Sentences with phrase «broker dealer sales»

Not exact matches

«Find out whether [the advisor is] in sales, via a broker dealer / insurance company, or will they act like a fiduciary, such as many affiliated with RIAs will be,» he said.

Basically, under the Securities Exchange Act of 1934, any person who negotiates the sale of stock and receives a percentage of the transaction as payment must be a registered broker - dealer.

Further, ERISA's reference to «render [ing] investment advice for a fee or other compensation» incorporates terminology in the IAA, which — in accordance with the industry understanding and practice when the IAA was enacted — excludes broker - dealers executing sales from the definition of «investment adviser.»

As a FINRA - registered broker - dealer, MicroVenture Marketplace Inc. has facilitated the sale of private stock in numerous companies.

This discussion also does not consider any specific facts or circumstances that may be relevant to holders subject to special rules under the U.S. federal income tax laws, including, without limitation, certain former citizens or long - term residents of the United States, partnerships or other pass - through entities, real estate investment trusts, regulated investment companies, «controlled foreign corporations,» «passive foreign investment companies,» corporations that accumulate earnings to avoid U.S. federal income tax, banks, financial institutions, investment funds, insurance companies, brokers, dealers or traders in securities, commodities or currencies, tax - exempt organizations, tax - qualified retirement plans, persons subject to the alternative minimum tax, persons that own, or have owned, actually or constructively, more than 5 % of our common stock and persons holding our common stock as part of a hedging or conversion transaction or straddle, or a constructive sale, or other risk reduction strategy.

It's not necessarily because sales from independent agents are declining; it's because sales through banks and broker / dealers are growing, said one industry expert.

The emergence of fee - based products and sales platforms that conform to the Department of Labor's fiduciary rule has put the onus on broker - dealers to choose which insurers they want to link up with, Wells said.

The firm's website explains that by using its newly unveiled service, companies interested in holding a token offering can «Access a large range of securities & compliance capabilities by conducting token sales through a registered broker dealer and [Financial Industry Regulatory Authority] registered funding portal.»

The Securities and Exchange Commission today announced that a Minnesota - based broker - dealer and investment adviser has agreed to settle charges for recommending and selling higher - fee mutual fund shares to retail retirement account customers and for failing to provide sales charge waivers.

She has extensive trial and appellate experience involving business and contract disputes, fraud and civil RICO, trademarks and copyrights, e-commerce, broker / dealer sales practices, environmental litigation, defamation and trade libel, restrictive covenants, whistleblower, discrimination and sexual harassment claims.

Global alternatives Highland Capital Management has hired Patrick McDaniel as national sales manager for its independent broker - dealer channel.

The Securities and Exchange Commission today announced that a Minnesota - based broker - dealer and investment adviser has agreed to settle charges for recommending and selling higher - fee mutual fund shares to retail retirement account customers and for failing to provide sales charge waivers.

According to Bullard, «The DOL stuck to its guns and kept the provisions that'll have the most significant impact on broker - dealers» sales practices.»

It does not discuss all aspects of U.S. federal income taxation that may be relevant to particular holders in light of their particular circumstances or to holders subject to special rules under the Code (including, but not limited to, insurance companies, tax - exempt organizations, financial institutions, broker - dealers, partners in partnerships (or entities or arrangements treated as partnerships for U.S. federal income tax purposes) that hold HP Co. common stock, pass - through entities (or investors therein), traders in securities who elect to apply a mark - to - market method of accounting, stockholders who hold HP Co. common stock as part of a «hedge,» «straddle,» «conversion,» «synthetic security,» «integrated investment» or «constructive sale transaction,» individuals who receive HP Co. or Hewlett Packard Enterprise common stock upon the exercise of employee stock options or otherwise as compensation, holders who are liable for the alternative minimum tax or any holders who actually or constructively own 5 % or more of HP Co. common stock).

And with the DoL fiduciary rule effective date looming large in April of 2017, large broker - dealers may suddenly transition hundreds or even thousands of brokers into a new fiduciary obligation, all at once, with only perhaps some sales and product training, but not the training and education necessary to be capable of fulfilling their fiduciary duty of care!

The bill states that any «broker - dealer, sales representative, investment advisor or representative of an investment advisor shall not violate the fiduciary duty toward a client» imposed in a separate statute.

The advisor world's best - known advisor's «advisor,» Bob Veres, has written extensively on how very different broker - dealers (sales persons) are from independent advisors.

