Sentences with phrase «as a broker within»

Once you have successfully completed the courses, you must apply to register as a broker within 12 months of completing the Real Estate Broker Course examination.

Not exact matches

The introductory clause is amended to reflect the June 9, 2017 applicability date of that section, as follows: «On or after June 9, 2017, if the insurance agent or broker, pension consultant, insurance company or investment company Principal Underwriter is a fiduciary within the meaning of ERISA section 3 (21)(A)(ii) or Code section 4975 (e)(3)(B) with respect to the assets involved in the transaction, the following conditions must be satisfied, with respect to the transaction to the extent they are applicable to the fiduciary's actions -LSB-.]»

He served as Controller for an investment advisor within The Hartford that managed $ 50 billion in assets and also served as the Financial Operations Principal for two of The Hartford's largest broker - dealers.

Today, many brokers are including expiry times of brief as 30 seconds within their platform.

It shall be unlawful for any broker, dealer, or exchange, directly or indirectly, to make use of the mails or any means or instrumentality of interstate commerce for the purpose of using any facility of an exchange within or subject to the jurisdiction of the United States to effect any transaction in a security, or to report any such transaction, unless such exchange (1) is registered as a national securities exchange under section 6 of this title, or (2) is exempted from such registration upon application by the exchange because, in the opinion of the Commission, by reason of the limited volume of transactions effected on such exchange, it is not practicable and not necessary or appropriate in the public interest or for the protection of investors to require such registration

This is a truly absurd amount that totally defies reality and any binary options broker that traded with such a user would find themselves insolvent within a matter of weeks (remember that in binary options the broker functions more as the house in a casino rather than a true broker and that a customer's gain is their loss).

Its owners are people who are successful within the system, who are key power brokers in the system, and whose livelihood is dependent on the system continuing as it is.

Heastie, 47, is known within his conference as an reliable broker who will follow through on what he promises and tell you when he can't deliver or simply won't yield.

Two - thirds of the trainings were developed internally, but we also partner with community experts and cultural brokers to contribute and fill in the gaps around subjects such as refugee resettlement and its impact within the classroom.

As a day trader, you are looking for a broker that can provide you with the ability to open and close trades within a short span of time.

These brokers fall within MiFID directives and as such German traders will see the same level of protection as they would with a German regulated broker.

EuropeFX is reliable as the broker operates within the framework of the guides imposed under MiFID and CySEC.

(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).

Brokers apply certain rules, such as the wash sale rule, only to transactions occurring within the same account.

Do a thorough check, such as inquiring about the broker's reputation within your network, reading reviews, checking out associations the broker belongs to, googling the broker's reputation, searching the Better Business Bureau (BBB).

(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.

By other brokers, I usually get my money within 3 working days AS THE VERY MAXIMUM!

A person licensed as a real estate broker or salesperson, under section 543B.20, acting within the course and scope of that license.

A person licensed as a mortgage banker, mortgage loan originator, or mortgage broker under s. 224.72 or 224.725 if the person is acting within the course and scope of the license.

«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.

(iv) Any person licensed as a real estate broker by this Commonwealth where the person is acting within the course and scope of that license;

Finrally are famed as being one of the world's fastest paying Binary Options Brokers, and as such if you sign up as a real money trading and have a profitable trading session, when you go on to make a withdrawal your winnings will be paid out to you within one hour!

(5) A person licensed as a real estate broker under IC 25 - 34.1 if the person is acting within the course and scope of the person's license.

Alongside star ratings, data are displayed within each broker's review page and are also integrated into research tools such as the Compare Tool and Screener Tool.

As explained by Van Steenwyk (2016), unlike traditional mutual funds, ETFs don't require a team of analysts, a manager, and brokers working together to buy and sell investments within the fund.

The U.S. Reinsurance operation writes property and casualty reinsurance and specialty lines of business, including Marine, Aviation, Surety and A&H business, on both a treaty and facultative basis, through reinsurance brokers, as well as directly with ceding companies primarily within the U.S..

(6) A person licensed as a real estate broker or salesperson under Chapter 29 of Title 24 acting within the course and scope of that license;

By requiring forex brokers, banks, institutional investors and support industries to operate within a set of rules as defined by the forex regulatory agencies, traders and investors can have the confidence to invest in the forex market and this promotes the growth of the industry.

Each puppy purchased within each report came from Kathy Bauck, as a breeder — one indicates Bauck as a broker.

-LSB-...] So long as people within the IPCC leadership sees its role as political advocate rather than honest broker, and acts accordingly, we should not be surprised to see future controversies erupt in the IPCC.

Within hours after the storm, Josh, working with New York insurance partner John Pruitt, drafted the legal alert, which addressed issues such as (i) determining if insurance would cover property damage from the storm; (ii) potential recovery for lost profits through business interruption coverage and loss of ingress / egress provisions; and (iii) timely notification of losses to insurance agents and brokers.

