Sentences with phrase «dealer trading account»

Dealer Trading Account Loss represents losses on trading securities when a bank is engaged in securities brokerage services through its subsidiaries.

Dealer Trading Account Profit represents profits on trading securities when a bank is engaged in securities brokerage services through its subsidiaries.

Not exact matches

The advisory fee does not cover charges resulting from trades effected with or through broker - dealers other than affiliates of Strategic Advisers, mark - ups or mark - downs by broker - dealers, transfer taxes, exchange fees, regulatory fees, odd - lot differentials, handling charges, electronic fund and wire transfer fees, or any other charges imposed by law or otherwise applicable to your account.

Bond fund withdrawals might have had a greater effect on markets where there is less trading, such as municipal securities — but even there, redemptions from bond funds would have accounted for less than 10 percent of the primary dealers» trading.

The advisory fee does not cover charges resulting from trades effected with or through broker - dealers other than affiliates of Strategic Advisers, Inc., mark - ups or mark - downs by broker - dealers, transfer taxes, exchange fees, regulatory fees, odd - lot differentials, handling charges, electronic fund and wire transfer fees, or any other charges imposed by law or otherwise applicable to your account.

The margin loans lowered the borrowing costs incurred to hedge these swap trades and reduced the U.S. broker - dealer's customer reserve account deposit requirements by tens to hundreds of millions of dollars per day.

«Complex trading schemes designed to artificially reduce the amount a broker - dealer must maintain in its customer reserve account run contrary to these basic obligations.»

Institutions who want to trade through IB but are prohibited from depositing margin collateral directly with a broker / dealer can open an IB Custody Account.

(B) «Credit repair services organization» does not include: (i) Any person authorized to make loans or extensions of credit under the laws of this state or the United States who is subject to regulation and supervision by this state or the United States; (ii) Any bank or savings and loan institution whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Savings Association Insurance Fund of the Federal Deposit Insurance Corporation; (iii) Any nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986; (iv) Any person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (v) Any person licensed to practice law in this state if the person renders services within the course and scope of his or her practice as an attorney; (vi) Any broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission if the broker - dealer is acting within the course and scope of those regulatory agencies; or (vii) Any consumer reporting agency as defined in the federal Fair Credit Reporting Act (15 U.S.C. 1681 - 1681t).

Illiquid asset Immediate - or - cancel Income bond Income statement Indenture Index Indication of interest Individual Retirement Account (IRA) Industrial revenue bonds Inflation Inflation rate Initial public offering Inside market Insider Instinet Institutional investor Intangible drilling and development costs Integration Interbank market Interest Intermarket Trading System (ITS) Interpositioning In - the - money Intrastate offering Intrinsic value Introducing broker / dealers Inventory Inverted head and shoulders pattern Investment Investment adviser Investment Advisers Act of 1940 Investment banker Investment Company Investment Company Act of 1940 Investment contract Investment grade securities Investor brochure In - whole call IOC IPO Issue Issuer

ShareOwner Investments (formerly the Canadian Shareowner's Association) is a dealer that allows investors to trade stocks and ETFs in both registered and taxable accounts.

(1) The following shall be exempt from the Credit Services Organization Act: (a) A person authorized to make loans or extensions of credit under the laws of this state or the United States who is subject to regulation and supervision by this state or the United States or a lender approved by the United States Secretary of Housing and Urban Development for participation in a mortgage insurance program under the National Housing Act, 12 U.S.C. 1701 et seq.; (b) A bank or savings and loan association whose deposit or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or a subsidiary of such a bank or savings and loan association; (c) A credit union doing business in this state; (d) A nonprofit organization exempt from taxation under section 501 (c)(3) of the Internal Revenue Code; (e) A person licensed as a real estate broker or salesperson under the Nebraska Real Estate License Act acting within the course and scope of that license; (f) A person licensed to practice law in this state acting within the course and scope of the person's practice as an attorney; (g) A broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (h) A consumer reporting agency; (i) A person whose primary business is making loans secured by liens on real property; (j) A person, firm, corporation, or association licensed as a collection agency in this state or a person holding a solicitor's certificate in this state acting within the course and scope of that license or certificate; and (k) A person licensed to engage in the business of debt management pursuant to sections 69 - 1201 to 69 - 1217.

The advisory fee does not cover charges resulting from trades effected with or through broker - dealers other than affiliates of Strategic Advisers, mark - ups or mark - downs by broker - dealers, transfer taxes, exchange fees, regulatory fees, odd - lot differentials, handling charges, electronic fund and wire transfer fees, or any other charges imposed by law or otherwise applicable to your account.