Nevada recently revised the definition of financial planner «to remove the exclusions for a broker - dealer, a sales representative and an investment adviser, thereby making such persons subject to the provisions of existing law governing financial planners.»

Banks and broker / dealers, however, represent a «key initiative» for American Equity, as these channels represent «a significant growth opportunity» for FIA sales, said Matovina in a news release issued last year.

Fiduciary duties of loyalty and due care are replaced with broker - dealer guidance on suitable «broker sales» recommendations, support for conflicted advice, inadequate disclosure, and unrestrained fees.

Fiduciary duties of loyalty and due care are replaced with broker - dealer guidance on suitable «broker sales» recommendations, support for conflicted advice, inadequate disclosure, and unrestrained -LSB-...]

«A fee - based annuity fits best in a client's portfolio when it is a piece of what the advisor is managing, not the whole thing,» said Tony Compton, vice president of broker / dealer and RIA sales for Great American Insurance Group in Cincinnati.

Services such as public finance advisory services, securities underwriting, and securities sales and trading are provided by PNC Capital Markets LLC, a registered broker - dealer and member of FINRA and SIPC.

Fine is taken out while pursuing the daughter of a deceased Eastern European arms dealer, who is now brokering the sale of a stolen nuclear bomb.

The highest rated dealer in your area with a used Hyundai Sonata for sale is USA Auto Brokers, with an average user rating of 5 and 70 used Hyundai Sonata's in stock.

The highest rated dealer in your area with a used Hyundai for sale is USA Auto Brokers, with an average user rating of 5 and 70 used Hyundai's in stock.

NO sales to Dealers, Brokers or Exporters.

The highest rated dealer in your area with a used Lincoln Aviator for sale is Pinellas Auto Brokers, with an average user rating of and 76 used Lincoln Aviator's in stock.

The highest rated dealer in your area with a used Ford F - 150 for sale is T & S Auto Brokers, with an average user rating of 5 and 22 used Ford F - 150's in stock.

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In turn, when the broker sells the vehicle, the sale occurs using the dealer's paperwork and the dealer receives credit for the sale.

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The highest rated dealer in your area with a used Toyota Corolla for sale is USA Auto Brokers, with an average user rating of 5 and 70 used Toyota Corolla's in stock.

The highest rated dealer in your area with a used 2015 Chevrolet Camaro for sale is Towne Auto Brokers, with an average user dealer rating of 5 and 116 used 2015 Chevrolet Camaro's in stock for sale.

Interactive Brokers Canada Inc. is an execution - only dealer and does not provide investment advice or recommendations regarding the purchase or sale of any securities or derivatives.

Their sale through broker / dealers is subject to certain rules as to approval of customers, maintenance of information to support quotations, distribution of account statements, and disclosure of risk, quotations, and compensation.

Load fund: A mutual fund that either sells shares through an underwriter or broker / dealer and charges either an up - front or deferred sales charge, or sells the shares directly but charges more than.25 % in 12b - 1 charges per year.

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Apparently congress thinks it's a good idea to require broker - dealers to report adjusted tax cost basis to investors and the IRS (current rules only require the reporting of sales proceeds).

This exemption allows the broker - dealer, not the fund company, to set NextShares sales charges.

That's different from a mutual fund, where broker - dealers effectively are required by Section 22 (d) of the Investment Company Act of 1940 to impose sales charges in accordance with the fund's prospectus.

ETF issuers can negotiate with broker - dealers on the terms of the sale, typically receiving cash or in - kind shares for the transaction.

Creation unit sales can generate profits and losses for the broker - dealer prior to exchange listing.

What if there were a way to stop adding new letters to the alphabet soup and, instead, offer a single, universal share class — providing broker - dealers the flexibility to establish their own, unique sales charges?

A creation unit is a block of new shares sold by an exchange - traded fund (ETF) company to a broker - dealer for sale on the open market.

Therefore, to avoid a potential conflict under the DOL rule, broker - dealers need prospectuses for every fund to stipulate identical sales charges.

But broker - dealers are free to apply their own distinct sales charges (front - end, back - end or level - load), which can be identical for all NextShares funds they offer.

Opportunities vanish as good short sale inventories dry up at many broker - dealers.

Sales charges are the commissions paid to broker dealers that come in the form of an upfront A share or level load C share.

Regulation SHO, which was implemented in January 2005, specifically sought to curb the practice of «naked» short selling by imposing «locate» and «close - out» requirements on broker - dealers for short sales.