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Topic: Financial securities

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	Securities, commodities, and financial services sales agents
		Financial services sales agents who serve all the financial needs of a single affluent individual or a business often are called private bankers or relationship managers.
		Employment of securities, commodities, and financial services sales agents is expected to grow about as fast as the average for all occupations through 2012.
		Financial services sales agents usually are paid a salary also; however, bonuses or commissions from sales are starting to account for a larger share of their income.
	www.bls.gov /oco/ocos122.htm (2604 words)

	Financial securities - Hutchinson encyclopedia article about Financial securities (Site not responding. Last check: 2007-10-14)
		Another example would be a person offering stocks and shares as security for a bank loan.
		In work, job security is freedom from fear of dismissal.
		This information should not be considered complete, up to date, and is not intended to be used in place of a visit, consultation, or advice of a legal, medical, or any other professional.
	encyclopedia.farlex.com /Financial+securities (153 words)

	Financial market - Wikipedia, the free encyclopedia
		Financial market is a broad market where buyers and sellers exchange various types of financial securities or products that comprise financial securities.
		Financial Markets serve various purposes to a variety of individuals and corporations.
		Newly formed (issued) securities are bought or sold in primary markets.
	en.wikipedia.org /wiki/Financial_market (204 words)

	Q&A: Bullish on Microsoft .NET in the Securities Markets: As the financial securities industry gathers for a major ...
		QandA: Bullish on Microsoft.NET in the Securities Markets: As the financial securities industry gathers for a major conference in New York, Microsoft's Kenny McBride, a financial markets veteran, explains how technology is helping firms realize the goal of wholly automated transactions.
		As the financial securities industry gathers for a major conference in New York, Microsoft's Kenny McBride, a financial markets veteran, explains how technology is helping firms realize the goal of wholly automated transactions.
		A financial institution can focus solely on the remaining 20 percent of customized work: making sure the technology is tailored to its existing environment and specific business processes.
	www.microsoft.com /presspass/Features/2002/Jun02/06-19securities.mspx (1383 words)

	Westminster Financial Companies :: Securities
		Westminster Financial Securities, Inc. (WFS) has been a member of the National Association of Securities Dealers (NASD) since 1987.
		Working with your financial advisor you have access to virtually all investment securities available in the global marketplace.
		Assets held in custody with Pershing have unlimited account protection for the securities and cash awaiting reinvestment held in custody for your account.
	www.westminsterfinancial.com /securities (325 words)

	Wyoming Securities Division - Enforcement Orders: 99-01 (Site not responding. Last check: 2007-10-14)
		Neely's conduct as a securities agent involving allegations of dishonest or unethical conduct made by his broker-dealer, Wyoming Financial Securities, Inc., regarding two of Mr.
		She also stated that usually when she sent the checks directly to Wyoming Financial Securities, the check was made payable to WFS and not Mr.
		Effecting securities transactions not recorded on the regular books or records of the broker-dealer which the agent represents, unless the agent notifies the broker-dealer of the agent's intentions in writing prior to participating in the securities transactions and the securities transactions are authorized in writing by the broker-dealer prior to entering into the transaction.
	soswy.state.wy.us /securiti/o99-01.htm (4684 words)

	Gifts of Financial Securities
		Financial securities can be used to fund both outright and deferred gifts.
		For example, if you were to sell long-term appreciated securities, you would be liable for the federal capital gains tax, currently as much as 15% of the difference between the current value of the security and your cost (and possibly state capital gains tax as well).
		Securities can be transferred to Fordham three ways: electronically, by mail, and by re-registration in Fordham's name.
	www.fordham.edu /Gifts_to_Fordham/Make_a_Gift_to_Fordh/Gifts_of_Financial_S (394 words)

