net capital requirement การใช้

• It seeks comment on use of statistical models for computing net capital requirements.
• That infusion of new capital met the SEC net capital requirements, the suit says.
• This reduced their net capital requirement.
• Until the firm returns to compliance with its net capital requirements, its ability to operate is severely restricted.
• At no time did the SEC impose a net capital requirement on the holding company parent of a broker-dealer.
• The firm failed to meet a $ 250, 000 minimum net capital requirement last week, forcing it to halt normal business.
• Saperston, which has 40-branches in 15 states, fell below the minimum net capital requirements of the Securities and Exchange Commission, said Baker.
• Hellmers said Boston Group still meets its $ 250, 000 minimum net capital requirement as set by National Association of Securities Dealers, and continues doing business.
• Hellmers said Boston Group is unable to say if it still meets its $ 250, 000 minimum net capital requirement as set by National Association of Securities Dealers.
• Saperston, which said it had 40 branches in 15 states, halted operations Monday after falling below the minimum net capital requirements of the Securities and Exchange Commission, said Baker.
• First, the $ 250, 000 absolute minimum net capital requirement under the Alternative Method can be lower under the Basic Method if a broker-dealer limits its customer activities.
• Saperston, which said it had 40-branches in 15 states, halted operations Monday after falling below the minimum net capital requirements of the Securities and Exchange Commission, said Baker.
• In the same 1975 release that adopted the Basic Method, the SEC established the " Alternative Net Capital Requirement for Certain Brokers and Dealers " ( the " Alternative Method " ).
• Boston Group LP, a Los Angeles-based brokerage firm, said it no longer meets its $ 250, 000 minimum net capital requirement set by the National Association of Securities Dealers.
• Boston Group LP, a Los Angeles-based brokerage firm, said it no longer meets its $ 250, 000 minimum net capital requirement as set by the National Association of Securities Dealers.
• The troubled firm's vice-chairman said it is nearing completion of a transaction that will enable it to meet the $ 250, 000 minimum net capital requirement set by the National Association of Securities Dealers.
• The only other option available was for the foreign brokers to register with the SEC . That can be onerous for the foreign brokerage because it then becomes subject to a host of U . S . regulations, including net capital requirements.
• She also stated the SEC was reviewing whether the " alternative net capital computation " system established by the 2004 rule change " should be substantially modified " and more generally whether minimum net capital requirements should be increased for all broker-dealers.
• Nor can you see the monthly reports a broker must file if it is in violation of net capital requirements; the latter is particularly curious considering that at such a time, it would be more important than ever that investors know what's going on.
• Landmark International Equities, a Westbury, N . Y ., brokerage firm best known for taking public a company run by Oliver North, is being investigated by the National Association of Securities Dealers in the wake of running afoul of net capital requirements and quitting as a Nasdaq market maker Wednesday, according to a person familiar with the inquiry.