Sentences with phrase «allowing brokerage firms»

It is important to note that the proposed language considers designated agency as a choice, allowing brokerage firms to make no change and continue with the current agency model that is in place.

A margin account also allows your brokerage firm to liquidate your position if the likelihood that you will return what you've borrowed diminishes.

Some brokerage firms enter into special arrangements with mutual fund companies, allowing the brokerage firm to earn extra money from the arrangement.

At the time you sign an agency agreement, you may be asked to acknowledge whether you would consider giving written consent allowing the brokerage firm to designate a representative for you and one for the other client in a designated agency.

The new rules, which take effect on Dec. 1, 2015, eliminates limited agency and allows brokerage firms to adopt designated agency.

Not exact matches

The financial sector changes were later confirmed by Yi Gang, the newly appointed head of China's central bank, who said foreign investors would be allowed to hold up to a 51 per cent equity stake in brokerage firms, futures companies and fund management firms.

Self Directed IRAs: A self - directed IRA allows investment options not generally found in traditional IRAs offered by banks and brokerage firms.

Pete Casella, Head of Fintech Investments at Point72 Ventures, said, «DriveWealth has built a world class tech - driven brokerage stack that allows fintech firms to incorporate a wide range of investments capabilities into their product offerings.»

This allowed Wall Street's speculative trading activities in its investment banks and brokerage firms to merge with commercial banks holding insured deposits that are backstopped by the U.S. taxpayer.

In addition some brokerage firms allow you to trade on Canadian markets.

A: Most brokerage firms don't allow partial share purchases of ETFs so automatic investing doesn't work with that limitation. Motifinvesting.com allows partial share purchases of ETFs but at a cost of $ 4.95 per transaction.

Margin accounts allow the investor to borrow money for the purchase of securities in hopes that they will not go down in price and a margin call for the difference is demanded by the brokerage firm.

There is a growing trend recently, thanks to competition, that among large brokerage firms to allow their customers to buy some ETFs for free.

This allowed more brokerage firms to compete on price which encouraged smaller investors to participate in the stock market.

As the web evolved, the largest brokerage firm announced they would «allow some of their clients» to have online access to their accounts (I wondered at the time if they also gave them hall passes).

Many brokerage firms only allow ECN access to certain information, so can be difficult for a small - time investor to compare all of his options and truly evaluate the state of the market.

Unlike with a work - sponsored 401 (k), your Roth IRA will allow you to pick and choose a brokerage firm and your individual investment options.

Unlike every other Canadian discount brokerage (and even many financial services firms) on Twitter, TD Direct Investing undertook the bold move to allow multiple representatives the freedom to tweet instead of having just one solitary voice.

Discount brokerage: a firm that allows you to buy and sell securities (online or by phone) at a lower cost than a full - service brokerage.

Discount brokerage firms still allow you to talk individuals but they normally only provide a means to execute the trade for purchasing and selling stock.

There are many discount brokerage firms that allow you to start investing with as little as $ 500 or less.

Second, pretty much every brokerage firm will allow for automatic monthly / quarterly buys or sells of a mutual fund, whereas only a handful will allow that with an ETF.

A margin account allows you to borrow money from the brokerage firm.

The beauty of these options strategies is that they are less risky than just «buying and holding» stock so most brokerage firms will allow you to trade them in an IRA.

Your clients wouldn't allow you to represent both sides of a negotiation, so why would you pick a brokerage firm that does?

Savings — Online life insurance quoting and brokerage firms allow you to compare dozens of quotes side - by - side, finding the best values in life insurance.

Brokerage firms like TD Ameritrade and JP Morgan have also expressed their interest to allow access to these markets.

Huskey will be responsible for operational management of the $ 4 billion sales volume brokerage company, allowing Green to focus on strategic initiatives and continued growth of the firm.

As you can see, the sample letter allows participants or potential participants the opportunity to provide information to clarify or explain the firm's brokerage activities.

This practice would allow two licensees within a brokerage firm to participate in the same transaction with one representing the seller and another representing the buyer.

The changes would allow one or more licensees to be designated as agents for a seller or buyer, rather than the current practice of all licensees within a brokerage firm owing fiduciary duty to the principal.

It also avoids possible lawsuits, which is possibly the better reason why some brokerage firms avoid it even in circumstances where the law allows it.

If a firm declares that it is a designated agency real estate company, the law allows the firm to be the brokerage on both sides of the transaction, as long as there are different «designated» agents representing the buyer and the seller.

9 DOS 94 Matter of DOS v. Shane - motion for pre-hearing discovery beyond SAPA 401 (6) is denied; rules re: subpoenas in administrative proceedings reiterated; proper procedure of reserving right to file post-hearing memorandum of law; MLS form listing agreements are acceptable; individual license not sufficient to allow acting as representative of corporate licensee - need affiliated license; agreements procured by individual acting under name of firm but without affiliated license are illegal and unenforceable - no brokerage fee can be claimed; misrepresentation and execution of unauthorized extension; misrepresentation of law (distinction between canceling agency authority and abiding contract rights); RPL § 443 controls the disclosures required of licensees; subsequently licensed corporation not vicariously liable; failure to provide copy of agreement (19 NYCRR 175.12); inadvertence considered in determining penalty

The changes allow one or more licensees to be designated as agents for a seller or buyer, rather than the current practice of all licensees within a brokerage firm owing fiduciary duty to the principal.