Sentences with phrase «member dealer firms»

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.

Not exact matches

The observations in the report are based on discussions with senior members of selected institutions, comprising major dealers, buy - side firms, service providers and an industry association.

In 1996, believing that his brokerage clients deserved a wider range of investment opportunities as well as better trade execution and service, Jim founded Financial Sense ® Securities, Inc. (FSS), member FINRA / SIPC, an independent broker / dealer offering full brokerage services through our clearing firm National Financial Services LLC., a Fidelity Investments Company.

Our members, representing more than $ 3 trillion in assets under management or advisement include investment management and advisory firms, mutual fund companies, research firms, financial planners and advisors, broker - dealers, banks, credit unions, community development organizations, non-profit associations, and asset owners.

GrowthCap is a trade name for GrowthCap, LLC and its subsidiaries and other affiliates which include: GrowthCap Partners, LLC, a Delaware limited liability company, registered broker - dealer and FINRA and SIPC member firm, which provides independent financial advice on private placements, mergers, acquisitions, financial restructurings and similar corporate finance matters, and financial advisory.

If the investment firm that you have your account with becomes insolvent, you may be eligible to recover from a compensation fund if the investment firm is a member of IIROC or the Mutual Fund Dealers» Association of Canada (MFDA).

Profits from the broker - dealer operations of NYSE member firms (which is what it uses to measure the securities industry's health) rose 42 percent, to $ 24.5 billion, the most since 2010.

FIF — a voluntary financial industry group composed of member firms such as broker - dealers, exchanges, and vendors — serves as a central resource for objective commentary and analysis on industry initiatives and informs regulators about the impact of proposed regulation and other market structure changes.

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.

the Trade Reporting and Compliance Engine (TRACE) is the FINRA - developed vehicle that facilitates the mandatory reporting of over the counter secondary market transactions in eligible fixed income securities; all broker / dealers who are FINRA member firms have an obligation to report transactions in corporate bonds to TRACE under an SEC approved set of rules

The executing exchange matches orders received from broker - dealers against market maker quotes and other orders to execute trades, and reports the results of completed trades to the parties to the trade, member firms, market data services and the NSCC.

Its 15 members are divided into three categories — securities firms representatives, bank dealer representatives and public members — each category having equal representation on the Board.