一个国内的朋友发来的，说是国内代理可以在美国股票投资的公司，让我帮忙看看有没有问题。因为本人是一个对股票一窍不通的人，实在不知如何下手，请这里的各位高手帮忙，万分感谢！！！！！！
大致看了一下，只知道公司名称是：鹏升结算交割公司，Penson Financial Services, Inc. (PFSI), 位于得克萨斯州，达拉斯市。是NASD和SIPC成员。
最主要是想知道会不会通过他买股票，最后不见了本钱？（不是由于股票涨落造成的），还有就是是NASD和SIPC成员怎样了？是不是就算有保证了？还有他的文本里有没有其他需要注意的问题？
朋友发来的文件如下：
Notice Regarding Check Deposits
关于支票储蓄的公告
When you deposit funds by check, you acknowledge and give approval that we may, at our discretion and without further prior notice, utilize an electronic check process or Automated Clearing House (ACH) facility to draft funds in the amount of any of your checks payable to us, our agents or assigns. This means that your checking account may be debited on the same day that we receive your check and that a copy of your check will not be returned with your checking account statement.
当您以支票形式储蓄时，意味着您了解并同意我们可能在未另行通知的情况下，全权利用电子审核程序或者自动结算处的设施，将支票中的限额支付给我们、代理人和转让人。这意味着在收到支票的当天，你的支票帐户将记入借方，在返回给您支票往来账目的同时，不带有支票的复印件。
IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT
关于开户过程的重要信息
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. This notice answers some questions about your firm's Customer Identification Program (CIP).
为协助政府打击恐怖分子及杜绝洗钱活动，联邦政府要求所有金融机构取得、核实并记录个人开户时的证明信息。这份公告回答了关于贵公司客户证明计划（CIP）相关问题。
What types of information will I need to provide?
我需要提供何种类型的信息？
When you open an account, your firm is required to collect information such as the following from you: your name, address, date of birth, Identification number (for US citizens, this identification number is your Social Security number or your employer identification number, and for non-US citizens, this identification number is your passport number, your alien-identification card number or government issued identification number). US Department of the Treasury, Securities and Exchange Commission, NASD, and New York Stock Exchange rules already require you to provide additional information, such as net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.
当你开户时，你的公司被要求收集一下关于你的信息：你的名字、住址、出生日期、身份证件号码（对于美国公民，该号码指的是你的社会保险号码或者你所在公司的注册号；对于非美国公民， 该号码指的是你的护照号码、你的外国人身份证号码或政府发放的身份证号码）美国财政部、证券交易委员会、NASD以及纽约股票交易规则还要求提供其他信息，如资产净值、年收入、职业、受雇信息、投资经验及目标、风险承受能力等。
What happens if I don't provide the information requested or my identity can't be verified?
如果我不能提供所需信息或者我的身份不能通过核实，将会出现什么情况？
Your firm may not be able to open an account or carry out transactions for you. If your firm has already opened an account for you, they may have to close it.
您的公司可能不能为你开户或者处理相关业务，如果已经开户，那么该帐户可能会被关闭。
We thank you for your patience and hope that you will support the financial industry's efforts to deny access to America's financial system by terrorists and money launders.
感谢您的耐心，希望您对国家财政系统为防止恐怖主义分子入侵以及反洗钱行动所做出的努力提供支持。
Penson Financial Futures, Inc
Penson 金融期货股份有限公司
Penson correspondents can trade futures through Penson Financial Futures, Inc. if they are members of the NFA.
Penson代理行如果系NFA成员，则可以通过Penson金融期货交易系统为您提供期货交易服务。
Penson Financial Futures, Inc. (PFFI) currently offers connectivity to the CBOT, CME and Montreal futures exchanges.
Penson金融期货交易系统当前提供与CBOT、CME以及蒙特利尔期货交易市场的有效连通。
Penson Financial Futures is also watching for more futures contracts to go electronic. As new electronic contracts are made available, PFFI will look to add them to their product offering.
