Sentences with phrase «by their investment dealers»

What's even worse is that some have been barred from making withdrawals by their investment dealers who fear they will get stuck with a large tax bill.

There is also extensive self - regulation by the Investment Dealers Association of Canada, the Mutual Fund Dealers Association of Canada and the Canadian stock exchanges including the fast moving and innovative TMX with it's full line - up of exchange - traded funds.

An account offered by Investment Dealers whereby investors are charged an annual management fee based on the value of invested assets.

An account offered by investment dealers whereby investors are charged an annual management fee based on the value of invested assets.

It is a certain type of an account that is very much alike with a traditional and ordinary bank account and is directed to hold securities and cash, and it is managed by an investment dealer.

In its recent decision in Taub v. Investment Dealers Association of Canada, Ontario's Divisional Court reined in an attempt by the Investment Dealers Association of Canada (now known as the Investment Industry Regulatory Organization of Canada, or IIROC) to discipline a former investment advisor, despite the fact that he had not been an IDA member for more than a year.

Not exact matches

As AR glasses gain mass adoption, automakers will be able to capitalize on their investments in digital reality and models by letting prospective buyers customize and virtually test drive cars before stepping onto the dealer's showroom floor.

It may be the most boring investment vehicle ever imagined, dreamed up by perhaps the most boring broker - dealer we would ever see even if we were given 100 lifetimes.

Finally, none of these firms are owned by a bank, broker / dealer or investment company.

For the 26th year, the editors of Investment Advisor met with the leaders of the Broker - Dealers of the Year, as identified by their own reps, to discuss the trends and issues the broker - dealer industry will face in 2016 and in the future, with one major change.

Securities products, brokerage services, and managed account advisory services are offered by PNC Investments LLC, a registered broker - dealer and a registered investment adviser and member of FINRA and SIPC.

Financial Sense ® Securities, Inc. (FSS), a registered broker / dealer and member FINRA / SIPC, is wholly - owned by Financial Sense ® Advisors, Inc (FSA), a registered investment advisor.

It's easy to check a dealer's reputation by reading customer reviews on Google, investment forums, and other precious metals - focused websites.

Issues tackled by SFAC members through their individual efforts in 2017 included the PCAOB audit requirement, BrokerCheck, the fiduciary standard, various industry - related tax reform bill provisions, and other issues related to broker - dealers and investment advisers.

Shareholders holding Shoppers Drug Mart shares through a broker, investment dealer or other intermediary, should carefully follow the instructions provided by such broker, investment dealer or other intermediary in order to make an election.

In addition to «flat - fee - only» and «fee - offset» models, the SunAmerica Advisory Opinion provides that asset allocation services offered to participants (involving advice and even discretionary management) that are the product of a computer model developed and overseen by an independent financial expert, and subject to certain additional conditions, would allow a service provider (the broker - dealer, in this case) to avoid PTs when receiving variable / indirect compensation from its platform of investment offerings.

Retail brokerage services and managed account advisory services are offered by PNC Investments LLC, a registered broker - dealer and a registered investment adviser and member of FINRA and SIPC.

«By accelerating our growth in this segment, Canadian exempt securities market participants across the country - issuers, dealers and investors - are assured of a committed industry - leading partner with the long - term vision and resources critical to providing the expertise, solutions and technology investment that will satisfy their needs today, and well into the future.»

For example, if Bitcoin is not a currency, then Bitcoin forwards and Bitcoin swaps that involve the exchange of Bitcoin for another currency will not fall under the statutory definitions of the more lightly regulated foreign exchange forwards or foreign exchange swaps.10 Likewise, retail trading of Bitcoin derivatives will be limited to designated contract markets, rather than subject to the retail foreign exchange dealer regulations.11 Treating Bitcoin as a commodity that is not a currency dovetails with the stances taken by other U.S. regulators such as the Financial Crimes Enforcement Network (FinCEN)(virtual currency does not have all of the attributes of real currency) 12, the Securities and Exchange Commission (Bitcoin investments are investment contracts because Bitcoin is a form of money) 13 and the Internal Revenue Service (treating Bitcoin as property for tax purposes).14

Transactions undertaken by a registered investment adviser that is also a broker - dealer, will frequently trigger disclosure requirements under Rule 3280 to make it clear that advisory activities of a registered investment adviser fall outside the scope of Rule 3280.

The exemption is a narrow one intended to assist angel investors to connect with startup companies by removing the uncertainty of broker - dealer registration faced by online investment intermediaries.

Previously, he was co-founder and managing partner of Mesa Securities, a licensed broker - dealer investment bank focused on media and entertainment that was acquired by Houlihan Lokey in June of 2015.

Funding portals that are operated by registered dealers are obligated to determine if the investment is suitable for your situation.

If an advisor tries to skirt around breakpoints by using two different investment companies, the broker - dealer or compliance department will often ask the client to sign an acknowledgement form stating that they could have hit a breakpoint by using the same fund family.

