Sentences with phrase «covered by the broker»

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

The markets covered by the broker include bonds, commodities, equities, futures, forex, mutual funds, ETFs, and options.

The plaintiffs, James and Suzanne Preston, contend that the types of services the fee allegedly covers — storing documents and meeting state disclosure requirements — are typically covered by the broker's commission, effectively making the fee an additional commission for which no additional service is given.

Not exact matches

The advisory fee does not cover charges resulting from trades effected with or through broker - dealers other than affiliates of Strategic Advisers, mark - ups or mark - downs by broker - dealers, transfer taxes, exchange fees, regulatory fees, odd - lot differentials, handling charges, electronic fund and wire transfer fees, or any other charges imposed by law or otherwise applicable to your account.

If your Shares are held in the name of a broker, bank, or other nominee and you want to vote in person, you will need to obtain (and bring with you to the 2015 Annual Shareholders» Meeting) a legal proxy from the record holder of your Shares (who must have been the record holder of your Shares as of the close of business on April 10, 2015) indicating that you were a beneficial owner of Shares as of the close of business on April 10, 2015, as well as the number of Shares of which you were the beneficial owner on the record date, and appointing you as the record holder's proxy to vote the Shares covered by that proxy at the 2015 Annual Shareholders» Meeting.

All brokers provide some basic order types, there are other «special» order types that are not offered by all brokers though, and we will cover them all below:

The advisory fee does not cover charges resulting from trades effected with or through broker - dealers other than affiliates of Strategic Advisers, Inc., mark - ups or mark - downs by broker - dealers, transfer taxes, exchange fees, regulatory fees, odd - lot differentials, handling charges, electronic fund and wire transfer fees, or any other charges imposed by law or otherwise applicable to your account.

Citigroup Global Markets Inc. showed incorrect ratings — such as «buy» instead of «sell» — to brokers, customers and supervisors on 38 percent of the equities covered by its research department from February 2011 to December 2015, Finra said in a statement on Thursday.

As far as Southbound trading is concerned, since Mainland securities brokers are neither licensees nor registered institutions with the SFC in Hong Kong and they are not regulated by the SFC, the Investor Compensation Fund will not cover Southbound trading via Shanghai - Hong Kong Stock Connect.

The price or prices will cover all the services provided by the broker.

Interactive Brokers (U.K.) Limited is authorised and regulated by the FCA and regulated products are covered by the UK FSCS.

First, all binary options and spread contracts covered by the relief must be fully margined or fully collateralized, as per the brokers» requirements.

Sooner or later, you must «close» the short by buying back the same number of shares (called covering) and returning them to your broker.

Seeing the number of assets that are covered by EuropeFX, we can see that the broker takes its client service seriously.

At a future point in time, the short seller will cover the short position by buying it in the market and repaying the loaned stock to the broker.

An extra fee charged by some mutual funds to cover promotion, distributions, marketing expenses, and sometimes commissions to brokers.

This protects you from broker failure / misconduct, but your investment losses are not covered by SIPC

They say that for covered shares (that is, shares that are covered by the rules requiring brokers to report cost basis) the broker has to report basis in accordance with a valid identification.

The advisory fee does not cover charges resulting from trades effected with or through broker - dealers other than affiliates of Strategic Advisers, mark - ups or mark - downs by broker - dealers, transfer taxes, exchange fees, regulatory fees, odd - lot differentials, handling charges, electronic fund and wire transfer fees, or any other charges imposed by law or otherwise applicable to your account.

* The advisory fee does not cover charges resulting from trades effected with or through brokerdealers other than affiliates of Strategic Advisers, mark - ups or mark - downs by broker - dealers, transfer taxes, exchange fees, regulatory fees, odd - lot differentials, handling charges, electronic fund and wire transfer fees, or any other charges imposed by law or otherwise applicable to your account.

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

As for the instruments that are covered by InterTrader, the broker offers 6 major asset classes.

Rarely covered by most brokers in the industry, InterTrade also offers its clients the ability to trade on major interest rates such as the Eurodollar and Euroswiss.

Although OlympTrade doesn't have nearly as many assets as most leading brokers in the industry, the number of assets that are covered by OlympTrade is still quite substantial.

Second, before purchasing a certificate of deposit through a broker, ask whether it's covered by FDIC insurance.

note that in the real market settlement for the majority of instruments is more than one day so if the broker buys the instrument (they may not and may just cover it by netting positions) at all they may not have to pay for it if they sell before delivery and net out the settlement of the position using your cash to cover any losses or giving you the cash difference if you are in profit.

In both instances, these services or products may include: company financial data and economic data (e.g., unemployment, inflation rates and GDP figures), stock quotes, last sale prices and trading volumes, research reports analyzing the performance of a particular company or stock, narrowly distributed trade magazines or technical journals covering specific industries, products, or issuers, seminars or conferences registration fees which provide substantive content relating to eligible research, quantitative analytical software and software that provides analyses of securities portfolios, trading strategies and pre / post trade analytics, discussions with research analysts or meetings with corporate executives which provide a means of obtaining oral advice on securities, markets or particular issuers, short - term custody related to effecting particular transactions and clearance and settlement of those trades, lines between the broker - dealer and order management systems operated by a third party vendor, dedicated lines between the broker - dealer and the investment adviser's order management system, dedicated lines providing direct dial - up service between the investment adviser and the trading desk at the broker - dealer, message services used to transmit orders to broker - dealers for execution, electronic communication of allocation instructions between institutions and broker - dealers, comparison services required by the SEC or another regulator (e.g., use of electronic confirmation and affirmation of institutional trades), exchange of messages among broker - dealers, custodians, and institutions related to a trade, post-trade matching of trade information, routing settlement instructions to custodian banks and broker - dealers» clearing agents, software that provides algorithmic trading strategies, and trading software operated by a broker - dealer to route orders to market centers or direct market access systems.

