Sentences with phrase «dealer information obtained»

Not exact matches

FINRA Rule 2111 requires, in part, that a broker - dealer or associated person «have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the [firm] or associated person to ascertain the customer's investment profile.»

Dealers must provide information about their business operations and individual financial transactions, including some information and documentation obtained by the dealer directly from the consumer.

Transaction information pertaining to individual purchasers / lessees is obtained by car dealers, on behalf of NHTSA, directly from the individual consumers, from source documents the individuals provide to the dealers (some of which are scanned into the database by the dealer), and / or directly from their new and trade - in cars.

If you were not approved online, you still have the option of submitting your application and decision information to a local Acura dealer, who may still be able to help you obtain credit approval.

If you were not approved online, you can still submit your application and decision information to a local Acura dealer, who may be able to help you obtain credit approval.

Visit www.leer.com for complete LEER product information or to obtain information on becoming a LEER dealer.

As such, we use your information only to obtain an Internet price quote on your behalf from a local dealer.

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.

Perform outbound phone calls to customers and dealers to deliver / obtain additional information