Penson 金融期货也通过电子系统监控更多的期货交易合约状况。一旦新期货交易合约成交，Penson 金融期货也会将其添加到他们的提供的产品中里面。
BUSINESS CONTINUITY PLAN
经营持续性计划
In our capacity as a clearing firm, we provide a variety of services to your broker including technological and operational support. To ensure business continuity in connection with the provision of such services, we have developed a disaster recovery plan (D/R). As an important part of our D/R plan, we have established a remote, independent site which has the capacity to operate and maintain critical business processes in the event we can not utilize our headquarters in Dallas, Texas for any reason. In addition, our D/R plan contemplates restoration of critical business processes within twenty-four hours of the shutdown of our headquarters. You may request a copy of our D/R plan by emailing amccutcheon@penson.com. Please note that our D/R plan is subject to change at any time at our discretion.
作为一家清算公司，我们为您的经纪人提供包括技术及操作支持在内的多种服务。为保证提供服务与经营的持续性，我们开发了一个灾难恢复方案。作为灾难恢复方案的重要部分，我们已经建立了一个较远、独立、具备经营与保持核心业务的地点，以防我们不能利用达拉斯的总部资源。此外，灾难恢复方案设想的是在总部关闭的24小时内，恢复业务的运行。你可以通过发送邮件（amccutcheon@penson.com）请求恢复方案的副本，且此方案本公司随时有权利进行修改。
Turbo Tax for the Web
从网络获得TurboTax
Download your account information directly into TurboTax. Instant Data Entry is available for import using both the desktop software and web version of TurboTax. If you executed more than 250 trades for the current tax year, you must use the desktop software version of TurboTax. To learn more about Instant Data entry, click the help section within TurboTax or visit http://www.quicken.com/cms/viewers/article/taxes/54338
可以从TurboTax直接下载你的帐户信息。 利用桌面安装或者在线软件实现“即时数据录入”。如果在一个纳税年度内超过250项交易，那么就必须使用安装软件。要了解更多关于“即时数据录入”的信息，您可以点击TurboTax的“帮助”或者访问一下网址：http://www.quicken.com/cms/viewers/article/taxes/54338。
Information pursuant to SEC Rule 606 (formerly 11Ac1-6)
Pursuant to SEC Rule 606, Penson Financial Services, Inc. is required to make publicly available a quarterly report with regard to its routing of non-directed orders. For the purpose of this Rule, we have entered into an agreement with Quantum5 Market Surveillance * Division of S3 Matching Technologies * to disclose all required information pertaining to this rule.
ftp://public.s3.com/11ac1-6/pfsi
依照证券交易委员会606号规定，鹏升结算公司被要求提供有关其非指向性订单的行动的公开季报。基于此规定，我们已经同“昆腾公司市场监督部门”与“S3公司科技部”达成协议，披露此规定所要求的相应信息。
Important Notice - Data Availability
重要提示-数据提供
Historical trading data is available for trading dates back to June 1, 1997.
可提供自1997年6月1日以来的历史交易数据。
Email Trade Confirmations Now Available
We now offer email confirmations of trades. To request email confirmations and/or statements, simply update your profile under the Tools menu.
现在我们提供交易的电子邮件确认服务。如需要电子邮件证实或声明，仅需要更新您的工具菜单中的个人信息项。
Prime Brokerage
大宗（或者机构）经纪业务
Penson's Prime Brokerage Services is a comprehensive custody and clearing services for your account. Prime Brokerage allows you to consolidate all of your securities positions, securities trading activity, reporting needs and financing in a single location with a single account.
