12 pages matching margin trading in this book
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12 firms 12 on-line broker-dealers advertising best execution obligations broker-dealers we contacted Chairman Commission complained to SEC day traders dealers delays and outages delays or outages disruptions Electronic Communication Networks ensure execution quality firm told firm's firms we contacted growth in on-line inform investors Internet service providers investment Keynote Systems last quarter margin account margin requirements margin trading market centers market makers mutual funds NASD NASDR NBBO number of on-line number of shares NYSE offer on-line trading officials told on-line broker on-line brokerage firm on-line firms on-line investors on-line trading accounts on-line trading systems order flow payment for order percent Piper Jaffray price improvement problems provide their customers quarter of 1997 recommendations registered representative regulators require broker-dealers risk disclosure SEC found SEC's securities trading sell SROs suitability system capacity trade executions trade on-line trading orders trading system delays trading system outages U.S. Bancorp