Securities companies shall not operate securities or other types of business beyond the approved scope of business.

证券公司不得超出核定的业务范围经营证券业务和其他业务。

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Securities companies shall use their own funds or funds raised in accordance with the law when operating proprietary business.

证券公司的自营业务必须使用自有资金和依法筹集的资金。

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Article 139.when operating brokerage business, securities companies shall prepare uniform certificates of authorization for securities transaction for use by the clients.

第一百三十九条证券公司办理经纪业务，应当置备统一制定的证券买卖委托书，供委托人使用。

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With modern bank holding companies engaged in both the securities business and the commercial banking business (at its core taking deposits and making loans), how are the regulators going to mesh these laws together in their regulatory activities?

FORBES: Magazine Article

The Justices ruled 5-3 Tuesday that third parties, such as investment banks, accounting firms and suppliers, can be shielded from liability if they engage in business with companies that are involved in securities fraud.

FORBES: Magazine Article

News out of the subprime mortgage sector continues to worsen, as New Century Finance, already teetering toward bankruptcy, announced new regulatory probes and Massachusetts-issued subpoenas to two big securities companies for information on their research into the business.

FORBES: Magazine Article