compliance registered options principal

уполномоченный по наблюдению за опционной торговлей
Лицо, уполномоченное осуществлять аудиторские функции с целью подтверждения соответствия деятельности брокерской фирмы на рынке опционов установленным Комиссией по ценным бумагам и биржам правилам и действующим законам.

Англо-русский словарь по инвестициям. 2014.

Смотреть что такое "compliance registered options principal" в других словарях:

  • Registered Principal — A licensed securities dealer who is also empowered to oversee operational, compliance, trading and sales operations and the personnel who staff them. Registered principals must have all the basic securities licenses required for the operation… …   Investment dictionary

  • List of Securities Examinations — The following is a list of FINRA, NASAA, and NFA financial securities examinations. Most FINRA examinations are divided into two categories: Registered Representative and Registered Principal levels. An asterisk designates that there is no… …   Wikipedia

  • Head Trader — The manager of a trading business. He or she is responsible for the positions, risk and ultimate profitability of that business. In a registered securities firm, the head trader supervises all traders and other personnel… …   Investment dictionary

  • Business and Industry Review — ▪ 1999 Introduction Overview        Annual Average Rates of Growth of Manufacturing Output, 1980 97, Table Pattern of Output, 1994 97, Table Index Numbers of Production, Employment, and Productivity in Manufacturing Industries, Table (For Annual… …   Universalium

  • Economic Affairs — ▪ 2006 Introduction In 2005 rising U.S. deficits, tight monetary policies, and higher oil prices triggered by hurricane damage in the Gulf of Mexico were moderating influences on the world economy and on U.S. stock markets, but some other… …   Universalium

  • United States — a republic in the N Western Hemisphere comprising 48 conterminous states, the District of Columbia, and Alaska in North America, and Hawaii in the N Pacific. 267,954,767; conterminous United States, 3,022,387 sq. mi. (7,827,982 sq. km); with… …   Universalium

  • Social Protection — ▪ 2006 Introduction With medical costs skyrocketing and government programs scaled back, citizens bore more responsibility for their health care costs; irregular migration, human trafficking, and migrant smuggling posed challenges for… …   Universalium

  • international relations — a branch of political science dealing with the relations between nations. [1970 75] * * * Study of the relations of states with each other and with international organizations and certain subnational entities (e.g., bureaucracies and political… …   Universalium

  • United Nations — 1. an international organization, with headquarters in New York City, formed to promote international peace, security, and cooperation under the terms of the charter signed by 51 founding countries in San Francisco in 1945. Abbr.: UN Cf. General… …   Universalium

  • United Kingdom — a kingdom in NW Europe, consisting of Great Britain and Northern Ireland: formerly comprising Great Britain and Ireland 1801 1922. 58,610,182; 94,242 sq. mi. (244,100 sq. km). Cap.: London. Abbr.: U.K. Official name, United Kingdom of Great… …   Universalium

  • Grey import vehicles — are motor vehicles and motorcycles, which may be imported, either brand new or used, from another country, where they are more readily available and competitively priced. The term grey import, in reference to the grey economy refers to an item… …   Wikipedia

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