Public Disclosure Program of the NASD's central registration depository at ( 800 ) 289-9999.
• A record known as the Central Registration Depository, kept by state regulators, shows customers repeatedly complain or even initiate arbitration proceedings against Olde . ( The securities division in your state capital keeps these ).
• The regulatory and customer complaint records of stock brokers, known as the Central Registration Depository, are jointly maintained by the NASD and the North American Securities Administrators Association, the umbrella group for state securities regulators.
• It's all part of a massive revamp of a system known as the Central Registration Depository-- or CRD-- where the good, bad and ugly of U . S . stockbrokers is kept.
• All registered brokers doing business in the U . S . security markets are listed in the Central Registration Depository of the NASD and the state regulators, which also includes the records of any disciplinary actions or complaints against them.
• The campaign isn't immediately apparent : Even as the industry is quietly pushing the idea of denying public access to information about pending actions against brokers, it is trumpeting proposed improvements in the Central Registration Depository ( CRD ) databank that tracks brokers.
• To streamline licensing for brokers who had to be approved by both the NASD and the states where they wanted to do business, NASAA and the NASD set up a computer file-- known as the Central Registration Depository-- for brokers'records.
• Information on brokers is reported to a " central registration depository " of the National Association of Securities Dealers, known as the CRD . That information is then available to all states, which can use it to decide whether to license a broker.