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注冊代理人(Registered Representatives)
A person licensed by the SEC and the NYSE to act as an account executive for clients of brokerages.
注冊代理人
證券交易委員會或紐約證券交易所授權為經(jīng)紀公司的客戶提供服務的業(yè)務經(jīng)紀人。
The General Securities Registered Representative examination. It is a six-hour multiple-choice test that must be passed by brokers.
證券經(jīng)紀人考試。經(jīng)紀人必須通過的6小時選擇題考試。
The Uniform Securities Agent State Law examination. A three-hour multiple-choice test required by most states to be taken by brokers.
經(jīng)紀人州政府法規(guī)考試。大多數(shù)州要求經(jīng)紀人通過的3小時選擇題考試。
The National Association of Securities Dealers. The NASD is supervised by the SEC and includes all over the counter dealer firms.
全美證券交易商協(xié)會。NASD受證券交易委員會監(jiān)督，包括所有場外交易公司。
Broker’s Book
Record kept by an AE of every transaction conducted for his clients. The “book” also contains their personal and financial profile.
經(jīng)紀人記錄簿
記錄客戶經(jīng)理為客戶進行的每一筆交易的手冊。該“手冊”還記錄他們的個人和財務檔案。
Churning
Encouraging or creating transactions in a customer’s account for the purpose of generating commissions.
炒單
在客戶賬戶中多次慫恿或虛設交易以增加傭金。
Crossing (stock)
Encouraging one client to buy while encouraging another to sell the same stock in order to create a transaction.
對敲
慫恿一方客戶買入，同時慫恿另一方客戶賣出相同股票以虛設交易。
“Burning” a Book
Churning the accounts of customers without profit to the point that they will no longer allow a broker to transact trades for them.
“燒毀”記錄簿
多次炒單而沒有利潤，使得客戶不再允許該經(jīng)紀人為他們操作交易。
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