* The advisory fee does not cover charges resulting from trades effected with or through brokerdealers other than affiliates of Strategic Advisers, mark - ups or mark - downs by broker - dealers, transfer taxes, exchange fees, regulatory fees, odd - lot differentials, handling charges, electronic fund and wire transfer fees, or any other charges imposed by law or otherwise applicable to your account.

Trading currency options calls for opening an online forex trading account through an authorized currency Trading currency options calls for opening an online forex trading account through an authorized currency trading account through an authorized currency dealer.

Clients will incur transaction costs for any trading in their account (including quarterly rebalance trades) such as commissions payable to Interactive Brokers LLC, IB Asset Management's affiliated broker - dealer, which is a conflict of interest.

«Credit Services Organization» does not include any of the following: (i) a person authorized to make loans or extensions of credit under the laws of this State or the United States who is subject to regulation and supervision by this State or the United States, or a lender approved by the United States Secretary of Housing and Urban Development for participation in a mortgage insurance program under the National Housing Act (12 U.S.C. Section 1701 et seq.); (ii) a bank or savings and loan association whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Federal Savings and Loan Insurance Corporation, or a subsidiary of such a bank or savings and loan association; (iii) a credit union doing business in this State; (iv) a nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986, [FN1] provided that such organization does not charge or receive any money or other valuable consideration prior to or upon the execution of a contract or other agreement between the buyer and the nonprofit organization; (v) a person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (vi) a person licensed to practice law in this State acting within the course and scope of the person's practice as an attorney; (vii) a broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (viii) a consumer reporting agency; and (ix) a residential mortgage loan broker or banker who is duly licensed under the Illinois Residential Mortgage License Act of 1987.

OFFICIAL ENTRY AGREEMENT The undersigned wishes to compete in the 2018 World Cup Championship of Forex Trading ® sponsored by WorldCupAdvisor.com («Sponsor») and has completed an Account Application to open a forex trading account with FOREX.com U.S. or other Retail Foreign Exchange Dealers that may be authorized by Sponsor before or during the competition (collectively «Authorized RFED&rTrading ® sponsored by WorldCupAdvisor.com («Sponsor») and has completed an Account Application to open a forex trading account with FOREX.com U.S. or other Retail Foreign Exchange Dealers that may be authorized by Sponsor before or during the competition (collectively «Authorized RFED&rAccount Application to open a forex trading account with FOREX.com U.S. or other Retail Foreign Exchange Dealers that may be authorized by Sponsor before or during the competition (collectively «Authorized RFED&rtrading account with FOREX.com U.S. or other Retail Foreign Exchange Dealers that may be authorized by Sponsor before or during the competition (collectively «Authorized RFED&raccount with FOREX.com U.S. or other Retail Foreign Exchange Dealers that may be authorized by Sponsor before or during the competition (collectively «Authorized RFED»).

You need to open a trading account with a full - service or online investment dealer to trade them.

Peter has served as a panelist and / or speaker on presentations on securities - related issues to the Securities Industry and Financial Markets Association («SIFMA»), American Arbitration Association, New York Stock Exchange, National Association of Securities Dealers, accounting and securities trade groups, law schools, and other organizations.

Our experts have various backgrounds ranging from electronic trading, broker, dealer, compliance, fund accounting, to digital media.

Account Dealers / Bitcoin / Bittrex / Black Market Sales / BTC / Cryptocurrency / Digital Assets / Exchanges / Fully Verified Accounts / GDAX / Identity / IDs / KYC / AML / N - Featured / News / Paperwork / Poloniex / Trading Platforms

AREAS OF EXPERTISE * Account Management * Market Share Expansion * Prospecting / Cold Calling * Dealer Development * Product Training and Placement * Trade Show Management * Reseller Accounts * Upselling / Consultative Sales * Sales & Contact Reports * Customer Base Expansion * Sales & Distribution Channels * Sales Closing Techniques * Territory Sales Management * Public Relations and Promotions * Business - to - Business Sales *...

Excluded Property: The rules for like - kind exchanges do not apply to property held for personal use (such as homes, boats or cars); cash; stock in trade or other property held primarily for sale (such as inventories, raw materials and real estate held by dealers); stocks, bonds, notes or other securities or evidences of indebtedness (such as accounts receivable); partnership interests; certificates of trust or beneficial interest; choses in action.