Penson 的大宗（或者机构）经纪业务为您的帐户提供全面的托管和结算服务。大宗（或者机构）经纪业务允许您在单一地区，通过单一帐户调整您的证券持有量，证券交易活动，申报资金需求和开展融资活动。
Penson's core services include, but are not limited to:
Penson的核心业务主要包括以下内容，但经营范围不仅限于此：
Settlement services结算业务
Securities lending 证券借贷
An array of reporting options, including customized reports and data extracts 一系列期权报告，包括定制报告和数据报表
Financing services 融资业务
Foreign currency execution and settlement capacity 外币交易和结算数量
Web-based daily account information 基于网络的每日帐户信息
Notification of corporate actions 公司股东决议通告
Personalized service for each Prime Brokerage account 个性化的优质经纪帐户服务
Leading edge trading technology领先的交易技术
Clearing, Settlement and Custody
清算、结算和托管
Clearing, settlement and custody are primarily back office functions that are mostly transparent to the end customer, and to a great deal, the introducing broker/dealer. Most broker/dealers do not have the internal capacity to handle their own clearing, custody and settlement so they contract with a clearing firm to handle that for them.
清算、结算和托管是基本的业务职能，最容易接触到终端客户和大量的中介经纪商/交易商。大多数经纪商/交易商自身没有能力处理内部的清算、结算和托管活动，所以他们与结算交割公司签订合同，使之为其处理相关交易。
Once a trade is executed it must be compared with the counterparty and settled, if it is a U.S. stock transaction, in three (3) business days. To achieve this themselves, firms would need a large investment in people and technology, so many firms choose to outsource these functions and other operational functions to firms that specialize in this aspect of the securities business.
一旦需要执行交易，必须要对签订合同方进行比较，并确定合适的对象。如果是一支美国股票交易，应在3天内完成交易。为了实现这些交易，公司需要大量投资于和交易相关的人和技术，因此大量的公司选外包的方式处理这些业务和其他一些公司业务，而自己却专注于这方面的证券业务。
Penson competes with numerous large banks and financial institutions in providing these services, but Penson is different. Rather than offering a one-size-fits-all package or several different preset packages of services like most of the competition, Penson uses its flexibility to provide customized packages of services to allow correspondents to conduct their business according to their needs and business model.
鹏升公司与许多大型银行和金融机构在提供这些服务时展开竞争，但鹏升公司是与众不同的。然而与大多数竞争对手所提供的千篇一律的方案或有限的几个事先确定的服务种类不同，鹏升公司灵活使用一揽子量身定制服务方案，让代理机构根据他们的需求和经营模式卡展各自的业务。
International Direct Market Access
直接进入国际市场
Penson Worldwide offers an electronic execution service to meet the growing needs of North American and European broker/dealers and asset managers. We support clients' trading activities with extensive exchange memberships and electronic Direct Market Access (DMA) trading of equities and derivatives in major European and North American markets.
Penson Worldwide提供电子交易服务以满足日益增加的北美和欧洲经纪人/交易商和资产管理者的需求。我们通过主要设在欧洲和北美市场的交易所成员、电子式专属下单路线交易的证券和衍生工具来支持客户的交易活动。
Penson's low-cost, hosted Order Management Solution (OMS) and electronic DMA, coupled with our more traditional business areas of clearing, settlement and custody, provides North American, UK and other European broker/dealers and private client asset managers with an innovative and flexible end-to-end e-trading solution.
Penson 的低成本，管理解决方案(OMS)和 电子DMA，,加上传统商业领域的结算、清算、托管活动，为北美、英国及其他欧洲经纪人/经销商，和私人客户资产管理人员提供创新、灵活的端到端的电子交易解决方案.
Penson's multi-market, multi-instrument trading system, exchange-hub connectivity and electronic DMA brokerage are all backed by an established, comprehensive settlement, clearing and custody service covering most European equities and exchange-traded derivatives.
