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Found 4 dataset(s) matching "Securities brokers, dealers, underwriters".
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The Securities Exchange Act of 1934, as amended, requires financial institutions to notify their appropriate regulatory agency (ARA) prior to using the mails or any means or instrumentality of...
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A broker-dealer authorized to engage in securities underwriting, dealing, or market-making may, under certain circumstances, be acquired by a bank holding company, by a foreign bank subject to the...
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These mandatory information collections must be submitted in certain circumstances by a municipal security dealer (MSD) that is itself or is a subsidiary of a state member bank (SMB), a bank...
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The FR 3036 survey consists of a Turnover section and a section on Derivatives Outstandings. The Turnover section requests information on the monthly volume of transactions (turnover) in the...
