Sentences with phrase «of dealers trading»

The trades conducted as a result of this process can generate optics of dealers trading ahead of the fix, even if the dealer is simply seeking to manage the risk.

«We are delighted to join the group of dealers trading directly with the Federal Reserve Bank of New York,» added Peter McCarthy, then head of fixed income.

Not exact matches

Schmitt produced a white paper that raised concerns about high - frequency trading, the lack of competition in the market and the «disappearance» of market makers, the banks and broker - dealers who traditionally stand by as passive buyers and sellers of stock to ensure other investors have a counterparty.

So - called self - regulatory organizations like the National Association of Securities Dealers are relatively toothless; trade groups like the American Institute of Certified Public Accountants stubbornly protect their own.

Non-bank dealers complained that the CFTC's proposal did not allow them to perform such «netting» of offsetting trades.

«Even though the foundation or the existing infrastructure is going to stay in place where it's sort of this quote - driven dealer market place, there's ways that we can go into that ecosystem and come up with new trading protocols or new trading venues or facilitate different channels of liquidity,» Conlin said.

«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.

While the leverage ratio and other Dodd - Frank Act requirements likely are encouraging broker - dealers to be more rigorous about risk management in allocating balance sheet capacity to certain trading activities, the growing presence of proprietary firms using algorithmic trading in many of these markets, which predated the crisis, is also influencing trading dynamics in important ways.

Iron Solutions, of Fenton, Mo., had its genesis in an annually issued guide, akin to the used - car Blue Book, that dates back to the»40s; dealers would dog - ear the guide to help them price, say, a rusted - out 1992 combine some farmer was offering on a trade.

Today, these details are confirmed / affirmed by multiple parties (DTCC, custodians, broker / dealer, clients) and multiple times throughout the life cycle of the trade.

Rush, which is the largest independent dealer of Navistar trucks, also thinks it can «play a meaningful role» in getting Navistar to trade in older model trucks, refurbish those trucks then sell them through its dealers.

Ford Motor (F) and Fiat Chrysler (FCA), through their dealers in Europe, are offering incentives of up to $ 2,000 to new - car buyers who are willing to trade in their VW or Audi diesel.

The «King of Las Vegas» first hit the jackpot in 1995 when he was 61 and running Computer Dealers» Exhibition (COMDEX), one of the largest trade shows in Las Vegas.

BROKER DEALER / CUSTODIAN: Interactive Brokers [tentative]; all trades information available real - time including end of day equity statements.

«Given the significant consequences of acting as an unregistered broker - dealer and the increased attention being given to this issue by the SEC staff, private - fund advisers should consider reviewing their practices to determine whether any activities that may be approaching or crossing the line would require broker - dealer registration,» David Blass, the chief counsel of the SEC's division of trading and markets, suggested in a speech last April.

Investment Industry Regulatory Organization of Canada (IIROC) IIROC was created in 2008 through the consolidation of the Investment Dealers Association of Canada and Market Regulation Services Inc. and is the national self - regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Dealers Association of Canada and Market Regulation Services Inc. and is the national self - regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in dealers and trading activity on debt and equity marketplaces in Canada.

The ticker symbol is SKYW and the common stock trades on the National Association of Securities Dealers Automated Quotations (NASDAQ).

As such, they play a much more limited role in the New York Fed Trading Desk's (Desk's) operations than primary dealers, which may serve as counterparties in all of the Desk's domestic open market operations.

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.

Wells Fargo Advisors is a trade name used by Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC, Members SIPC, separate registered broker / dealers and nonbank affiliates of Wells Fargo & Company.

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.

The Federal Reserve Bank of New York publishes the amount of bond trading by primary dealers — the large brokerage houses that are authorized to trade with the Federal Reserve.

Each day these dealers, on average, trade about $ 700 billion of bonds (including Treasury, government agency, corporate, and municipal bonds) with clients, and billions more in trades among themselves.