Penson多市场、多交易工具系统，连通的交易集成器和电子DMA经纪业务都支持建立一个全面的结算、清算和托管业务，其中包括大多数欧洲证券和交易买卖的衍生产品。
The trading is supported in two ways:
营运支持体现在两方面：
1. Exchange connectivity trading software with which clients can trade under their own membership with exchanges and retail service providers (RSPs); or
1. 交易所连续交易软件使客户能够通过以自己的会员资格与交易所和零售商业服务供应商进行交易。
2. Multi-market, multi-instrument, electronic Direct Market Access through the Penson group of companies.
2. Penson集团的多市场、多交易工具，电子式专属线路。
Investor Relations
投资者关系
Corporate Profile公司简介
We are a leading provider of a broad range of critical securities-processing infrastructure products and services to the global securities and investment industry. Our products and services include securities and futures clearing, margin lending, facilities management, technology and other related offerings to broker-dealers, hedge funds, banks and financial technology firms.
我们主要提供各种各样的危急证券加工产品和服务的基础设施和全球证券投资业. 我们的产品和服务,包括证券及期货结算、贷款保证金、设备管理、技术及其他相关人士经纪商、对冲基金、银行和金融公司的技术.
Stock Quote 股市引用
Exchange NASDAQ (US Dollar)
外汇 纳斯达克 (美元)
PNSN (Common Stock) Pnsn(普通股)
Price $12.71 Change (%) 0.37 (2.10%)
价格 $12.71 变化 (%) 0.37 (2.10%)
Volume646，862 交易量 646，862
Data as of 06/30/06?:00 p.m. ET
截至1906年7月14日3:59PMET数据
Minimum 20 minute delay 最低延迟20分钟
Penson Financial Services , Inc.
鹏升结算交割公司
Penson Financial Services, Inc. (PFSI), based in Dallas, Texas, is a securities services firm that provides flexible, technology-based processing solutions for the execution, clearing, custody and settlement of securities transactions. PFSI also offers a platform for registered investment advisors and provides prime brokerage services to hedge funds and other institutional investors. Penson is a member of NASD and SIPC.
鹏升结算交割公司位于得克萨斯州，达拉斯市，是一家证券服务企业。该公司为证券交易过程中执行、清算、托管、结算等环节提供灵活的、有技术支持的解决方案。该公司也为注册投资顾问提供了一个发展平台，同时也为对冲基金和其他机构投资者提供大宗（或者机构）经纪业务。鹏升公司还是美国全国证券交易商协会和美国证券投资者保护基金的成员。
Brief History
发展历史简述
Penson Financial Services, Inc. was founded in 1995 by Daniel P. Son, and Phil Pendergraft. Penson began to build a correspondent clearing infrastructure for outsourced clearing to broker/dealers. The firm started with a staff of nine and has grown rapidly to serve the needs of correspondents based in the United States and around the world. PFSI is a subsidiary of Penson Worldwide, Inc. as are Penson Financial Services Canada, Inc., Penson Financial Services Ltd., Penson Financial Futures, Inc. and Nexa Technologies, Inc.
鹏升结算交割公司由Daniel P. Son和 Phil Pender. Graft在1975年创立。鹏升公司一开始就为经纪商和交易商的外包结算交割活动构建一个代理结算基础设施。公司成立之初有9名员工，后迅速成长为以美国为大本营、遍布全球的提供代理服务的机构。 鹏升结算交割公司与Penson Financial Services Canada, Inc.， Penson Financial Services Ltd., Penson Financial Futures, Inc. 和Nexa Technologies, Inc一样，同时是Penson Worldwide股份有限公司的子公司，
Penson Technology
鹏升技术支持
Most of Penson's business is conducted through the Internet. The Company's substantial and continuing investment in innovative and evolutionary systems technology allows it to process a high volume of transactions without sacrificing stability and reliability. Penson utilizes redundant disaster recovery facilities with full replication of data, and the technology infrastructure incorporates load-balanced servers and redundancies to ensure prompt data access capabilities. The Penson technology advantage makes it the flexible choice in global securities services.
