Sentences with phrase «broker accepting the order»

The broker accepting the order from the customer collects a wire toll from the carrying broker for the use of the facilities.

Not exact matches

Orders to buy shares priced under $ 1 will not be accepted; Orders to sell shares priced under $ 1 are handled by brokers and charged $ 14.95

The bill also protects vulnerable homeowners by prohibiting brokers who offer distressed property consulting services from accepting any payment upfront, in order to avoid fraud.

During the suspension period, the broker can not sign up new clients and accept and transmit client orders, nor to provide / perform investment services in Cyprus, other EU or third countries.

Orders to buy shares priced under $ 1 will not be accepted; Orders to sell shares priced under $ 1 are handled by brokers and charged $ 14.95

Your broker doesn't have to accept a standing order, however, and generally will require you to select from among methods that have been built into the broker's software.

An explanation accompanying the cost basis regulations says brokers are not required to accept standing orders.

For brokers that do accept PFOF, the question is how well do they balance generating extra revenue off their clients» order flow versus providing the best possible price improvement to save their clients» money over the long run?

Many legitimate brokers will not accept penny stock orders due to the frauds and scams inherent to this market.

If a «no advice» discount broker is a member of a major stock exchange, does that typically obligate the broker to accept client orders for all stocks, ETFs, etc. listed on the exchange?

Most on - line brokers will accept day, GTC, market, limit, stop and stop - limit orders, although some may charge an extra $ 4 to $ 5 per ticket for non - market orders.

Moreover, your broker - dealer would not permit you to lay this order on some securities nor accept a stop order for OTC stocks.

A firm or individual that solicits and accepts commodity futures orders from customers but does not accept money, securities or property from the customer.All Introducing Brokers must be registered with the CFTC.

Find out which types of orders your online Forex broker accepts and build your online Forex trading system accordingly.

Such brokers have also been authorized to designate other intermediaries to accept purchase and redemption orders on the funds» behalf.

Such brokers have also been authorized to designate other intermediaries to accept purchase and redemption orders on the fund's behalf.

Some brokers would accept an initial order that small (although they might expect a larger opening deposit).

The fund has authorized one or more brokers to accept on their behalf purchase and redemption orders.

You may invest in a fund through an intermediary by placing orders through your brokerage account at Schwab or an account with another broker / dealer, investment adviser, 401 (k) plan, employee benefit plan, administrator, bank, or other financial intermediary (intermediary) that is authorized to accept orders on behalf of the fund (intermediary orders).

On December 14, 2017, NFA issued Notices I -17-28 and I -17-29 requiring commodity pool operators (CPO) and commodity trading advisors (CTA) that execute transactions involving virtual currencies or virtual currency derivatives and introducing brokers (IB) that solicit or accept orders in virtual currency derivatives to immediately notify NFA by amending the firm - level section of the annual questionnaire.

Robert, by offering the 3 % selling commission to a cooperating broker, after having deducted a 1 % referral fee, is it the expectation that such a Buyer's Agent (who should be in an Agency relationship in order to accept a referral fee) would then leave their client in your brokerages hands to henceforth be treated as but a Customer?

Coldwell Banker Village Green Realty v. Pillsworth (32 A.D. 3rd 568 [3rd Dept.]-RRB-- Order of the Supreme Court granting broker's motion for summary judgment affirmed; in the absence of an agreement to the contrary, the broker's right to a commission is not contingent upon performance of the underlying real estate contract, receipt by the seller of the sale price, transfer of title, or even a formal execution of a legally enforceable sales contract; seller could not utilize the provisions of a subsequently executed sales contract wherein seller agreed to pay broker's commission «if and when title closes» as a bootstrap to avoid her obligation to the broker under the clear and unambiguous provisions of the listing agreement as such language was contained in the contract of sale prepared by counsel and to which broker was not a party; provisions in listing agreement that seller would accept a binder or purchase contract contingent upon purchaser's ability to obtain conventional financing and provided any other contingencies in the binder or purchase agreement are acceptable to the seller speak only to the type of purchase offer that seller was obligated to accept and does not alter or otherwise qualify broker's right to a commission

CRC # 99 - 4117 Matter of DOS v. Rinker, Consent Order - deposits; failure to pay judgment; broker failed to pay judgment in a timely manner; broker commingled his principals escrow deposit with broker's own funds; restitution in the amount of $ 1,000 plus interest, fine in the amount of $ 500.00, broker to complete 5 hour course on the law of agency and broker shall not accept or hold client funds

Lawrence Co., Inc. v. 180 Realty Co. (268 A.D. 2d 238)- order requiring defendants to pay full real estate commission sought by broker affirmed; defendants accepted broker's services in procuring a tenant and agreed to pay a commission, and as the conditions upon which a reduction of the commission were not met, broker was entitled to the full commission

The court ordered that all brokers who met the state requirements be accepted as members in the Board, or, alternatively, that non-members be given access to the MLS on an equal basis with other members.