	Commentary & Quotes - Prudential Financial (Site not responding. Last check: 2007-10-14)
		Securities in a retirement account cannot be used as collateral to obtain a loan.
		While not obligated to do so, Prudential Securities will try to maintain a secondary market upon completion of the distribution, that allows you to sell your CD at current market prices that may be more or less than the face value of the certificate along with accrued interest to the settlement date.
		Financial professionals include licensed agents who are appointed by The Prudential Company of America and its affiliates to sell insurance and financial products.
	www.prudential.com /opinionsAndAnalysis (11210 words)

	FDIC: FIL-16-99: Financial Institution Letters: Trust Preferred Securities (Site not responding. Last check: 2007-10-14)
		In adopting section 362.3(b)(2)(iii), the FDIC added a new provision authorizing the FDIC to designate other kinds of hybrid securities as permissible investments, subject to the same 15 percent cumulative limit, if the securities have the character of debt securities and do not represent a significant risk to the deposit insurance funds.
		This provision permits the FDIC to respond to the financial markets in the future, which continually develop new financial products in response to investor and client needs.
		Trust preferred securities were identified in the discussion only as an illustration of one such recently developed product.
	www.fdic.gov /news/news/financial/1999/fil9916.html (615 words)

	News-Great Northern-Allegations Involving Sale of Viatical Investments
		The Department of Financial Institutions (DFI) has settled with a Veradale, Washington firm and three of the firm’s officers over allegations relating to sales of viatical settlement investments in the late 1990s in Eastern Washington.
		As part of the settlement, the Securities Division is being reimbursed for $12,500 in investigative costs as well as for the expenses it will incur in conducting the additional compliance examinations.
		The Securities Division is continuing to negotiate with other firms and persons involved in the sale of the viatical settlement investments named in the Securities Division’s September 8, 2003 statement of charges.
	www.dfi.wa.gov /sd/great_northern_nr.htm (350 words)

	Securities & Franchising
		Broker-dealers and their securities agents now have an online Guide to all aspects of licensing and regulatory oversight in Wisconsin.
		Divided into topics such as Applications, Recordkeeping, Examinations, Securities Agents and more, readers can now find answers to questions related to the initial licensing application process and the regulation of broker-dealers and their securities agents plus links to all application forms and licensing statutes and Administrative Code sections referred to in the Guide.
		Securities and Franchising Overview -- for a summary of the mission and activities of DFI's Division of Securities
	www.wdfi.org /fi/securities (165 words)

	Securities, daiwa securities, new york securities attorney
		Wachovia Securities is a non-bank affiliate of Wachovia Corporation - one of the largest financial institutions in America.
		Administers and enforces securities legislation in the Province of Ontario.
		Securities and Investment Institute -The professional body for practitioners in the securities and investment industry committed to promoting high personal...
	lookfinance.com /securities.html (1271 words)

	Premier Financial of America
		Therefore, they have been guided by their ambition to be a leader in providing superior products, responsive service, and the most generous compensation structures to their professional agent force.
		In serving its clients, Premier understands that American families face challenges in making financial decisions and are in need of quality professional advice to guide them toward present and future financial security.
		Premier Financial of America, Inc. is a separate entity from any member of AIG.
	www.premierfinancial.net (420 words)

	T. Gene Gilman, Steven A. Gilman, Arbor Securities, Ltd., and Financial Links, Inc., Defendants, and Tradetek, Ltd. and ...
		The complaint alleges that G. Gilman represented he would establish individual brokerage accounts for customers at Arbor Securities, an alleged offshore brokerage firm operated from his office in Needham, Massachusetts, and would use clients' funds to trade in the stocks of publicly traded U.S. companies.
		The complaint alleges that G. Gilman, S. Gilman, Arbor Securities and Financial Links violated Section 17(a) of the Securities Act of 1933 ("Securities Act") and Section 10(b) of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 10b-5 thereunder.
		The Commission's complaint alleges that Arbor Securities, aided and abetted by the Gilmans, also violated Section 15(a) of the Exchange Act and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940.
	www.sec.gov /litigation/litreleases/lr19144.htm (461 words)