大多数鹏升公司的交易是通过互联网进行的。公司对系统创新和更新改造技术所提供的大量、持续的投资使得公司不需要通过牺牲系统的稳定性和可靠性来处理大量的交易。鹏升公司利用备份灾难复原设备对所有的数据进行了备份，技术基础设施组成了负载平衡服务器和备份确保了及时数据存取能力。鹏升公司的技术优势确保了全球范围内可灵活选择的证券服务。
大致看了一下，只知道公司名称是：鹏升结算交割公司，Penson Financial Services, Inc. (PFSI), 位于得克萨斯州，达拉斯市。是NASD和SIPC成员。
最主要是想知道会不会通过他买股票，最后不见了本钱？（不是由于股票涨落造成的），还有就是是NASD和SIPC成员怎样了？是不是就算有保证了？还有他的文本里有没有其他需要注意的问题？
朋友发来的文件如下：
Notice Regarding Check Deposits
关于支票储蓄的公告
When you deposit funds by check, you acknowledge and give approval that we may, at our discretion and without further prior notice, utilize an electronic check process or Automated Clearing House (ACH) facility to draft funds in the amount of any of your checks payable to us, our agents or assigns. This means that your checking account may be debited on the same day that we receive your check and that a copy of your check will not be returned with your checking account statement.
当您以支票形式储蓄时，意味着您了解并同意我们可能在未另行通知的情况下，全权利用电子审核程序或者自动结算处的设施，将支票中的限额支付给我们、代理人和转让人。这意味着在收到支票的当天，你的支票帐户将记入借方，在返回给您支票往来账目的同时，不带有支票的复印件。
IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT
关于开户过程的重要信息
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. This notice answers some questions about your firm's Customer Identification Program (CIP).
为协助政府打击恐怖分子及杜绝洗钱活动，联邦政府要求所有金融机构取得、核实并记录个人开户时的证明信息。这份公告回答了关于贵公司客户证明计划（CIP）相关问题。
What types of information will I need to provide?
我需要提供何种类型的信息？
When you open an account, your firm is required to collect information such as the following from you: your name, address, date of birth, Identification number (for US citizens, this identification number is your Social Security number or your employer identification number, and for non-US citizens, this identification number is your passport number, your alien-identification card number or government issued identification number). US Department of the Treasury, Securities and Exchange Commission, NASD, and New York Stock Exchange rules already require you to provide additional information, such as net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.
当你开户时，你的公司被要求收集一下关于你的信息：你的名字、住址、出生日期、身份证件号码（对于美国公民，该号码指的是你的社会保险号码或者你所在公司的注册号；对于非美国公民， 该号码指的是你的护照号码、你的外国人身份证号码或政府发放的身份证号码）美国财政部、证券交易委员会、NASD以及纽约股票交易规则还要求提供其他信息，如资产净值、年收入、职业、受雇信息、投资经验及目标、风险承受能力等。
What happens if I don't provide the information requested or my identity can't be verified?
如果我不能提供所需信息或者我的身份不能通过核实，将会出现什么情况？
Your firm may not be able to open an account or carry out transactions for you. If your firm has already opened an account for you, they may have to close it.
您的公司可能不能为你开户或者处理相关业务，如果已经开户，那么该帐户可能会被关闭。
We thank you for your patience and hope that you will support the financial industry's efforts to deny access to America's financial system by terrorists and money launders.
感谢您的耐心，希望您对国家财政系统为防止恐怖主义分子入侵以及反洗钱行动所做出的努力提供支持。
Penson Financial Futures, Inc
Penson 金融期货股份有限公司
Penson correspondents can trade futures through Penson Financial Futures, Inc. if they are members of the NFA.
Penson代理行如果系NFA成员，则可以通过Penson金融期货交易系统为您提供期货交易服务。
Penson Financial Futures, Inc. (PFFI) currently offers connectivity to the CBOT, CME and Montreal futures exchanges.
Penson金融期货交易系统当前提供与CBOT、CME以及蒙特利尔期货交易市场的有效连通。
Penson Financial Futures is also watching for more futures contracts to go electronic. As new electronic contracts are made available, PFFI will look to add them to their product offering.
