selling away การใช้

• At the final tribal council he berated Shallow for selling away their friendship and refused to let her talk.
• "Neither are we being swamped, nor are we selling away our country, " he said.
• Selling away often involves investment securities that are in the form of a private placement or other non-public investment, though not always.
• I felt strangely drawn back to Troy, where, minutes after I had my coat off, I was back on the floor, selling away.
• The SEC set aside a FINRA decision in a selling away case where reps allegedly engaged in private securities transactions in violation of NASD Conduct Rule 3040.
• Selling away schemes are particularly dangerous for investors because they usually end up becoming victims of theft, securities fraud, or some other loss related to the investment.
• Selling away may not always be deliberate or intentional or with even intent to deceive an investor, but in many cases, the broker knew what he or she was doing.
• Rubin, a former NASD deputy chief counsel of enforcement, said it is not unusual for reps that are selling away to avoid telling their firms because they are selling questionable products.
• More specifically, selling away describes the situation where the transaction or securities in question are not approved for sale by the firm, they are not on the firm s approved product list.
• These are just some examples of selling away cases, for which the brokerage firm, while not knowing of the sales, may still be held responsible, even if only in part.
• The SEC found that PFS Investments Inc . had failed to have in place effective policies and procedures to follow up adequately on three complaints received about the Dearborn registered representatives, " selling away " activities.
• Selling away is often associated with a broker's other ( " outside " ) business activities ( those other businesses or activities that a broker conducts outside or separate from his / her securities brokerage activities .)
• "Using money as bait, dealers entice the unwary communities into selling away their heritage, often for prices far below the prevailing market value, " wrote Shaje'a Tshiluila of Zaire and Manyando Mukela of Zambia.
• But the best scene, what really takes the cake, is Phil s, " I m Selling Away " performance, sung to the tune of " I m Sailing Away . " Where do I even begin to praise this moment?
• This often leads to " selling away " from the broker's own firm-- taking orders that won't go through the big-name operation the customer knows, putting the money in the broker's own pockets.
• Selling away situations result from a broker's desire to not pass up on earning a commission on an investment his client is willing to buy, and further, to not have to share any of the commission with his / her associated firm.
• John Pinto, enforcement chief at the National Association of Securities Dealers, says his organization has been increasing its focus on selling away, concerned that investment advisers may not be registered with the SEC-- and may not be investing customers'money as they say they are.
• Brokers are cautioned by FINRA in their Registered Representative brochure about practices that could violate securities regulations, including selling away . " Selling away ( NASD Rule 3040 )  Selling securities without processing the order through your firm and without your firm's permission or knowledge is a violation of FINRA rules.
• Brokers are cautioned by FINRA in their Registered Representative brochure about practices that could violate securities regulations, including selling away . " Selling away ( NASD Rule 3040 )  Selling securities without processing the order through your firm and without your firm's permission or knowledge is a violation of FINRA rules.
• Some European officials went so far as to say that Greece should start selling away its assets to other European nations to receive loans, and the Dutch Minister of Finance said that the Greek parliament would not like this proposal and characterised the opinion of the Greek parliament as " a sensibility " that no one can consider at this time.