Sentences with phrase «other brokerages require»

Other brokerages require you to hold the ETF for at least one day, charge a commission when you sell or offer only a limited selection of commission - free ETFs.

Not exact matches

Brokerage firms and other intermediaries holding shares of our common stock in street name for their customers are generally required to vote such shares in the manner directed by their customers.

Securities industry regulations require that brokerage firms inform their clients of their plans to address the possibility of a business disruption that potentially results from power outages, natural disasters, or other events.

Under the law, corporations, banks, insurance companies, brokerages and other businesses in New York are required to transfer abandoned money or securities to the state comptroller's Office of Unclaimed Funds under a process called escheatment (a word with origins in English feudal law).

In intraday trading, the intent is to make quick profits, with no overnight risks, but high risks due to price fluctuations in the day, it requires less capital and involves less brokerage and short selling of securities is possible; however in delivery trading, capital required is high as full payment has to be made upfront for the securities and it involves high brokerage but there are other benefits like rights issue and dividends.

While unchallenged at these deposit levels, the cash back offerings are not necessarily as competitive as other brokerages» offers based on the amount of deposit required.

Buying and selling NextShares may require payment of brokerage commissions and expose transacting shareholders to other trading costs.

In the DTC system, shareholders hold shares through a brokerage account (normally aggregated with other shareholders» accounts into an omnibus account that holds shares directly with DTC or a DTC Participant) and fund transfer agents are relieved of most of the account servicing and transaction processing responsibilities that are required of mutual fund transfer agents.

Some brokerages still require having to print out, sign and mail documents; others require visiting a branch in person while others now enable sign ups to take place entirely online.

Since an IRA is a type of designation applied to standard accounts they can be cashed out similar to a brokerage account or other investment account however additional forms may be required for filing with the Federal Government.

Some brokerages allow you to enrol in a DRIP online after you have purchased your initial holding, while others require a phone call.

Other disclosures and agreements required by law applicable to brokerage accounts are provided on the brokerage Web site.

They even require extra security steps you may not see with other brokerages in an effort to outsmart criminals who are becoming more sophisticated hacking into financial systems.

For instance, equity delivery is charged at 0.5 % brokerage which in other words means, for INR 1,00,000 worth of delivery trading, you will be required to pay INR 500 brokerage.

You will be required to pay just your normal brokerage and other government taxes when you sell these units.

Under the terms of the Advisory Agreement, each Fund is responsible for the payment of the following expenses among others: (a) the fees payable to the Adviser, (b) the fees and expenses of Trustees who are not affiliated persons of the Adviser or Distributor (as defined under the section entitled («The Distributor»)(c) the fees and certain expenses of the Custodian (as defined under the section entitled «Custodian») and Transfer and Dividend Disbursing Agent (as defined under the section entitled «Transfer Agent»), including the cost of maintaining certain required records of the Fund and of pricing the Fund's shares, (d) the charges and expenses of legal counsel and independent accountants for the Fund, (e) brokerage commissions and any issue or transfer taxes chargeable to the Fund in connection with its securities transactions, (f) all taxes and corporate fees payable by the Fund to governmental agencies, (g) the fees of any trade association of which the Fund may be a member, (h) the cost of fidelity and liability insurance, (i) the fees and expenses involved in registering and maintaining registration of the Fund and of shares with the SEC, qualifying its shares under state securities laws, including the preparation and printing of the Fund's registration statements and prospectuses for such purposes, (j) all expenses of shareholders and Trustees» meetings (including travel expenses of trustees and officers of the Trust who are not directors,

Some brokerages require very high account minimums to open an account (especially full service brokers), whereas others have no account minimums.

Since the late 1970's, FINRA and its predecessors have required brokerage firms and stock brokers to arbitrate their disputes with each other, and with their customers.

Specifically, Article 16 requires that «REALTORS ® shall not engage in any practice or take any action inconsistent with exclusive representation or exclusive brokerage relationship agreements that other REALTORS ® have with clients.»

If this is a VOW system, the rules require that the listing brokerage's identification be in the same font and size as other listing details and not visually separated from the listing display.

On March 31 RECO laid eight charges against Parik for accepting commission or other remuneration for trading in real estate from someone other than the brokerage that employed him, as well as failing to deliver required copies of agreements to his employing brokerage.

In the event that other Boards or Associations MLS rules are in line with ours, one should see a requirement (rule) under «Advertising» that requires the written permission of a seller before a brokerage other than the listing brokerage can advertise an MLS listing.

Factors the court found important to its conclusion that the Salesperson was an employee included: she was required to display the Brokerage's logo in her advertising; she was required to join certain organizations; sales contracts and listing agreements required Brokerage approval; and the Brokerage had the power to assign clients to other salespeople.

Keep It Legal: The U.S. Department of Housing and Urban Development regulations require that you display a fair housing poster at your brokerage office or at other places of business where homes are sold.

There was a time when real estate salespeople performed no other task than just «selling» and the brokerage took care of all the other critical functions required to run a real «business».

Since there was no contract between the parties requiring the payment of commissions only on closed transactions and there was no other evidence establishing that the closing was required for commission payment, the court found that the Brokerage owed the Salesperson the entire commission amounts.

