January 2009 Archive

Registered Representatives

A registered representative is an individual who has passed the NASD’s registration process and is therefore licensed to work in the securities industry. The process includes an examination that tests the candidate’s knowledge of securities and markets. Further, the registration agreement requires that the candidate agree to follow the rules of the NASD. (more…)

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The following are practices that broker-dealers are forbidden to do:

• Churning: Excessive trading of a client’s discretionary account to increase the broker’s commissions.
• Use deception or manipulation to trade securities, or failing to state material facts
• Recommending low-priced, speculative securities without determining whether they are suitable for the customer (more…)

As an investor, you need to be familiar with the different players in the investment arena and how they buy and sell securities. Broker-dealers, registered representatives and the others have specific roles in clearing the way for commerce in securities.

This tutorial will cover the following topics: (more…)

There are some industries in this world that require the filters to be applied on their machines. So if you have a company that works in some kind of machinery industries, then you might also have to consider about this thing too. The next question is about how you can get the best service that will meet your requirements? Well, the answer is simple actually. You can easily turn your computer on and count on the greatlakesfilters.com website for some useful assistance. Why this website exactly? (more…)