Sentences with phrase «dealer firms»

The industry also includes 140 dealer firms involved in the sale of mutual funds.

ETFs trade on stock exchanges, whereas bonds are generally bought and sold through dealer firms.

IIROC issues cybersecurity report cards for dealer firms [Press release].

Market makers would likely opt for an exchange offering incentives over one that isn't, according to Don Ross, CEO at PDQ Enterprises, a broker - dealer firm operating the CODA Markets ATS.

Paterson, who works from New York, also serves as chairman of IFS's advisory board, the boutique independent broker - dealer firm said.

Bond prices usually include a markup (when you are buying) or a markdown (when you are selling), that reflects the cost the broker - dealer firm incurs for holding the bond in inventory plus a profit.

Created in 2008 through the consolidation of the Investment Dealers Association of Canada and Market Regulation Services Inc., IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity and debt marketplaces.

The Mutual Fund Dealers Association of Canada (MFDA) will not stand in the way of financial advisors and member dealer firms who want to sell exchange - traded funds (ETFs)-- so long as they meet the requirements necessary to do so, according to senior members of the MFDA who spoke during a panel discussion at the Federation of Mutual Fund Dealers» annual conference in Toronto on Tuesday.

(Note: this company is not connected and should not be confused with the legitimate US broker - dealer firm called Institutional Direct Inc..

Bond dealer firms are sales organizations.

Advised and represented broker - dealer firms on FINRA regulatory investigations and inquiries involving supervisory procedures, sales practices, and operational issues

A Real Estate Lawyer works in a property dealer firm.

Neil began his career as Paine Webber and worked there and at Hambrecht & Quist until founding his own broker / dealer firm in 1989 and founding Hennessy Funds and launching his first mutual fund in 1996.

Represented multiple financial advisors in FINRA arbitrations against nationwide broker dealer firms

Follow Carolyn on LinkedIn for her unique perspective on how home office executives can tackle the opportunities and challenges facing broker - dealer firms.

In addition to her public service, Lynne also worked in the private securities industry at D. A. Davidson & Co., a mid-size regional broker - dealer firm, from 1980 - 1990.

FINRA has not done a great job leading the charge because — and I may be wrong — FINRA is overwhelmingly run by the big broker - dealer firms.

As regulatory activity increases, more and more advisors are going the independent route, partly to reduce the cost obligations of compliance as a broker - dealer firm.

Mr. Rosenberg brought innovation to his credit strategy work producing the first commercialized quantitative corporate credit portfolio risk analytics system from a dealer firm.

Effective as of the close of business on July 15, 2015, Brown Advisory Small - Cap Fundamental Value Fund (BIAUX) will stop accepting new purchases through most broker - dealer firms.

The role of the Mutual Fund Dealers Association (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) is to ensure that dealer firms and their employees follow the rules, and they can discipline rogue advisors.

The best sources for individual bonds tend to be larger broker - dealer firms or firms that specialize in selling bonds to individual investors.

Typically the floating rate is set by a dealer firm (called the «remarketing agent») based on whatever rate will clear the market.

The client services call center provides support to investors, financial advisors, financial institutions, and broker / dealer firms.

Mr. Rosenberg brought innovation to his credit strategy work producing the first commercialized quantitative corporate credit portfolio risk analytics system from a dealer firm.

He also represents securities professionals in their employment disputes with broker - dealer firms.

FINRA is responsible for administering licenses to qualified investment professionals, checking that there is proper disclosure for any securities related advertising, write and enforce rules that govern the actions of broker - dealer firms and individual securities brokers, and educate investors about our financial markets.

Cryptocurrency trading firm Coinbase has entered into talks with the U.S. Securities and Exchange Commission about registering as a licensed broker - dealer firm and electronic trading venue, The Wall Street Journal reported on Friday, April 6, 2018.

Cryptocurrency trading firm Coinbase has entered into talks with the U.S. Securities and Exchange Commission about registering as a licensed broker - dealer firm and electronic trading venue,

Cryptocurrency trading firm Coinbase has entered into talks with the U.S. Securities and Exchange Commission about registering as a licensed broker - dealer firm and electronic trading venue, The Wall Street Journal reported on Friday,...

In comparison, America's largest broker - dealer firm, Fidelity, has 26 million individual customers and holds $ 6.5 trillion in total customer assets.

Cryptocurrency trading firm Coinbase has entered into talks with the U.S. Securities and Exchange Commission about registering as a licensed broker - dealer firm and...

Conduct searches, compile data, complete data entry, and process various types of transactions for shareholders and dealer firms

15 + year career building business development relationships with C - suite executives at insurance and technology companies, hedge funds, and broker - dealer firms.

«I would venture to say that in 2009 the equity raise could be as low as $ 500 million if things don't change,» says Greg Paul, CEO of Omni Brokerage, a broker - dealer firm that specializes in TIC sales.