securities company

常見例句

Members of the board of directors, members of the board of supervisors, managers, and employees of a securities company are not allowed to take up concurrent posts at other securities companies.
證券公司的董事、監(jiān)事、經(jīng)理和業(yè)務(wù)人員不得在其他證券公司中兼任職務(wù)。
Legal advice and recommendation of the securities company;
法律意見書和證券公司的推薦書；
Article 23. The following shall be included in the underwriting or sole agency agreement signed between a securities company and a stock issuer
第二十三條證券公司承銷證券，應(yīng)當(dāng)同發(fā)行人簽訂代銷或者包銷協(xié)議，載明下列事項

The Securities and Exchange Commission says a private company must report financial information if it has five hundred shareholders or more.

Brokerage services are offered through First Republic Securities Company, LLC.
FORBES: First Republic Bank
He even called on Congress to consider new ways to assist the orderly unwinding of a big securities company (the way the FDIC handles the liquidation of a bank, for example), urging it to work with the Treasury Department on ideas.
FORBES: Magazine Article
The company also ran into legal trouble when the State of Washington Dept. of Financial Institutions, Securities Division found that the company was selling unregistered securities and not providing sufficient information about the company to its potential investors.
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