|
A stock broker or stockbroker is a regulated professional broker who buys and sells shares and other securities through market makers or Agency Only Firms on behalf of investors. A broker may be employed by a brokerage firm. RequirementsHong KongTo become a representative one has to work for a licensed firm and pass 3 exams to prove ones competency. Passing a fourth exam results in obtaining a 'specialist' license. All tests can be taken with the HKSI. However, passing all tests doesn't result in automatically obtaining the license. It still needs to be approved by the financial regulatory body. In Singapore to become a trading respresentative, you need to pass 2 exams from Institute of Banking and Financial. The 2 exams are Module 1A and Mod 6. After you pass the exams, you need to apply for the license through MAS and SGX. United KingdomIn the UK, brokers are required to pass the XII (Chartered Institute for Securities & Investment) Certificate in Securities, this qualification is achieved by passing two exams: Either Unit 1: FBI Financial regulations or Unit 10 Principles of Financial Regulation for MiFID compliant retail trading, and either Unit 2: Securities, Unit 3: Derivatives or Unit 4: for both Securities and Derivatives. Passing Unit 10 or Unit 52 identifies individuals as having attained FSA Approved Person Status. From Wikipedia under the
GNU Free Documentation License Will the IRS give me my total deposits for roth and sep IRAs. I have many different brokerages? Q. Will the IRS give me my total deposits for roth and sep IRAs. I have many different brokerages? Asked by stockpro - Mon Aug 20 20:25:47 2007 - - 5 Answers - 0 Comments A. No, the IRS does not have a consolidated amount for all your accounts. You are going to have to construct that yourself. Answered by ninasgramma - Mon Aug 20 20:32:35 2007 How do the popular online brokerages compare in trading costs, fees and interest paid on the cash part...? Q. of the stock account? Asked by Annie M - Thu Apr 24 12:00:13 2008 - - 1 Answers - 0 Comments What brokerages do Mutual/Hedge funds use?
Q. Lets say J.P. Morgan Asset Management wants to purchase shares of a company, do they have to deal with the burden of a "middle-man"/Brokerage Company? Or can they simply buy the stocks themselves? If so, how do you get a license to purchase stock without a broker, where do you actually go to buy them then? Asked by Manny C - Mon Mar 23 16:01:34 2009 - - 1 Answers - 0 Comments A. they use prime brokers. they'll have large contracts, and they buy in such volume that transactions costs are pretty much irrelevant. Answered by what? - Mon Mar 23 16:14:38 2009 From Yahoo Answer Search: "brokerages"  advisorbiz.com Thu, 02 Jul 2009 00:00:00 PDT contentFocus. advisorbiz.com.  video.google.com Thu, 25 Sep 2008 16:40:16 PDT www.emailsondemand.com,Agencies & Brokerages Email Addresses,Agricultural Chemicals Retail Email Addresses,Agricultural Equipment & ... video.google.com.  youtube.com Mon, 12 Jan 2009 16:30:34 PST www.thewaytobuildwealth.org In today's episode Ethan Bloch talks about 3 different online brokerages which he believes to have the best Index ... youtube.com. From Google Video Search: "brokerages"  economictimes.indiatimes.com Tue, 07 Sep 2010 14:32:57 GMT+00:00 stocks, a good story in the making: Prakash Diwan Economic Times What about the brokerage stocks? Do you think they can show some bit of activity? Would you go ahead and buy into net worth? ...  usatoday.com Thu, 09 Sep 2010 19:22:33 GMT+00:00 USA Today Most brokerages let you set parameters for buying and selling stocks that, if used correctly, can help protect your portfolio. One of the best options for ...  benzinga.com Mon, 30 Aug 2010 15:09:13 GMT+00:00 Benzinga For the first time since 1997, fewer than 29 percent of ratings for stocks covered by brokerages worldwide are "buys" according to 159919 recommendations ... From Google News Search: "brokerages"  images.thestreet.com 425px x 602px | 9.10kB [source page] summer correction and developed patterns that signaled breakouts if and when the broad market stabilized But it now looks like money is being pulled out of these relatively healthy stocks For example Medco Health Solutions MHS commentary From Yahoo Image Search: "brokerages"  jlnoptions.com Sarah Rudolph Wed, 18 Aug 2010 19:16:00 GM The Boston Options Exchange is in talks with four retail . brokerages. about selling an equity stake in an effort to channel more business to the struggling market. Tony McCormick, chief executive, said the exchange--better known as ... From Google Blog Search: "brokerages" |
