Sentences with phrase «number of securities traded»

They consider three measures of investor experience: cumulative number of trades initiated; number of months with at least one trade; and, cumulative number of securities traded.

Not exact matches

«In order to trade securities, they need to be a broker - dealer,» said Jerry Brito, executive director at Coin Center, a digital currency advocacy group based in Washington, D.C. «I could imagine [Coinbase] could sell a number of other tokens» with the license.

The Ontario Securities Commission said on April 6 that it is gathering information on several cryptocurrency trading platforms after it received a number of complaints.

The broker confirms the number of units traded, which may be shares of stock or the par amount of bonds bought or sold, along with the security's symbol.

And those numbers overstate the effect of bond fund trading because they exclude bond trading at regional brokerages, which play a large role in the municipal securities market.

Additionally, different personnel may need to be on a team depending on the significance of the breach (whether it is at a mid-size or company - threatening level), type of breach (whether computer incursion or insider employee theft) or type of the information at issue in the breach (whether the breach involves social security numbers, credit or debit card numbers, personal health information or trade secrets).

For one, the share of securities whose 12 - month trading volume equals at least half of the number of securities outstanding has fallen from 20 % to less than 5 % in the US corporate bond market since 2007 (CGFS (2014)-RRB-.

«Social Security - related decisions can be complex, with a number of trade - offs.»

In what can only be viewed as a tussle for dominance in the space, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have each taken a number of steps.

Choosing between a diverse portfolio filled with many different stocks or having big positions in a few securities comes with a number of trade - offs.

In early March, the US Securities and Exchange Commission (SEC), which has reportedly issued a number of subpoenas to entities suspected of breaking the law, put out a warning that many cryptos qualify as securities and that platforms that trade them must therefore register with tSecurities and Exchange Commission (SEC), which has reportedly issued a number of subpoenas to entities suspected of breaking the law, put out a warning that many cryptos qualify as securities and that platforms that trade them must therefore register with tsecurities and that platforms that trade them must therefore register with the agency.

It is 10Trade.com that is the trading name of Holiway Investments Ltd., a Financial Services Company approved and synchronized by the Cyprus Securities Exchange Commission (CySEC) under license number: 248/14.

Demand from retail investors - who have a significant influence over first - day trading in Hong Kong share offerings - accounted for 0.45 times the number of shares on offer in the deal, the lender said in a securities filing on Monday, underscoring weak appetite for the deal.

Trump may try to enact tariffs in the name of jobs, security, or unequal regulatory standards across nations, but it is not clear how he can create such specific trade measures, without harming a broader swathe of companies that export to the U.S. Finally, on December 5, a number of House Republicans publicly expressed opposition to such tariffs.

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Securities and Exchange Board of India (SEBI) and stock exchanges like BSE have recently issued circulars regarding the linking of Aadhaar number to Demat Accounts for stock trading.

Avigen, Inc. (NASDAQ: AVGN) has received an offer from MediciNova, Inc. (NASDAQ: MNOV), a biopharmaceutical company that is publicly traded on both the Nasdaq Global Market and the Hercules Market of the Osaka Securities Exchange (Code Number: 4875).

A regular purchase of shares of stock or other securities will typically require the investor to decide the number of shares to be purchased and then place an actual trade, while dollar - cost averaging is the investing equivalent of «auto pilot».

Choosing between a diverse portfolio filled with many different stocks or having big positions in a few securities comes with a number of trade - offs.

Position limits: A limit set by the exchange on which an option trades as to the number of standard options contracts on the same side of the market on the same underlying security that an investor may hold at any given time.

The shares of the Spain Fund, Inc., a closed - end mutual fund investing in publicly traded Spanish securities, were bid up in price from approximately net asset value (NAV)-- the combined market value of the underlying investments divided by the number of shares outstanding — to more than twice that level.

This commission can vary based on the number of trades you make, the amount of money you have in your brokerage account, and the type of security you are trading.

For ETS accounts, commission charges for transactions will be established based on a number of factors such as trading activity, type of security, transaction size, market conditions, and overall relationship.

The FINRA TAF for a covered TRACE - eligible security (other than an asset - backed security) and / or municipal security is $ 0.00075 multiplied by the number of bonds, with a maximum charge of $ 0.75 per trade.

With respect to maintenance requirements on specific securities, Fidelity considers a number of factors, including the stock's trading volatility and liquidity, company earnings and market capitalization, as well as whether the account in question is in a concentrated position.

Volume is concerned simply with the total number of shares traded in a security or market during a specific period.

As I was looking around the investing universe for possible underpriced securities over the past couple of months I happened upon a number of closed - end funds trading at significant discounts to net asset value (NAV).

A large number of the alerts were related to businesses located abroad that were not registered in Canada to engage in securities trading or advising.

For instance, they might limit the number of times they trade investments within a fund or sell securities at a loss to offset portfolio gains.

An enterprise in which funds contributed by a number of persons are combined for the purpose of trading futures or options contracts.The concept is similar to a mutual fund in the securities industry.