Penson 金融期货也通过电子系统监控更多的期货交易合约状况。一旦新期货交易合约成交，Penson 金融期货也会将其添加到他们的提供的产品中里面。
BUSINESS CONTINUITY PLAN
经营持续性计划
In our capacity as a clearing firm, we provide a variety of services to your broker including technological and operational support. To ensure business continuity in connection with the provision of such services, we have developed a disaster recovery plan (D/R). As an important part of our D/R plan, we have established a remote, independent site which has the capacity to operate and maintain critical business processes in the event we can not utilize our headquarters in Dallas, Texas for any reason. In addition, our D/R plan contemplates restoration of critical business processes within twenty-four hours of the shutdown of our headquarters. You may request a copy of our D/R plan by emailing amccutcheon@penson.com. Please note that our D/R plan is subject to change at any time at our discretion.
作为一家清算公司，我们为您的经纪人提供包括技术及操作支持在内的多种服务。为保证提供服务与经营的持续性，我们开发了一个灾难恢复方案。作为灾难恢复方案的重要部分，我们已经建立了一个较远、独立、具备经营与保持核心业务的地点，以防我们不能利用达拉斯的总部资源。此外，灾难恢复方案设想的是在总部关闭的24小时内，恢复业务的运行。你可以通过发送邮件（amccutcheon@penson.com）请求恢复方案的副本，且此方案本公司随时有权利进行修改。
Turbo Tax for the Web
从网络获得TurboTax
Download your account information directly into TurboTax. Instant Data Entry is available for import using both the desktop software and web version of TurboTax. If you executed more than 250 trades for the current tax year, you must use the desktop software version of TurboTax. To learn more about Instant Data entry, click the help section within TurboTax or visit http://www.quicken.com/cms/viewers/article/taxes/54338
可以从TurboTax直接下载你的帐户信息。 利用桌面安装或者在线软件实现“即时数据录入”。如果在一个纳税年度内超过250项交易，那么就必须使用安装软件。要了解更多关于“即时数据录入”的信息，您可以点击TurboTax的“帮助”或者访问一下网址：http://www.quicken.com/cms/viewers/article/taxes/54338。
Information pursuant to SEC Rule 606 (formerly 11Ac1-6)
Pursuant to SEC Rule 606, Penson Financial Services, Inc. is required to make publicly available a quarterly report with regard to its routing of non-directed orders. For the purpose of this Rule, we have entered into an agreement with Quantum5 Market Surveillance * Division of S3 Matching Technologies * to disclose all required information pertaining to this rule.
ftp://public.s3.com/11ac1-6/pfsi
依照证券交易委员会606号规定，鹏升结算公司被要求提供有关其非指向性订单的行动的公开季报。基于此规定，我们已经同“昆腾公司市场监督部门”与“S3公司科技部”达成协议，披露此规定所要求的相应信息。
Important Notice - Data Availability
重要提示-数据提供
Historical trading data is available for trading dates back to June 1, 1997.
可提供自1997年6月1日以来的历史交易数据。
Email Trade Confirmations Now Available
We now offer email confirmations of trades. To request email confirmations and/or statements, simply update your profile under the Tools menu.
现在我们提供交易的电子邮件确认服务。如需要电子邮件证实或声明，仅需要更新您的工具菜单中的个人信息项。
Prime Brokerage
大宗（或者机构）经纪业务
Penson's Prime Brokerage Services is a comprehensive custody and clearing services for your account. Prime Brokerage allows you to consolidate all of your securities positions, securities trading activity, reporting needs and financing in a single location with a single account.