	Manulife Financial - Securities Filings
		Manulife Financial Corporation and several of its Canadian subsidiaries are reporting issuers under Canadian securities legislation.
		These documents include annual reports (with annual financial statements), quarterly shareholder reports (with interim financial statements), annual information forms, notices of meetings, proxy circulars and all material news releases.
		Manulife Financial makes no representations or warranties with respect to the information contained in any third-party website and takes no responsibility for supplementing, updating, or correcting any such information.
	www.manulife.ca /corporate/corporate2.nsf/Public/filings.html (240 words)

	Risk management software for derivatives and other financial securities.
		Whether you lead an entire financial services enterprise, a trading desk, a risk management department, a settlement group or a corporate treasury or audit team, or perhaps you are an analyst or a software developer serving any of these groups, the level of complexity you face has never been greater than it is today.
		Continued financial market innovation, coupled with new regulatory and financial reporting rules guarantee it.
		the need of financial professionals to acquire the knowledge of modern financial methods and the necessary tools to use it.
	www.fincad.com /default.asp?s=About+Us (353 words)

	Financial Pipeline Derivatives Page
		Derivatives are financial securities whose value is derived from another "underlying" financial security.
		Derivatives can be used hedging, protecting against financial risk, or can be used to speculate on the movement of commodity or security prices, interest rates or the levels of financial indices.
		A derivative financial product is a contrived instrument, the value of which depends indirectly on the price of a cash instrument.
	www.finpipe.com /derivatives.htm (230 words)

	UBS - UBS Homepage
		Imagine a global financial firm with the heart and soul of a two-person organization.
		Think of it as the most powerful two-person financial firm in the world.
		Customers can access this research at http://www.ubs.com/independentresearch or can call 1-877-208-5700 to request that a copy of this research be sent to them.
	www.ubs.com (213 words)

	Coburn Financial - stocks, bonds, coburn meredith, annuities, mutual funds, money, manage, financial advisors, ... (Site not responding. Last check: 2007-10-14)
		Securities cleared through Pershing LLC, a division of the Bank of New York.
		The Coburn Asset Plan (CAP) was designed for investors who value the one to one relationship with their Financial Advisor, and appreciate the resources of a full-service brokerage firm.
		CAP allows you to consult with your financial advisor, receive certain Coburn products and services - all for an annual asset based fee.
	www.coburnfinancial.com (205 words)

	Independent Financial Advisors & Independent Broker Dealers \| Wachovia Securities
		Welcome to an exclusive club of professionals who, with the help of Wachovia Securities Financial Network, have gone from employee to business owner.
		Ours is a growing network that can reward your accomplishments and ambition with an exceptional level of support – from transition assistance and compelling payouts to non-equity capital investment in your new business.
		One of the perks of being in the top tier of national brokerage firms is being able to do more for financial advisors we serve.
	www.wsfinet.com (158 words)

	[No title] (Site not responding. Last check: 2007-10-14)
		The mission of First Financial Securities is to provide a vehicle whereby highly qualified and experienced individuals in the securities industry can operate independently to the greatest extent permissible, in order to provide a full range of personalized investment services to their clients.
		First Financial Securities became a member of The Investment Dealers Association of Canada on December 11,2002 as well as membership in the Canadian Investor Protection Fund.
		First Financial Securities Inc. was registered with the Ontario Securities Commission in November 2003.
	www.firstfinancial.bc.ca /corp.htm (170 words)

	wachovia securities financial network (Site not responding. Last check: 2007-10-14)
		Wachovia Securities is the trade name under which Wachovia...
		As clearing agent for Wachovia Securities Financial Network, First Clearing LLC has prepared this.
		Wachovia Securities is a diversified financial services company with professional independent financial advisors.
	www.about-computer-services.com /39/wachovia-securities-financial-network.html (510 words)