Step 6: Opening Business Tax - ID Credit Card: After a period of time in which the vendor and revolving trade accounts have positive reporting and payment history, we help the business owner apply and receive their first unsecured credit card based on the business's tax ID instead of their personal social security number.

The rules adopt the term «pattern day trader,» which includes any margin customer that day trades (buys then sells or sells short then buys the same security on the same day) four or more times in five business days, provided the number of day trades are more than six percent of the customer's total trading activity for that same five - day period.

The Securities and Exchange Commission website says «FINRA rules define a «pattern day trader» as any customer who executes four or more «day trades» within five business days, provided that the number of day trades represents more than six percent of the customer's total trades in the margin account for that same five business day period».

Whether day trading in security futures contracts or other securities, investors engaging in a day trading strategy face a number of risks.

However, the price of open - ended funds can not be inflated by investor demand the way they can with a stock or other security that trades in a secondary market, because, as with the namesake they bear, open - ended funds theoretically have no limit on the number of shares that can be issued.

People are always on the hunt for Credit trade lines to add positive lines of credit to their social security numbers, which leads to that account and its details reflecting on the person's credit profile.

Each trade line will include the name of the creditor and the account's identifying number (though this can often be scrambled or missing digits to ensure security).

A fund created with a fixed number of shares, which are traded as listed securities on a stock exchange.

ISIN is the numbering code system set up by the International Organization for Standardization and used by internationally traded securities to identify and number each issue of securities.

In making this determination, the Adviser will consider, as it deems appropriate under the circumstances and among other factors: (1) the frequency of trades and quotes for the security; (2) the number of dealers willing to purchase or sell the security; (3) the number of other potential purchasers of the security; (4) dealer undertakings to make a market in the security; (5) the nature of the security (e.g., debt or equity, date of maturity, terms of dividend or interest payments, and other material terms) and the nature of the marketplace trades (e.g., the time needed to dispose of the security, the method of soliciting offers, and the mechanics of transfer); and (6) the rating of the security and the financial condition and prospects of the issuer.

SAN DIEGO and ALAMEDA, Calif., June 25, 2009 (GLOBE NEWSWIRE)-- MediciNova, Inc., a biopharmaceutical company that is publicly traded on the Nasdaq Global Market (Nasdaq: MNOV — News) and the Hercules Market of the Osaka Securities Exchange (Code Number: 4875), and Avigen, Inc. (Nasdaq: AVGN — News), a biopharmaceutical company, today announced that they have confirmed their understanding of certain key terms for a proposed acquisition of Avigen by MediciNova that would combine the companies» broad neurological clinical development programs based on ibudilast (Avigen's AV - 411 and MediciNova's MN - 166).

A swath of domestic equity ETFs were impacted by the fragmentation of liquidity across trading venues and by the application of overly tight price collars during the reopening process.3 In the wake of these trading challenges, industry groups and regulators worked to refine LULD rules and implemented a series of LULD rule amendments in 2017 aimed at improving opening auction and post-halt reopening auction processes.4 In addition, the exchanges also adapted their opening mechanism, resulting in a reduction in the number of ETFs and other securities halted on volatile days.

Additionally, recognizing that a cyber - or privacy - related development can expand to encompass a number of other significant legal issues, our group works hand - in - glove with attorneys in our White Collar Defense, Regulatory and Investigations, Securities Litigation, Complex Commercial Litigation, Business Finance & Restructuring and Employment Litigation practices, among others, to address subsequent risks such as government or regulatory inquiries, shareholder, consumer, or employee class action litigation, trade secrets theft, funding or financial issues, and disputes with vendors, service providers and other third parties.

Securities lawyers advise that public companies should still put meaningful insider - trading policies and programs in place, however, for a number of reasons:

These include a number of state and federal securities violations in relation to fraud and offering unregistered securities, the rescission of a contractual arrangement between BitConnect and the plaintiffs, deceptive and unfair trade practices, fraudulent inducement, fraudulent and negligent misrepresentation, conversion (exerting unauthorized use or control of someone else's property), and civil conspiracy.

After the US Securities and Exchange Commission (SEC) circulated a number of warnings to investors about the «risks» of Initial Coin Offerings (ICO) in 2017, the SEC and the US Commodity Futures Trading Commission (CFTC) held a joint hearing on cryptocurrencies on Feb. 6 of this year.

The TMX Group, which operates the Toronto Stock Exchange, TSX Venture Exchange, Montréal Exchange, Canadian Derivatives Clearing Corporation, and a number of other securities trading platforms in Canada, also owns a digital currency - focused subsidiary, Shorcan Digital Currency Group (DCN).

The GMO Internet group is also establishing its own company, with plans to increase the number of digital currencies it trades based on demand. Kabu.com Securities and foreign exchange trader Money Partners Group plan to enter the field as well.

Aiming to be a leading zero - fee based exchange that employs the highest level of security in its trading platform, the company has been making a number of developments on its system.