Sentences with phrase «brokerage firms require»

Some brokerage firms require more than a 50 % deposit from the investor.

to practice paper trading, the brokerage firms all require a social security number to «open» a paper trading account.

Brokerage firms require that certain options transactions, such as writing uncovered calls, take place in a margin account.

Most discount brokerage firms require no account minimums and charge no annual maintenance fees.

Most brokerage firms require a minimum balance to open a new account.

That requirement led to brokerage firms requiring, through their customer agreements, their customers to arbitrate their disputes.

Not exact matches

The issuers chose to be available on the ImpactUs website and went through a similar financial due diligence to those required by most brokerage firms, as well as a review of their intent to make a societal difference.

Once you buy gold bullion, it's yours, and it doesn't require the backing of any bank, government, or brokerage firm.

Bigger investment management firms with online brokerage arms may impose minimums as high as $ 5,000; Fidelity requires at least $ 2,500 to open a brokerage account, while TradeStation requires $ 5,000.

Brokerage firms and other intermediaries holding shares of our common stock in street name for their customers are generally required to vote such shares in the manner directed by their customers.

Securities industry regulations require that brokerage firms inform their clients of their plans to address the possibility of a business disruption that potentially results from power outages, natural disasters, or other events.

Brokerage firms don't have as many branches as most major banks, so in the days before online banking, it was difficult for them to offer services that required initial branch visits, such as direct deposit or bill payment.

Business loan brokers can work for a brokerage firm, or they can strike out on their own and act as independent agents — getting hired by businesses that require specialized types of financing.

To participate, futures investors are required to keep cash in what's called a «margin» account at a brokerage firm.

The PTTPX requires a 1 Million minimum at many brokerage firms so we list the PTTDX which has a 1K minimum.

Bigger investment management firms with online brokerage arms may impose minimums as high as $ 5,000; Fidelity requires at least $ 2,500 to open a brokerage account, while TradeStation requires $ 5,000.

The NASD requires virtually all brokerage firms to be members of the SIPC.

Blanket fidelity bond: Insurance brokerage firms are required to carry to protect customers from the dishonesty or carelessness of brokerage employees and officers.

Special Reserve Account for the Exclusive Benefit of Customers (SRA): Account required for all brokerage firms that hold customers» cash and securities for the protection of customers.

If the value of the assets in your margin account drops below the required maintenance level, your brokerage firm will make a margin call, or notify you that you need to add capital in order to meet the minimum requirements.

To protect brokerage firms from such losses, the Financial Industry Regulatory Authority (FINRA) requires you to maintain a margin account balance of at least 25 % of the market price of any stock you buy to hold in your account.

Margin Call A call from a clearinghouse to a clearing member, or from a brokerage firm to a customer, to bring margin deposits up to a required minimum level.

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.

When an investor purchases an account on margin in the expectation that the share value will rise, or shorts a security on the expectation that share price will decline, and share prices go against the investor, the brokerage firm will send out a margin call requiring that the investor add additional funds or marketable securities to the account to protect the broker's loan.

Securities firms such as Investment Banks and brokerages are required to have a certain amount of cash overnight - by «selling» securities to money market funds just for the night, banks can meet their liquidity obligations.

Securities Investor Protection Corporation (SIPC) membership and insurance is generally required for all brokerage firms registered with the Securities and Exchange Commission (SEC).

Most investors purchase their initial stock through a brokerage firm, secure in the knowledge that those services will not be required after DRIP enrollment.

If through the daily cash settlement process, losses in the account of a security futures contract participant reduce the funds on deposit (or equity) below the maintenance margin level (or the firm's higher «house» requirement), the brokerage firm will require that additional funds be deposited.

Additionally, brokerage firms may have special requirements as to how margin calls are to be met, such as requiring a wire transfer from a bank, or deposit of a certified or cashier's check.

Your brokerage firm is also required to separately maintain funds invested in security futures contracts traded on a foreign exchange.

It is important to understand that individual brokerage firms can, and in many cases do, require margin that is higher than the exchange requirements.

That's a minor point, however, because many brokerage firms don't require an account minimum, at least for stocks.

Most brokerage or mutual fund firms are similar, offering services that require clients to invest in mutual funds or stocks and bonds.

Since the late 1970's, FINRA and its predecessors have required brokerage firms and stock brokers to arbitrate their disputes with each other, and with their customers.

If your claim arises from an investment account maintained at a brokerage firm, you may be required to arbitrate your claim with a FINRA appointed arbitration panel.

A revised Residential Agreement to Buy or Sell form issued by the Louisiana Real Estate Commission now requires licensees to provide license numbers and brokerage firm names and license numbers.

At this time, real estate firms and professionals engaged in brokerage or property management activities are not required to implement formal anti-money laundering or anti-terrorist financing (AML / TF) programs, as do regulated financial institutions.

Pursuant to South Carolina Real Estate License Law in S.C. Code of Laws Section 40-57-370, a real estate licensee is required to provide you a meaningful explanation of agency relationships offered by the licensee's brokerage firm.

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

At this time, real estate professionals engaged in brokerage or property management activities and their real estate firms are not required to implement anti-money laundering or anti-terrorist financing programs, but the Treasury Department may expand coverage of these requirements to include real estate professionals.

Can an MLS require other office (s) of the same brokerage firm to participate in the MLS if any office of that firm participates?

States will require a real estate broker to be employed by the brokerage firm or permit an independent contractor classification, and the broker may work for another broker conducting business on behalf of the sponsoring broker.