Penson 的大宗（或者机构）经纪业务为您的帐户提供全面的托管和结算服务。大宗（或者机构）经纪业务允许您在单一地区，通过单一帐户调整您的证券持有量，证券交易活动，申报资金需求和开展融资活动。
Penson's core services include, but are not limited to:
Penson的核心业务主要包括以下内容，但经营范围不仅限于此：
Settlement services结算业务
Securities lending 证券借贷
An array of reporting options, including customized reports and data extracts 一系列期权报告，包括定制报告和数据报表
Financing services 融资业务
Foreign currency execution and settlement capacity 外币交易和结算数量
Web-based daily account information 基于网络的每日帐户信息
Notification of corporate actions 公司股东决议通告
Personalized service for each Prime Brokerage account 个性化的优质经纪帐户服务
Leading edge trading technology领先的交易技术
Clearing, Settlement and Custody
清算、结算和托管
Clearing, settlement and custody are primarily back office functions that are mostly transparent to the end customer, and to a great deal, the introducing broker/dealer. Most broker/dealers do not have the internal capacity to handle their own clearing, custody and settlement so they contract with a clearing firm to handle that for them.
清算、结算和托管是基本的业务职能，最容易接触到终端客户和大量的中介经纪商/交易商。大多数经纪商/交易商自身没有能力处理内部的清算、结算和托管活动，所以他们与结算交割公司签订合同，使之为其处理相关交易。
Once a trade is executed it must be compared with the counterparty and settled, if it is a U.S. stock transaction, in three (3) business days. To achieve this themselves, firms would need a large investment in people and technology, so many firms choose to outsource these functions and other operational functions to firms that specialize in this aspect of the securities business.
一旦需要执行交易，必须要对签订合同方进行比较，并确定合适的对象。如果是一支美国股票交易，应在3天内完成交易。为了实现这些交易，公司需要大量投资于和交易相关的人和技术，因此大量的公司选外包的方式处理这些业务和其他一些公司业务，而自己却专注于这方面的证券业务。
Penson competes with numerous large banks and financial institutions in providing these services, but Penson is different. Rather than offering a one-size-fits-all package or several different preset packages of services like most of the competition, Penson uses its flexibility to provide customized packages of services to allow correspondents to conduct their business according to their needs and business model.
鹏升公司与许多大型银行和金融机构在提供这些服务时展开竞争，但鹏升公司是与众不同的。然而与大多数竞争对手所提供的千篇一律的方案或有限的几个事先确定的服务种类不同，鹏升公司灵活使用一揽子量身定制服务方案，让代理机构根据他们的需求和经营模式卡展各自的业务。
International Direct Market Access
直接进入国际市场
Penson Worldwide offers an electronic execution service to meet the growing needs of North American and European broker/dealers and asset managers. We support clients' trading activities with extensive exchange memberships and electronic Direct Market Access (DMA) trading of equities and derivatives in major European and North American markets.
Penson Worldwide提供电子交易服务以满足日益增加的北美和欧洲经纪人/交易商和资产管理者的需求。我们通过主要设在欧洲和北美市场的交易所成员、电子式专属下单路线交易的证券和衍生工具来支持客户的交易活动。
Penson's low-cost, hosted Order Management Solution (OMS) and electronic DMA, coupled with our more traditional business areas of clearing, settlement and custody, provides North American, UK and other European broker/dealers and private client asset managers with an innovative and flexible end-to-end e-trading solution.
Penson 的低成本，管理解决方案(OMS)和 电子DMA，,加上传统商业领域的结算、清算、托管活动，为北美、英国及其他欧洲经纪人/经销商，和私人客户资产管理人员提供创新、灵活的端到端的电子交易解决方案.
Penson's multi-market, multi-instrument trading system, exchange-hub connectivity and electronic DMA brokerage are all backed by an established, comprehensive settlement, clearing and custody service covering most European equities and exchange-traded derivatives.
Penson多市场、多交易工具系统，连通的交易集成器和电子DMA经纪业务都支持建立一个全面的结算、清算和托管业务，其中包括大多数欧洲证券和交易买卖的衍生产品。
The trading is supported in two ways:
营运支持体现在两方面：
1. Exchange connectivity trading software with which clients can trade under their own membership with exchanges and retail service providers (RSPs); or
1. 交易所连续交易软件使客户能够通过以自己的会员资格与交易所和零售商业服务供应商进行交易。
2. Multi-market, multi-instrument, electronic Direct Market Access through the Penson group of companies.
2. Penson集团的多市场、多交易工具，电子式专属线路。
Investor Relations
投资者关系
Corporate Profile公司简介
We are a leading provider of a broad range of critical securities-processing infrastructure products and services to the global securities and investment industry. Our products and services include securities and futures clearing, margin lending, facilities management, technology and other related offerings to broker-dealers, hedge funds, banks and financial technology firms.
