Sentences with phrase «acts as the dealer»

Principal: 1) In a loan, the amount of the loan, not including interest; 2) in a brokerage firm, a person in an ownership and / or supervisory capacity; and 3) in a trade, a firm acting as dealer.

Acting as dealer and selling stock to a customer from his own account, the dealer charges a markup.

Glass - Steagall Act of 1939: The federal law that prohibited banks from acting as dealers or underwriters in any securities other than general obligation municipal bonds.

In the bond market, when an investor buys or sells a bond, the counterparty to the trade is almost always a bank or securities firm acting as a dealer.

NAIA believes some of the rescue groups and shelters participating in this relocation process are acting as dealers and pet stores and should be licensed accordingly.

Luigi acts as the dealer in all of the card games, and he does not wear his usual attire, instead wearing a white shirt with a black vest and a green bow tie.

Alexa acts as the dealer and guides play while each player can see their two hole cards and the five community cards.

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.

Even with the act's regulations in place, there will probably be lingering questions about whether crowdfunding sites are serving merely as information portals or as securities broker - dealers that must register with federal regulators.

After a rough September, auto parts and dealers acted as a driving force in job creation, adding 5,150 jobs, or about 20 percent of total franchise growth for the month.

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.

«Given the significant consequences of acting as an unregistered broker - dealer and the increased attention being given to this issue by the SEC staff, private - fund advisers should consider reviewing their practices to determine whether any activities that may be approaching or crossing the line would require broker - dealer registration,» David Blass, the chief counsel of the SEC's division of trading and markets, suggested in a speech last April.

Guggenheim Securities, LLC is a broker dealer registered with the United States Securities and Exchange Commission and is acting as financial advisor to Pfizer and no one else in connection with the proposed transaction.

The act of a securities dealer to raise or lowering prices on certain investment options such as stocks and bonds...

LOYAL3 Securities, Inc. is a U.S. - registered broker - dealer unaffiliated with our company and is acting as a co-manager of this offering.

As part of an investor protection measure in the JOBS Act, companies using crowdfunding will still be required to raise the money through regulated broker - dealers, such as CircleUp, or through crowdfunding portals, a new regulatory category at the SEAs part of an investor protection measure in the JOBS Act, companies using crowdfunding will still be required to raise the money through regulated broker - dealers, such as CircleUp, or through crowdfunding portals, a new regulatory category at the SEas CircleUp, or through crowdfunding portals, a new regulatory category at the SEC.

During his tenure as Chief of OMI, Mr. Martinez oversaw efforts to remove dormant shell companies from the market, support an enforcement sweep of violations of Regulation M Rule 105, and identify broker - dealers not in compliance with their Bank Secrecy Act obligations.

As I emphasized last week, the large «term financing» and «term securities lending» programs initiated by the Fed do not expose the Fed to default risk in mortgage collateral it accepts from the banks that act as primary dealerAs I emphasized last week, the large «term financing» and «term securities lending» programs initiated by the Fed do not expose the Fed to default risk in mortgage collateral it accepts from the banks that act as primary dealeras primary dealers.

Global Alternative Investment Services, Inc. is a registered broker - dealer that acts as placement agent for certain funds and provides wholesaling support services to GAI.

Edward Jones Trust Company and Edward Jones are subsidiaries of the Jones Financial Companies, L.L.L.P. Edward Jones Trust Company may use Edward Jones or other affiliates to act as a broker - dealer for transactions or for other services.

It mandates that all who serve as fiduciaries — broker - dealers, investment advisors, insurance agents and the like — must act in the best interest of their clients.

Authorized Participants may act for their own accounts or as agents for broker - dealers, custodians and other securities market participants that wish to create or redeem Baskets.

There was also lack of transparency in the process as undue advantage was given to the banks that acted as joint book runners and primary dealers.

There's enjoyable humour (and beautiful acting) as brow - furrowed, rhyme - scribbling teen Ice Cube (O'Shea Jackson Jr, Cube's real - life lookalike son), shrewd drug dealer Eric «Eazy - E» Wright (Jason Mitchell) and frustrated DJ Andre (Corey Hawkins) come together in the studio, hatch Ruthless Records and miracle a brilliant single into being, 1987's «Boyz - n - the - Hood».