Full - service brokerages, online brokerages and investment dealers who trade stocks and bonds are regulated by the Investment Industry Regulatory Association of Canada (IIROC) and are automatically members of the Canadian Investor Protection Fuinvestment dealers who trade stocks and bonds are regulated by the Investment Industry Regulatory Association of Canada (IIROC) and are automatically members of the Canadian Investor Protection FuInvestment Industry Regulatory Association of Canada (IIROC) and are automatically members of the Canadian Investor Protection Fund (CIPF).

By registering for any of these emails, you agree to Buffalo's terms and conditions and that you are qualified as an institutional investor or otherwise member of a registered broker / dealer, registered investment advisor, or investment consulting firm.

As a Canadian registered investment dealer bound by both internal and external requirements respecting the handling of client orders in a manner that provides each client with the most advantageous execution terms available, BBS Securities Inc. will consider as part of its order routing protocol, execution opportunities on the Aequitas Neo Exchange.

Investment advisors in Canada can be licensed by either the Mutual Fund Dealers Association (MFDA) or the Investment Industry Regulatory Organization of Canada (IIROC).

Their banks are FDIC insured and their investments are sold by registered broker dealers.

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That's different from a mutual fund, where broker - dealers effectively are required by Section 22 (d) of the Investment Company Act of 1940 to impose sales charges in accordance with the fund's prospectus.

Investment recommendations are provided by Fixed Income Representatives of E * TRADE Securities LLC, a broker - dealer member of FINRA.

Investments: Your security investments will be maintained, held by an unaffiliated, qualified custodian (Wells Fargo Clearing Services LLC), such as a bank, broker / dealer, direct mutual fund, transfer agent or insuranceInvestments: Your security investments will be maintained, held by an unaffiliated, qualified custodian (Wells Fargo Clearing Services LLC), such as a bank, broker / dealer, direct mutual fund, transfer agent or insuranceinvestments will be maintained, held by an unaffiliated, qualified custodian (Wells Fargo Clearing Services LLC), such as a bank, broker / dealer, direct mutual fund, transfer agent or insurance companies.

Major global investment banks, including Citibank and Goldman Sachs, set up shop on Bay Street in the 1990s to share in the debt bonanza but were shut out by the domestic Canadian dealers.

An investment dealer appointed by a company or government to advise it in financial matters and to manage the underwriting of its securities.

Refers to the redistribution or resale of previously issued securities to the public by a dealer or investment dealer syndicate.

The account is also covered by WiseBanyan's broker dealer FOLIOfn Investments.

Others, however, such as broker / dealers and mutual fund companies, have to be separately licensed by the employee plans division of the IRS and restrict their IRA clients to a limited set of investments.

Your account is also covered by the broker - dealer, FOLIOfn Investments, Inc. (Folio), as an additional level of protection.

If your lease is almost over, why not consider furthering your investment by accepting the lease buyout offered to you by the dealer?

A printed acknowledgement giving details of a purchase or sale of a security which is normally mailed to a client by the broker or investment dealer within 24 hours of an order being executed.

The purchase for resale of a security issue by one or more investment dealers.

Securities are not are not federally - insured; are not obligations of the credit union; are not guaranteed by the credit union; involve investment risk, the value of the investment may fluctuate, the return on the investment is not guaranteed and loss of principal is possible; may be offered by a dual employee who may accept deposits on behalf of the credit union and may sell non-deposit investment products on behalf of a third - party securities broker - dealer.

Fortunately, that's about to change: regulators will compel investment dealers to provide personal rates of return by July 2016.

Fifth Third Securities is the trade name used by Fifth Third Securities, Inc., member FINRA / SIPC, a registered broker - dealer and registered investment advisor registered with the U.S. Securities and Exchange Commission (SEC).

Reduced demand for Canadian equities from Canadian investors will mean lower equity underwriting and trading revenues for Canadian investment dealers because it is unlikely to be replaced by increased foreign equity trading and underwriting by Canadian dealers.

As of May 31, 2011, fixed income investments valued at $ 33,593,820 (0.21 % of net assets) and $ 184,213,652 (34.67 % of net assets) in the Fairholme Fund and Income Fund, respectively, are valued by Management utilizing the average bid of independent broker / dealer quotes or the average bid of independent broker / dealer quotes and observable market

Fifth Third Securities is the trade name used by Fifth Third Securities, Inc., member FINRA / SIPC, a registered broker - dealer and registered investment advisor.

Investments are not guaranteed by CollegeInvest, the State of Colorado, it's agencies, the Vanguard Group, Inc., Ascensus Broker Dealer Services, Inc., QS Investors LLC, Legg Mason Investor Services LLC, or FirstBank and may lose value including the principal amount invested.

Accounts are introduced and brokerage services provided by USAA Financial Advisors, Inc. (FAI) and USAA Investment Management Company (IMCO), both registered broker - dealers, Members Securities Investor Protection Corporation (SIPC).