	First Financial Securities Inc.
		First Financial Securities Inc. has been registered as a securities dealer since 1996 with offices located in Ontario, Manitoba, Alberta, Saskatchewan and sub-branches throughout British Columbia.
		At First Financial Securities we specialize in achieving a clear and common understanding of our clients goals and then custom tailoring a financial program to help them get there.
		First Financial Securities is currently licensed as an Investment Dealer in British Columbia, Alberta, Saskatchewan, Manitoba and Ontario only.
	www.firstfinancial.bc.ca (486 words)

	Westminster Financial Companies :: Home
		Westminster Financial Securities, Inc. is a full service investment firm and a registered broker/dealer.
		Westminster Financial Advisory Corporation is our SEC Registered Investment Advisory firm that allows you to provide your clients with the correct management style to meet their needs.
		Westminster Financial Agencies, Inc. is the division that allows you the access to a variety of carriers for the best coverage available.
	www.westminsterfinancial.com (230 words)

	Securities Firms (Site not responding. Last check: 2007-10-14)
		Merrill Lynch is a leading financial management and advisory company with a global network of offices and client assets of nearly $2 trillion.
		Financial transactions are processed through Correspondent Services Corporation (CSC), a wholly owned fully guaranteed subsidiary of Paine Webber Inc. There are 30 offices of FWG and 17 offices of PAM throughout the country with over 250 registered representatives.
		Southwest Securities is the principal broker/dealer subsidiary of SWS Group, Inc., and is a member of the New York Stock Exchange and other major exchanges.
	privateclientpro.net /brokerageFirms.asp (3030 words)

	Sybase Inc - Financial Services (Site not responding. Last check: 2007-10-14)
		We offer highly secure, real-time, high-availability, integrated financial solutions that will help increase your organization's operational efficiency, customer service, business resiliency, and ROI.
		We work with more than 1,700 of the world's largest financial institutions, while our technology powers 90 percent of the world's securities firms and 60 percent of its banks.
		Our wireless solutions extend critical trade lifecycle information into the hands of traders, brokers and operations staff enabling them to proactively monitor trade transactions, exceptions and settlements in real time ensuring customer service level agreements are met.
	www.sybase.com /solutions/financial (290 words)

	ABC News: SMFG, Daiwa Securities Deny Merger Talks (Site not responding. Last check: 2007-10-14)
		TOKYO Feb 9, 2005 — Sumitomo Mitsui Financial Group Inc. and Daiwa Securities Group Inc. on Thursday said they have been seeking a possibility to strengthen their ties but denied reports they planned full-fledged merger talks.
		The companies were responding to media reports Thursday, including financial daily Nihon Keizai Shimbun and the Kyodo News agency, that SMFG, one of Japan's "Big Four" megabanks, and Japan's second-largest securities firm, Daiwa Securities, planned to enter talks aimed at integrating their businesses by the end of fiscal 2005.
		Daiwa Securities also said in a statement: "It is true that the two groups have been studying various possibilities to strengthen our cooperation, but we have no immediate plans to enter full-fledged negotiations toward merger."
	abcnews.go.com /Business/wireStory?id=486460 (410 words)

	Pricing Derivatives on Financial Securities Subject to Credit Risk
		The first is where the asset underlying the derivative security may default.
		The second is where the writer of the derivative security may default.
		We apply the foreign currency analogy of Jarrow and Turnbull (1991)[REF] to decompose the dollar payoff from a risky security into a certain payoff and a "spot exchange rate".
	www.defaultrisk.com /pa_price_08.htm (161 words)

	Financial Services, Associations, securities, association, finance (Site not responding. Last check: 2007-10-14)
		IFAs Are OK Working to improve the working lives of Independent Financial Advisers through promotion and representation.
		Nonprofit group of independent financial professionals who advance donor advocacy to the business of philanthropy.
		Provides news, education, publications, industry alerts, surveys and reference material for investors and financial securities professionals.
	www.bizahead.com /directory/financial_services/associations/index.shtml (110 words)

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