There's enjoyable humor (and beautiful acting) as brow - furrowed, rhyme - scribbling teen Ice Cube (O'Shea Jackson Jr., Cube's real son), shrewd drug dealer Eric «Eazy - E» Wright (Jason Mitchell) and frustrated DJ Andre (Corey Hawkins) come together in the studio, hatch Ruthless Records and miracle a brilliant single into being, 1987's «Boyz - n - the - Hood.»

In Moonlight, adapted from an unpublished playscript by Tarell Alvin McCraney, Ali plays a drug dealer called Juan who acts as a father figure to the central character Chiron.

Ben Kalmen, the former car dealer he's playing in Solitary Man, opening exclusively at Landmark's The Magnolia today, acts as though he's a young man.

The star of the Underworld saga is Selene, a vampire Death Dealer, who acts as an enforcer for the vampire elite.

As Kyle ponders how to overcome the curse and get his old life back, he chances upon a drug addict in the act of killing a threatening dealer.

Director: Tom Ford Cast: Amy Adams, Jake Gyllenhaal, Aaron Taylor - Johnson, Michael Shannon, Armie Hammer, Isla Fisher Plot: A wealthy, but lonely arts dealer (Adams) is sent the manuscript for her ex-husband's (Gyllenhaal) latest novel that acts as a chilling revenge for their brutal break - up.

Somewhere in Boston, in about 1978, some IRA hoodlums (Cillian Murphy, Michael Smiley) meet an American crime boss (a hairy Armie Hammer) to buy a vanload of automatic rifles from an idiotic South African arms dealer (Sharlto Copley), with the only woman in the film, cool Justine (Brie Larson) acting as intermediary.

This isn't the first time someone known for their work in comedy has joined the Star Wars universe — in The Force Awakens, comedians Ben Schwartz and Bill Hader acted as BB - 8 voice consultants, and fellow Brit Simon Pegg appeared as junkyard dealer Unkar Plutt.

Now in postproduction, it stars, uh, Mel Gibson as an ex-con trying to protect his estranged daughter (Erin Moriarty) from drug dealers (in New Mexico again) and co-stars William H. Macy, Diego Luna, and Michael Parks... Ewan McGregor and Mandy Patinkin will star in Phillip Noyce's adaptation of Philip Roth's 1997 novel American Pastoral in which a Jewish - American businessman's world is upended when Vietnam War activist daughter carries out a terrorist act... Meryl Streep will play opera diva Maria Callas in a new HBO movie...

Animal Companion is still the biggest draw with the summonable bear acting as a fantastic damage dealer and tank.

one dealer that I had bought 3 cars from acted as if they had never heard of me.

AFSA President Chris Stinebert says the bureau seems particularly interested in issues involving indirect auto lending, in which dealers act as middlemen between their customers and lenders.

At issue is dealer reserve, the practice of dealers adding to the interest rate of a loan as compensation for acting as middlemen between car buyers and lenders.

The problem to the CFPB is an indirect - lending system in which dealers increase loan rates by varying percentage points as payment for acting as middlemen between lenders and car buyers.

The consumer protection bureau directly oversees lending institutions that provide car loans with dealers acting as middlemen.

He says the consumer - protection bureau seems particularly interested in issues involving indirect auto lending, in which dealers act as middlemen between their customers and lenders.

Dealers deserve compensation if they act as a middleman by connecting a customer with a lender, says Andrew Stuart, president and CEO of Volkswagen Credit.

Meanwhile in New York, a judge struck down the lawsuit against Tesla, saying that «dealers can not utilize the Franchised Dealer Act as a means to sue their competitors.»

This ad acts as a coupon and must be presented to dealer to receive these prices.

When it arrives at dealers, the Insight will act as the official replacement for the Civic Hybrid.

(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).

Broker - dealers at banks or brokerage houses, known as the underwriter, act as intermediaries between the issuer and the bond buyer.

(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.

Form ADV Part 2 acts as a disclosure document for clients of the business and includes information such as advisory services offered, advisor's fee schedule, whether the investment advisor acts as a broker - dealer and transacts securities, disciplinary information, and conflicts of interest.

The rule specifically defines fiduciaries as broker - dealers, investment advisers, insurance agents, plan consultants and other intermediaries to Employee Retirement Income Security Act (ERISA) plans and individual retirement accounts (IRAs).

Currently, dealers add a percentage point to the interest rate on an auto loan (usually one percent) for acting as the middleman that puts buyers and lenders together.