securities investor protection corporation การใช้

• He spent three years as chairman of the Securities Investor Protection Corporation.
• Dominick & Dominick LLC is a member of the Securities Investor Protection Corporation and the Financial Industry Regulatory Authority.
• Auerbach Grayson is a member of the Financial Industry Regulatory Authority ( FINRA ) and the Securities Investor Protection Corporation ( SIPC ).
• He is viewed by many as having been the first proponent within the Commission of what eventually became Securities Investor Protection Corporation or SIPC.
• Some investors have received at least partial reimbursements of their capital from the Securities Investor Protection Corporation, which insures up to $ 500, 000.
• Regan was one of the original directors of the Securities Investor Protection Corporation and was vice chairman of the New York Stock Exchange from 1973 to 1975.
• SogoTrade is regulated and licensed in the US by the Financial Industry Regulatory Authority ( FINRA ) and insured by Securities Investor Protection Corporation ( SIPC ).
• Discussing equities, Pakorn said the SEC is studying the possibility of creating a " securities investors protection corporation " to help protect investors'interests.
• After all, on his account statements-- between the A . R . Baron and Bear, Stearns names-- was the name Securities Investor Protection Corporation.
• Only Fimat USA, LLC . and Fimat Preferred is a member of the NASD ( National Association of Securities Dealers ) and SIPC ( Securities Investors Protection Corporation ).
• The firm is also registered as an Introducing Broker with the Commodity Futures Trading Commission and member of the National Futures Association and Securities Investor Protection Corporation ( SIPC ).
• The UIC is a registered broker-dealer with the SEC and a member of the Financial Industry Regulatory Authority ( FINRA ) and the Securities Investor Protection Corporation ( SIPC ).
• The Securities Investor Protection Corporation ( SIPC ) reports that the Federal Trade Commission, FBI, and state securities regulators estimate that investment fraud in the United States ranges from $ 10 $ 40 billion annually.
• Triad is registered with the U . S . Securities and Exchange Commission ( SEC ), is a member of FINRA ( Financial Industry Regulatory Authority ), and a member of SIPC ( Securities Investor Protection Corporation ).
• Levin has served on the board of directors of numerous clients including a Fortune 200 company, served as trustee ( appointed by the Securities Investor Protection Corporation ) of a failed brokerage firm, and has held several judicial appointments as special master.
• Doley Securities, LLC ., a registered broker-dealer with the Financial Industry Regulatory Authority ( FINRA ), it is a member of the Municipal Securities Rule making Board ( MSRB ) and the Securities Investor Protection Corporation ( SIPC ).
• In 2008, Nason was designated by Secretary Paulson to serve on the board of the Securities Investor Protection Corporation ( SIPC ), a federal non-profit corporation that protects securities investors from financial harm if a broker-dealer company fails.
• All brokers and dealers that are registered with the SEC ( pursuant to ), with a number of exceptions, are required to be members of the Securities Investor Protection Corporation ( SIPC ) ( pursuant to ) and are subject to its regulations.
• A survey conducted last summer by the Securities Investor Protection Corporation and the National Association of Investors Corp . found that 85 percent of investors do not have enough basic knowledge of investing to pass a quiz gauging their ability to invest during an economic downturn.
• AAM has over 35 years of experience in the fixed income markets and is a United States Securities and Exchange Commission ( SEC ) registered investment company and member of the Financial Industry Regulatory Authority ( FINRA ) and Securities Investor Protection Corporation ( SIPC ).