Sentences with phrase «approved by your brokerage»

The information is provided by and approved by your brokerage management team.

Not exact matches

The guarantor could be a commercial bank, credit union, brokerage firm, or other financial institution that is a member of a medallion signature guarantee program approved by the Securities Transfer Association and the SEC.

New rules go into effect on May 14, 2018 that will require brokerage firms to disclose the mark - up or mark - down on trades for corporate, agency, and municipal bonds on trade confirmations for retail clients.1 These rules, which have been nicknamed «the mark - up rule,» were proposed by FINRA and the Municipal Securities Rulemaking Board (MSRB) and approved by the SEC in November 2016.

I have owned a successful mortgage brokerage for nine years and survived the storm by adapting to the ever - changing lending practices and becoming an FHA approved lender.

Filed Under: Daily Investing Tip Tagged With: brokerage fees, investing commissions, investing fees Editorial Disclaimer: Opinions expressed here are author's alone, not those of any bank, credit card issuer, airlines or hotel chain, or other advertiser and have not been reviewed, approved or otherwise endorsed by any of these entities.

Filed Under: Daily Investing Tip Tagged With: brokerages, discount brokerages, Investing, Open A Brokerage Account, Stocks Editorial Disclaimer: Opinions expressed here are author's alone, not those of any bank, credit card issuer, airlines or hotel chain, or other advertiser and have not been reviewed, approved or otherwise endorsed by any of these entities.

Filed Under: Investing Tagged With: Etfs, Funds, Index Funds, mutual funds, Online Brokerage, retirement, Retirement Investing, Retirement Planning, Retirement Portfolio Editorial Disclaimer: Opinions expressed here are author's alone, not those of any bank, credit card issuer, airlines or hotel chain, or other advertiser and have not been reviewed, approved or otherwise endorsed by any of these entities.

So depending on the interpretation of the law, it may possible for Binary Options brokerages and brokers offering only CFD's to continue operating in Russia without being licensed by an approved Self - regulatory Organisation.

Filed Under: Investing Tagged With: Brokerage, Fidelity, M1 Finance, Online Brokerage, Online Stock Brokers, Robinhood, TD Ameritrade, vanguard Editorial Disclaimer: Opinions expressed here are author's alone, not those of any bank, credit card issuer, airlines or hotel chain, or other advertiser and have not been reviewed, approved or otherwise endorsed by any of these entities.

Approved brokerage platforms where the Fund is on a recommended list compiled by a Financial Intermediary's research department as of the Closing Date may continue to utilize the Fund for new and existing accounts.

GEB Invest, a brand owned and operated by GEB Global Equity Brokers (Belize) Ltd, is the latest member to seek the services of the Financial Commission and join a diverse range of existing online brokerages and independent services providers (ISPs) that are currently on its growing list of approved members.

The Irda regulations do not allow any person other than insurance agents and insurance brokers approved by it to sell vehicle insurance policies and the maximum brokerage or commission payable for selling insurance policies is capped at 10 per cent of the premium.

The state - approved self - regulatory organization was set up by the People's Bank of China and has banks, brokerages, funds and consumer finance companies as its members.

In a traditional listing this subject is properly addressed by the exclusive nature of the listing to the listing brokerage, and a managing broker is responsible to review and approve all advertising.

For a brokerage, its licensee name is either the legal name of the brokerage, or the trade name of the brokerage if that trade name has been approved by the Council and been registered with the Registrar of Companies.

He is currently the Owner / Broker of Zeriss Realty LLC a full service residential and commercial brokerage; Qualifying Broker for Custom Property Management, LLC, and Administrator of Zeriss Institute, a real estate school approved by the Alabama Real Estate Commission.

After hearing from franchisors and representatives of brokerages including HomeServices of America, NAR's Multiple Listing Issues and Policies Committee voted to recommend that the rule change — approved by the committee and NAR's board of directors last November — be suspended until NAR's annual meeting in November.

(h) a certification of the proposed related brokerage, signed by the managing broker or a director, officer or partner of the brokerage, approving the application and attesting that the applicant is of good reputation and is suitable for licensing.

If the Council approves a team name for a group of related licensees, real estate advertising may also identify the group by its team name (section 4 - 6 of the Rules); e.g. «The AV Team,» where «The AV Team» is neither the licensed brokerage nor a registered trade name.

(3) If a referral fee is paid by a brokerage and this section applies, the brokerage must prepare and maintain a record, in a form approved by the council, that includes the following information:

(2) If a brokerage or a related licensee holds or receives money in relation to a trade in real estate, the brokerage must prepare and retain a record sheet respecting the trade, in a form approved by the council, that includes the following information:

(b) the trade name of the brokerage if this has been approved by the council, has been registered with the Registrar of Companies and is indicated on the brokerage licence.

(3) If a brokerage receives a referral fee and this section applies, the brokerage must prepare and maintain a record, in a form approved by the council, that includes the following information:

Note: A proposed amendment to section 4 - 6 of the Council Rules, removing the requirement for advertising by licensees to include the brokerage name in a «prominent and easily readable way,» was not approved by the Council at this time and has been referred back to the Council's Trading Services Advisory Group for further study.

a certification of the proposed related brokerage, signed by the managing broker or a director, officer or partner of the brokerage, approving the application and attesting that the applicant is of good reputation and is suitable for licensing.