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Brokerage accounts allow you to invest in securities like stocks and bonds beyond what you might be doing through retirement savings plans such as 401(k)s or IRAs. Retirement accounts come with ...
Security segregation or client funds, in the context of the securities industry, refers to regulatory rules requiring that customer assets held by a financial institution (generally a brokerage firm) be held separate from assets of the brokerage firm itself in a segregated account and that there is no commingling.
Each state's blue sky law is administered by its appropriate regulatory agency, and most also provide private causes of action for private investors who have been injured by securities fraud. The first blue sky law was enacted in Kansas in 1911 at the urging of its banking commissioner, Joseph Norman Dolley , and served as a model for similar ...
A brokerage account is a type of financial account that allows you to trade investments. With a brokerage account, you can buy and sell assets such as stocks, bonds, mutual funds, CDs and ETFs.
The Arizona Consumer Fraud Act (ACFA) is a package of Arizona state laws that give protections to consumers in almost any kind of transaction related to the sale or advertisement of merchandise. Both the state and a private citizen may bring action under the act, however a private citizen's lawsuit must be brought within one year from the date ...
Keep your deposit in cash at your broker. ... That means there’s typically a minimum investment for the initial purchase — the Vanguard fund has an initial minimum of $3,000, for example ...
In connection with an investigation into the SEC's role in the collapse of Bear Stearns, in late September, 2008, the SEC's Division of Trading and Markets responded to an early formulation of this position by maintaining (1) it confuses leverage at the Bear Stearns holding company, which was never regulated by the net capital rule, with leverage at the broker-dealer subsidiaries covered by ...
The Arizona Revised Statutes (ARS) is the name given to the statutory laws in the U.S. state of Arizona. The ARS went into effect on January 9, 1956. [1] It was most recently updated in the second regular session of the 55th legislature. There are 49 titles, although three have been repealed.