Section 3 - 1 of the Rules requires that the managing broker be actively engaged in the management of the related brokerage and ensure that there is an adequate level of supervision for all licensees, employees and others in the brokerage.

The brokerage and the designated agent undertake that they will not disclose any confidential information concerning the client to any other designated agent at the brokerage unless authorized by the client or required by law.

A brokerage is not required to pay funds into the brokerage trust account if, in a separate written agreement, all principals to the transaction agree that other arrangements for the funds are acceptable.

A managing broker is required by section 3 - 1 (4) of the Rules to ensure that all parties to an agreement giving effect to a trade in real estate are immediately notified if a deposit that was to be held by the related brokerage is not received or if the deposit cheque or other negotiable instrument is not honoured.

A brokerage is required to maintain financial records for the brokerage which indicate the amount of money received or paid by the brokerage on its own account and on account of others.

With respect to an individual applying for licensing as a managing broker, section 7 - 4 [other trust account requirements] of the Rules requires at least one related managing broker must be a signing authority on each trust account maintained by a brokerage.

This includes courses and examinations required for licensing in British Columbia under the Real Estate Services Act and Mortgage Brokerage Act, as well as national education programs leading to designations with the Appraisal Institute of Canada and other professional real estate groups.

Section 3 - 1 of the Rules requires that the managing broker be actively engaged in the management of the related brokerage and ensure that there is an adequate level of supervision for the associate brokers and representatives and for the employees and others in the brokerage.

In addition, section 7 - 4 [other trust account requirements] of the Rules requires at least one related managing broker must be a signing authority on each trust account maintained by a brokerage.

(j) respecting the winding up of a brokerage or the transfer of the business of a brokerage, including requiring the appointment of a managing broker or other person to direct the winding up or transfer.

(4) Applications for brokerage licences (sole proprietorships)-- In addition to the requirements of subsection (1), an application by an individual as sole proprietor for a new brokerage licence, other than a branch office licence, must be accompanied by the material required under section 4 - 5 [materials that must accompany applications for new brokerage licences] of these bylaws and must contain, or have attached to it, the following:

(3) Applications for brokerage licences (corporations and partnerships)-- In addition to the requirements of subsection (1), an application by a corporation or partnership for a new brokerage licence, other than a branch office licence, must be accompanied by the material required under section 4 - 5 [materials that must accompany applications for a new brokerage licence] of these bylaws and must contain, or have attached to it, the following:

This is necessary as section 7 - 4 [other trust account requirements] of the Rules requires at least one related managing broker to be a signing authority on each trust account maintained by a brokerage.

(3) If a review under this section shows that the brokerage's books and other records are not in proper order or are not kept up to date, the council may require the brokerage to pay all or part of the costs of the review, subject to the same limits that apply under section 44 (2)[enforcement expenses] of the Act.

(d) the timing, frequency and nature of accounting statements and other records to be provided by the brokerage to the strata corporation, in addition to those required to be provided under section 7 - 9 (7) of these rules;

Ontario's real estate rules require the property seller's brokerage to notify all other interested buyers that a «bully» offer, usually well over the asking price for the property, is being considered.

If you are a Real Estate Professional User, you acknowledge and agree that you are solely responsible for your use of the Elm Street Website and compliance with any laws and regulations relating to the provision of real estate brokerage and agent services, including, without limitation, satisfying all applicable agency, non-agency, and other disclosure obligations, execution of any required agreements, and compliance with the policies of your MLS.

Online real estate portals, Multiple Listing Services, and brokerages, among other real estate technology and service providers, require precise location information, robust property characteristics.

112 DOS 99 Matter of DOS v. Dorfman - adjournments; proper business practices; failure to appear at hearing; failure to cooperate with DOS investigation; accounting to client; ex parte hearing may proceed upon proof of proper service; individually licensed broker seeking to conduct brokerage business under a name other than his own must apply for a license under such new name; broker engaged in the leasing of real property through an unlicensed corporation; broker failed to cooperate with DOS investigation by failing to respond to DOS letters and telephone calls; complaint alleges broker failed to provide an accounting or copies of records of management for owner's property; broker may be required to return commissions and fees received which he is not entitled to; $ 1,000.00 fine and suspension of broker's license until such time as broker establishes he has fully complied with DOS's investigation and made a full and satisfactory accounting to owner, shall have paid to owner all money due and owning to him as established by the accounting, with interest, and shall have refunded to owner all commissions and other fees, with interest, paid

The managing brokers license if the highest level of license you can get in real estate and is required if you want to run your own brokerage as the other representatives will only be able to supply the service you're trained to provide.

Can an MLS require other office (s) of the same brokerage firm to participate in the MLS if any office of that firm participates?

Successful buyer counseling sessions accomplish several goals: they ensure that the buyer is well - informed, educated and knowledgeable; that the buyer understands the buying process and what is required; that the buyer is ready, willing and able to buy; and that the buyer is loyal and enthusiastic about referring other prospects to your brokerage.

Avison Young Commercial Real Estate Inc., Brokerage has found a way to not be required to meet the same advertising standards all other Brokerages in Ontario are forced (some convicted of offenses) to follow?

There is also a clause that states the brokerage or its designated agents is not required to disclose confidential information obtained through any other agency relationship.