Sentences with phrase «done by the broker»

They should also note the underwriting criteria before submitting a deal so that this can be done by the broker prior to submission to save time.

This is mainly because of the various verifications that have o be done by the broker before the request is processed.

The shopping is already done by the broker.

With a full - service broker, much of the legwork is done by the broker, who provides the investor with more one - on - one advice as well as individualized suggestions and research.

Not exact matches

The US could retaliate against Russia in the form of a military offensive, shutting down specific portions of its cyber capabilities or stealing and publishing hacking tools used by Russian intelligence — much like the Russia - linked group the Shadow Brokers did with US cyberweapons in 2016.

Since TREB itself doesn't buy or sell houses, it isn't a true competitor to the smaller discount and online brokers affected by its practices.

But there could be a case where, by the letter of the law, taking these fees does change the nature of what that firm is doing from being an asset manager to a broker dealer,» McAndrews said.

BLUE SKY FEES AND EXPENSES: $ 35,000 A disadvantage of going public on the Nasdaq SmallCap Market, as Multicom discovered, is that state regulators do not automatically accept the new security for sale by brokers in their own states as they do with companies listed on the Nasdaq National Market, the New York Stock Exchange, and the American Stock Exchange.

Broker non-votes (shares held by brokers that do not have discretionary authority to vote on a matter and have not received voting instructions from their clients) have no effect.

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.

«This is a better long - term strategy, as it ensures that the listings of brokers who do not approve are not accessed by the portals,» he said.

The people who invest in those funds could improve their performance by about 1 percentage point a year by switching to other funds that don't pay brokers.»

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.

So now all a douche broker will need to do is fill out some bullshit 401k rollover suitability form signed by the client.

Many of you have probably noted that most binary options brokers refuse to accept clients from the American market as they do not wish to be taxed by the U.S. authorities.

«Nothing hard is easy; nothing worth doing is easy,» Ketchum responded, adding that while he has «tremendous respect» for the «range of concerns» expressed by some SEC commissioners regarding a fiduciary rule for brokers, he has «great confidence» in White being able «to move this [rulemaking] forward.»

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.

Some are issued and brokered by non-financial entities and [others do] not even have a responsible authority for its issuance.

The question for broker - dealers, says Smith, is what to do with small plan sponsor clients that are serviced by generalist wealth managers.

Redfin got access to those listings by becoming a broker itself, but Zillow, at least at the beginning, relied on brokers uploading listings themselves — which they were willing to do, thanks to the userbase Zillow had already built up thanks in part to its Zestimate house valuation tool.

The broker might do that by charging consumers extra or by taking the money out of workers» pay.

As a result of changes adopted by the NYSE to its broker voting rules, including changes mandated by the Dodd - Frank Act in connection with stockholder votes on executive compensation matters, the NYSE does not consider the election of directors (Item 1), the advisory resolution regarding named executives» compensation (Item 2), and the advisory proposal on the frequency of future advisory votes regarding named executives» compensation (Item 3) to be routine.

One of the fairly fundamental rules brokers need to abide by is to «know their client» but, because they make things extra easy during the joining process, they usually don't get all of the personal ID or proof of address details they need to make sending money back to you legal from their end.

Does RJFS agree its dually registered brokers, when operating through their RIA today, should abide by these principles?

It does this by charging the broker a fee rather than you.

All the traders have to do is open an account by filling a simple registration form, make a deposit with a broker and they can start trading immediately.

Unlike traditional Deposit Bonuses offered by other brokers, investors at Trade Thunder don't have to trade a volume of up to 50 times their bonus amounts before they can withdraw their funds.

By law, brokers and agents can't put «investment adviser» on their business cards because they don't follow the fiduciary rules.

The basic trade type can be mastered in very little time, but do be sure to also learn how to use the various other instruments provided by your binary options broker so as to maximize your earnings potential.

If automatic margin close - out and / or execution of mandatory stop - loss orders occur too often, it is an indication that the leverage made available to, or used by, clients may not be appropriate or that a broker may be behaving in a way so as not to protect clients from crystallising losses when they do occur (e.g. insufficient education or assistance with appropriate risk management).

However, if you do have a live brokerage account at a compatible broker (such as Interactive Brokers, OptionsHouse, Gain Capital, or others), you can use our BrokerTransmit technology to «run your strategy» (submit buy and sell signals) by simply trading in your broker account, as you normally do.

Understanding that by nature, humans will often walk away from a system that is overly complex, modern brokers do an excellent job of supplying interfaces that are straightforward and user - friendly.

It did so by reminding its readers that the SEC's efforts to apply the fiduciary standard to brokers «have been stymied by financial - industry opposition and weak Congressional support.»

That being said, it is still advisable, for British traders to do as much research as possible, to avoid being scammed by an unscrupulous broker.

The court found that a stock trading plan established by the company's chairman, pursuant to which a broker, rather than the chairman himself, would liquidate a portion of the chairman's stock in the company, did not preclude potential liability for insider trading.

«We are one of the few PoP brokers that by default don't put our own prices in that stream because we don't want to be conflicted with our clients,» he says.

The fact that CiTrades is not compliant with the laws set by the regulatory framework does not meant that the broker is not safe to invest with.

Going by the numbers of traders who have made this broker their trading partner of choice, they must be doing really well.

This is done by sending the required verification documents, including scanned copies of your photo, a recent utility bill and your credit card, to the broker.

BinaryOptionsU.com does not recommend any binary brokers or binary options exchanges to US traders besides NADEX, which is licensed by CFTC.

They did that by giving broker - dealers essentially free rein to market themselves as advisers while being regulated as salespeople.

The problem is then compounded by the fact that there are some brokers who do not make the cut if all brokers» operations were to be appraised.

And by the way, when you're honest and they start to believe that Paul Merriman can't really help them and no broker can help them, they start to understand that, oh, if I own all the stocks, I might, in fact, do okay.

If you had used your $ 1.50 per share in cash dividends to buy more stock, you could have theoretically increased your total share ownership position by around 2 percent if you did it through a low - cost dividend reinvestment program or a broker that didn't charge for the service.

The regulated brokers will not do anything mischievous and risk their regulated status because they are closely monitored by the bodies that registered and regulated them.

Small accounts and a low fee structure do not add up to a scalable model unless two things happen: 1) enough accounts want it, and 2) all reporting services are provided by Interactive Brokers.

If traders do not get the desired services from a broker, they are bound to start suspecting about services offered by the specific broker.

Olymptrade doesn't offer bonuses and signup incentives that are usually offered by most of the online brokers nowadays.

The US authorities don't permit offshore services to operate in their country, so it will be a problem for the US traders to deal with European brokers, particularly those who are regulated by CySEC.

Although we do like all the brokers list on the site, there may be something that you like best by any one of these options.