证券交易商

At the end of the course students will be familiar with the features and functions of major financial markets and institutions such as money, bond, stock, foreign exchange and derivative markets, central bank, commercial and investment banks, stock exchanges, brokers and fund managers.

学生将从此课程的学习中，清楚了解国际货币，债券，股票，外汇和衍生产品市场的特征和功能，并了解中央银行，商业银行，投资银行，证券交易所，证券交易商，基金公司等金融机构的业务运作特征。

The Federal Reserve Board and many self-regulatory organizations, such as the NYSE and NASD, have rules that

联邦准备理事会和许多自我规范组织，像是纽约证券交易所与美国证券交易商公会，早就制定了管理信用

Brokerage activities in the U.S. are regulated by the SEC, the NASD, and the exchanges on which they do business.

在美国，证券经纪公司的业务活动要遵循证券交易委员会，全美证券交易商协会和证券交易所的规定。

Activities may include:45793. Activities of account executives are overseen by the SEC and the NASD.

证券交易委员会和全美证券交易商协会监管经纪人的工作。

Because of this restriction, they are usually exempt from any direct regulation by the SEC , NASD and other regulatory bodies.

因为有这样的限制，所以诸如证券交易委员会、全国证券交易商学会以及其他的金融职能机构所设定的严格法规相对于对冲资金也就被减免了

Brokerage activities in the U.S. are not regulated by the SEC, the NASD, and the exalters on which them do business.

在北美，证券经纪一自己一自己自己搞的业务聚会要遵循证券交易委员会，全美证券交易商协会和证券交易所的规定。

Dealings in the securities of the Company may be settled through the CCASS operated by HKSCC and you should consult your stockb roker or other licensed securities dealer or other registered dealer in securities, bank manager , solicitor , professional accou ntant or otherprofessional adviser for details of the settlement arrangements and how such arrangements may af fect your rights and interests.

本公司证券之买卖可透过由香港结算管理之中央结算系统进行交收，而阁下应就该等交收安排之详情及该等安排可能对阁下之权利及权益构成之影响谘询阁下之股票经纪或其他持牌证券交易商或其他注册证券交易商、银行经理、律师、专业会计师或其他专业顾问。

Article 9 For tradings of foreign securities for themselves or as agents, securities traders and securities registration bodies in China shall report to the State Administration of Exchange Control or its branches the related revenues and expenditures as well as distribution of dividends.

第九条 中国境内的证券交易商以及证券登记机构进行自营或者代理客户进行对外证券交易的，应当向国家外汇管理局或其分支局申报其自营和代理客户的对外交易及相应的收支和分红派息情况。

These departments include but are not limited to: retail, institutional, trading, research and analysis, investment banking, and compliance.

在美国，证券经纪公司的业务活动要遵循证券交易委员会，全美证券交易商协会和证券交易所的规定。

These departments include but are not limited to: retail, institutional, trading, research and analysis, investment banking, and compliance. Brokerage activities in the U.S.

在美国，证券经纪公司的业务活动要遵循证券交易委员会，全美证券交易商协会和证券交易所的规定。

In the United States, chronic alcoholism and hepatitis C are the most common ones.

在美国，慢性酒精中毒，肝炎是最常见的。

If you have any questions, you can contact me anytime.

如果有任何问题，你可以随时联系我。