However, to be recognized within our industry as some of the top brokers who provide exceptional service resulting in unprecedented results, we are reassured that we are doing what we need to be doing for our clients; And that kind of kudos feels pretty good.

However, to be recognized within our industry as some of the top brokers who provide exceptional service resulting in unprecedented results, we are reassured that -LSB-...]

Many major banks in the country, including SBI, ICICI Bank and HDFC Bank, have insurance ventures within their groups and they act as their insurance brokers.

Director of Human Resources / HR Consultant — Professional Duties & Responsibilities Oversee the planning, direction, and management of all HR - related activities including staff recruiting, candidate tracking, personnel screening and testing, and hiring processes in accordance with Affirmative Action and Equal Opportunity Employment regulations Support senior management to develop and maintain personnel policy and ensure compliance with all standards, authoring and implementing new policies and procedures as needed along with creating HR procedure manual Serve as lead analyst for compensation reviews, performance and pay - scale benchmarking, market studies, and salary structure decisions, also creating organizational / staff planning charts for all departments and all positions Create and deliver firm - wide staff new - hire orientation, training and development programs, and performance evaluations utilizing a competency - based appraisal system which leads to focused training and development programs based on common and individual areas of performance deficiency Manage all aspects of workers compensation and unemployment claims on behalf of employer, attending hearings and participating actively in all related meetings Hold responsibility for all benefit negotiations, administration, and plan reviews, promoting compliance with and effective execution of IRS / DOL regulations, ERISA, HIPPA, and all audit - related processes Implement and sustain safety programs while performing regular safety - policy trend analyses to identify critical issues, developing corrective action plans to ensure compliance with applicable safety, health, and environmental regulations including OSHA and other applicable laws Consult with management regarding employee - and labor - related issues to resolve conflicts in a professional manner, conducting grievance hearings and negotiation agreements with worker representatives within the provisions of any applicable contract Provide relevant guidance and administration to the development of human resources site on firm intranet, housing online - employment forms, manager resources, job postings, and HR - related forms and documents Develop valuable staff relationships to improve workplace morale as well as maintain positive business relationships with all related brokers and vendors

She had a broker's open house within two weeks; and had it listed in print media as well.

If an individual maintains an office within the jurisdiction of the Board, whether that office be a principal office or a branch office, that fact qualifies the principal broker or the branch office manager as an applicant for membership.

A disqualified person is anyone who has acted as the exchanger's agent within the preceding two - year period, including an attorney, an accountant, an investment banker, or a real estate broker.

Yes, It is difficult for new REALTORS ® to get themselves started in the business but certainly not impossible as many are doing it with the proper guidance and assistance from their Brokers and other REALTORS ® within their offices.

«We are appealing to businesses within the financial services industry, namely, banks, specialist lenders, bond originators and wealth managers; property providers, such as estate agents, developers, portals and brokers; and all additional services involved in the property market, such as insurance companies, conveyancers, inspection agencies and appropriate vendors,» explains Richard.

«It's a win - win for the broker and agent because the broker is providing this valuable, time - efficient tool for the agent, which helps the agent increase their reach and presence within social media, while the same holds true for the broker and brokerage as a whole.

He established himself as a top 10 broker within two years.

Being in real estate, you work with a lot of agents and brokers, and knowing the numbers and how to read details within contracts are things I learned as an NFL player.

REM: Where is the direction coming from within Re / Max of Western Canada to meet consumer needs and demands — is it coming from your salespeople and your broker / owners agents, or is the expectation that you as a franchisor will provide that direction?

As used in that piece of state law, «the terms «broker price opinion» and «comparative market analysis» mean an estimate prepared by a licensed real estate broker that details the probable selling price or leasing price of a particular parcel of or interest in property and provides a varying level of detail about the property's condition, market, and neighborhood, and information on comparable properties...» There is also within that section in our state law entitled «Broker price opinions and comparative market analyses for a fee».

Like David O'Gorman said earlier herein, it is ultimately up to the Compliance Officer / broker - owner et al within a brokerage to make the final decision as to whether or not to proceed with a report of suspicious behaviour to FINTRAC.

This will allow agents within the same brokerage the ability to access the registry under the same registration as the broker.

REM: The bureau has positioned this as a consumer choice issue; some within the real estate industry have said it's about brokers and Realtors having a wider choice of business models.

From their training and technology to the culture within the Colorado region and their good commission splits, Sellstate is unique in that it is truly a broker - centric organization that at the same time can also be viewed as agent - centric.

A recent wave of litigation is challenging the longstanding practice within the real estate industry of brokers choosing to classifying real estate agents as independent contractors, as opposed to employees.