AIOC, whose Swiss unit also is targeted by the broker dealers'filing, didn't say whether it plans to consent to the bankruptcy.
32.
The Securities and Exchange Commission unveiled today a preliminary proposal to regulate 20 alternative trading systems such as Instinet as stock exchanges rather than as broker dealers.
33.
The report's " framework " would apply to affiliates of broker dealers firms that engages heavily in the over the counter derivatives business.
34.
Most investors are looking toward the bulk of this week's new offerings, with few attractive existing bonds found among those being offered by broker dealers.
35.
Amerivest Financial Group Inc ., a Los Angeles broker dealer owned by Anderson and Kerns, was accused of fraud in the sale of the partnership interests.
36.
If they had been a broker dealer, they would have been regulated; if they had been a futures commission merchant, they would have been regulated.
37.
The NASD, which regulates broker dealer companies, charged in January that many of the axchanges that Waddell & Reed recommended were unsuitable for customers.
38.
The institutional brokerage business, meanwhile, might appeal to a rival like Knight Securities or perhaps a foreign broker dealer looking to expand in the United States.
39.
Several other large accounting firms, including Andersen ( the firm formerly known as Arthur Andersen ), already have independent corporate finance subsidiaries that are registered broker dealers.
40.
Deloitte & Touche is in the process of having its subsidiary registered as a broker dealer, said Joe Angileri, national managing director of corporate finance.
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