In both instances, these services or products may include: company financial data and economic data (e.g., unemployment, inflation rates and GDP figures), stock quotes, last sale prices and trading volumes, research reports analyzing the performance of a particular company or stock, narrowly distributed trade magazines or technical journals covering specific industries, products, or issuers, seminars or conferences registration fees which provide substantive content relating to eligible research, quantitative analytical software and software that provides analyses of securities portfolios, trading strategies and pre / post trade analytics, discussions with research analysts or meetings with corporate executives which provide a means of obtaining oral advice on securities, markets or particular issuers, short - term custody related to effecting particular transactions and clearance and settlement of those trades, lines between the broker - dealer and order management systems operated by a third party vendor, dedicated lines between the broker - dealer and the investment adviser's order management system, dedicated lines providing direct

In a two - year deal brokered with Green Mountain Energy, a renewable power and carbon offset retailer recently acquired by NRG Energy of New Jersey, the Empire State Building will purchase 55 million kilowatt - hours worth of renewable energy certificates annually — enough to cover its yearly electricity consumption.

As on the advice of my broker I'd acquired a specific endorsement which was truly inspired: «We cover damages valid under all laws which may be claimed by Santa Claus»

When reviewing or updating your firm's CHP you should be sure to liaise with your firm's Professional Indemnity Insurance («PII») broker to ensure that the processes prescribed by the CHP do not compromise PII cover but are symbiotic with its terms.

Serious questions currently exist whether the law will cover electronic medical records held by third party records entities, which may have links to credit reporting and other data brokers, when these, pushed by both political parties etc. as a health care cost control and improvement measure, which seems legitimate, are implemented.

In a key mandate, Greenwood represented a firm of insurance brokers in a claim brought by the owner and operator of a waste recycling plant, which suffered a major fire that was not covered by the insurers of the plant; the claimants contended that the policy brokered by the client was not suitable.

Please inform your personal auto insurance broker of your ridesharing activities to ensure you can be covered by Northbridge Insurance's commercial policy.

Once you know what is covered by the HOA or association, speak to your insurance broker or agent to make sure you choose the right insurance coverage for your needs.

Because a hazard is a risk that an insurer may have to make a payment in the event of a claim under the policy, the cost of your policy is based on the risks incurred by each hazard covered as well of course as the operating costs of administering and selling your policy (and the agent or broker fees that go with this) and a profit margin for the insurer.

This may sound very appealing, but it's worth bearing in mind that the service offered by car insurance brokers is quite similar to the service offered here at MoneySuperMarket — it's also our aim to help customers save time and money when buying motor insurance cover.

«Standard home insurance covers damage to your computer by fire or an explosion, but the reality is that you're more likely to spill a drink on your keyboard or drop your iPad,» says Dodge, of the Independent Insurance Agents & Brokers of New York.

By law, any vehicle registered and driven or parked on public streets in British Columbia must be covered by ICBC's basic insurance package, which can be purchased from independent brokers across the provincBy law, any vehicle registered and driven or parked on public streets in British Columbia must be covered by ICBC's basic insurance package, which can be purchased from independent brokers across the provincby ICBC's basic insurance package, which can be purchased from independent brokers across the province.

Before the end of 2017 we plan to connect to our system around 200 brokers covering around 10 million traders, and by the end of 2018 we will connect around 500 brokers and 20 million traders: it means we will control 5 to 7 % of the market.

Brokered by IMG College — the multimedia partner of the university, the sponsorship is meant to cover Georgia Tech's basketball and football programs.

The 15 - year renewal for 891,000 square feet included a «work letter» — an agreement by the landlord to cover part of the cost of renovating the space — of just over $ 100 a square foot, according to CompStak Inc., a provider of commercial real estate data to brokers.

Dropped by his E&O carrier earlier this year, Newport Beach, Calif. - based mortgage broker Fred Solomon Jr. saw his rates triple to $ 10,000 annually to cover his 18 associates when he signed on with a new company, even though he had never formally filed any claims.

Mortgage brokers are also covered by the legislation.

Agents who had the co-operating broker do the listing agent's running around from sheer unapologetic laziness; who obviously saved themselves another trip across town by copying their client's initials or time of signature into a document; who clearly lied about having multiple offers or being related to the seller; and sellers who covered up the fact that they themselves were licensed Realtors.

By adding «mortgage broker» to their «real estate broker» role, the entrepreneurs leading these offices will be able to cover a longer stretch of the home - buying process.

What's unique about Coldwell Banker Select Tulsa, and the entire market, is that 75 percent of the marketshare is covered by four large real estate firms, but 300 brokers belong to the MLS.

As an independent contractor, the Realtor would not be covered by the insurance of either the broker or the building owner.

Attendance by brokers and associates at loss - mitigation or risk - management seminars and state - required continuing education courses, including those covering risk management

Unauthorized access by cooperating brokers is covered by Standard of Practice 3 - 9.