我们主要提供各种各样的危急证券加工产品和服务的基础设施和全球证券投资业. 我们的产品和服务,包括证券及期货结算、贷款保证金、设备管理、技术及其他相关人士经纪商、对冲基金、银行和金融公司的技术.
Stock Quote 股市引用
Exchange NASDAQ (US Dollar)
外汇 纳斯达克 (美元)
PNSN (Common Stock) Pnsn(普通股)
Price $12.71 Change (%) 0.37 (2.10%)
价格 $12.71 变化 (%) 0.37 (2.10%)
Volume646，862 交易量 646，862
Data as of 06/30/06?:00 p.m. ET
截至1906年7月14日3:59PMET数据
Minimum 20 minute delay 最低延迟20分钟
Penson Financial Services , Inc.
鹏升结算交割公司
Penson Financial Services, Inc. (PFSI), based in Dallas, Texas, is a securities services firm that provides flexible, technology-based processing solutions for the execution, clearing, custody and settlement of securities transactions. PFSI also offers a platform for registered investment advisors and provides prime brokerage services to hedge funds and other institutional investors. Penson is a member of NASD and SIPC.
鹏升结算交割公司位于得克萨斯州，达拉斯市，是一家证券服务企业。该公司为证券交易过程中执行、清算、托管、结算等环节提供灵活的、有技术支持的解决方案。该公司也为注册投资顾问提供了一个发展平台，同时也为对冲基金和其他机构投资者提供大宗（或者机构）经纪业务。鹏升公司还是美国全国证券交易商协会和美国证券投资者保护基金的成员。
Brief History
发展历史简述
Penson Financial Services, Inc. was founded in 1995 by Daniel P. Son, and Phil Pendergraft. Penson began to build a correspondent clearing infrastructure for outsourced clearing to broker/dealers. The firm started with a staff of nine and has grown rapidly to serve the needs of correspondents based in the United States and around the world. PFSI is a subsidiary of Penson Worldwide, Inc. as are Penson Financial Services Canada, Inc., Penson Financial Services Ltd., Penson Financial Futures, Inc. and Nexa Technologies, Inc.
鹏升结算交割公司由Daniel P. Son和 Phil Pender. Graft在1975年创立。鹏升公司一开始就为经纪商和交易商的外包结算交割活动构建一个代理结算基础设施。公司成立之初有9名员工，后迅速成长为以美国为大本营、遍布全球的提供代理服务的机构。 鹏升结算交割公司与Penson Financial Services Canada, Inc.， Penson Financial Services Ltd., Penson Financial Futures, Inc. 和Nexa Technologies, Inc一样，同时是Penson Worldwide股份有限公司的子公司，
Penson Technology
鹏升技术支持
Most of Penson's business is conducted through the Internet. The Company's substantial and continuing investment in innovative and evolutionary systems technology allows it to process a high volume of transactions without sacrificing stability and reliability. Penson utilizes redundant disaster recovery facilities with full replication of data, and the technology infrastructure incorporates load-balanced servers and redundancies to ensure prompt data access capabilities. The Penson technology advantage makes it the flexible choice in global securities services.
大多数鹏升公司的交易是通过互联网进行的。公司对系统创新和更新改造技术所提供的大量、持续的投资使得公司不需要通过牺牲系统的稳定性和可靠性来处理大量的交易。鹏升公司利用备份灾难复原设备对所有的数据进行了备份，技术基础设施组成了负载平衡服务器和备份确保了及时数据存取能力。鹏升公司的技术优势确保了全球范围内可灵活选择的证券服务。
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