omnibus account การใช้

• Under the indirect holding system, securities are held through fungible accounts ( omnibus accounts ).
• The Securities and Exchange Commission found that Perusquia conducted trades for clients at PaineWebber through an omnibus account in the name of a Swiss bank.
• Most firms are concentrating their sales efforts on omnibus accounts that charge an annual fee based on an account's assets, instead of on the number of transactions executed.
• With regard to large trades, Simex said it is stepping up its monitoring " so that reports of large positions would apply to all accounts, including sub-accounts within undisclosed omnibus accounts ."
• However, because a large portion of our trading activity comes through third-party intermediaries and omnibus accounts, it is uncertain if such trading took place in any of the Janus funds and in violation of our agreements with these firms,
• The term "'" Omnibus Account " "'is used by Federal Securities Regulations, such as the SEC's Customer Protection Rule, which makes it a violation of federal regulations for a broker-dealer to fail to maintain an adequate number of securities to match the sum of fully paid securities entitlements the brokerage firm has issued to its customers.