Bond fund withdrawals might have had a greater effect on markets where there is less trading, such as municipal securities — but even there, redemptions from bond funds would have accounted for less than 10 percent of the primary dealers» trading.

shouts one of the Dealers here on London's 24 hr trading floor at LCG.

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.

Ken Bentsen, president and CEO of SIFMA, noted on the call that while all of the trade groups represent members nationwide, about 27,000 advisors in Texas are registered with the Financial Industry Regulatory Authority and that Texas ranks third in the U.S. in terms of the number of advisors and fourth in the number of broker - dealers, which «underscores the fact that this is a Main Street issue.»

Informal dealers replaced normal banking channels to process flows of money into and out of Iran, providing currency to ordinary Iranians and turning Dubai into a center for handling trade and investment for Iran.

Thomas Peterffy, chairman of the broker - dealer Interactive Brokers Group, expressed deep concerns about the trading of bitcoin futures last month, saying «there is no fundamental basis for valuation of Bitcoin and other cryptocurrencies, and they may assume any price from one day to the next.»

May 23, 2012: Commodity Futures Trading Commission and Securities and Exchange Commission, «Further Definition of «Swap Dealer,» «Security - Based Swap Dealer,» «Major Swap Participant,» «Major Security - Based Swap Participant» and «Eligible Contract Participant»»

[18] «Commodity Futures Trading Commission: Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants,» Federal Register, Vol.

In the article, the MSM propagandist states such things as: 2017 has seen, according to his one time Goldman Sachs source, a «dramatic crash in [physical gold coin] demand,» that interest in gold coins is linked to «political conservatism, or anarcho - libertarianism» and «end of the world right wing sentiments,» that gold has been implicated in a «conspiracy to commit money laundering,» that gold is «financed by people in the narcotics trade,» that it comes from «illegal mines and drug dealers in Peru, Bolivia and Ecuador,» that «the federal authorities assume the NTR Metals [case] represented only a fraction of illegally sourced and financed gold,» that therefore the US attorney is broadly investigating the gold industry, that gold is «produced by exploited workers,» that «crude [gold] extraction techniques create serious and lasting environmental damage,» that gold plays an important part in «tax evasion,» that it is related to American gun sales, which the author abhors; that «drug dealers [use] gold imports as a way of laundering their proceeds,» and that «they came to realize that illegal gold [is] an intrinsically better business» than drug dealing; to name but a few of the aspersions cast against gold in the short article.

You can reduce the risk by only trading with reputable dealers but there have been a large number of cases where very reputable dealers have sold fake art, antiques etc..

Syndicate bid - A syndicate bid is a bid, which represents the highest price the syndicate member (member of a bank, brokerage, or investment bank) will pay for the securities trading on the National Association of Securities Dealers Automated Quotations (NASDAQ) exchange.

Even so, the specter of a trade war still looms over the agricultural sector, not just farmers, but also equipment dealers and banks in the Farm Belt.

Previously, Bobby was Vice President of Trading at SecondMarket where he helped create the first broker - dealer based institutional bitcoin tradinTrading at SecondMarket where he helped create the first broker - dealer based institutional bitcoin tradingtrading desk.

After moving into finance, Mr. Mock served with investment dealer Burns Fry (now BMO Nesbitt Burns), where he directed sales and trading staff in derivative products and held the firm's membership seat on the Chicago Board of Trade, among other exchanges.

Headquartered in London and New York, BGC Partners (NASDAQ: BGCP) provides a wide range of services including trade execution, broker - dealer services, clearing, processing, information and other back office services.

BGC provides a wide range of services, including trade execution, broker - dealer services, clearing, trade compression, post trade, information, and other services to a broad range of financial and non-financial institutions.

For universal banks such as GS, a lot of trading and other types of capital markets activity is conducted outside of the bank in the broker - dealer and is not captured by the FDIC data.

We conduct trillions of dollars annually in financial transactions for our customers, including the world's largest banks, broker - dealers, investment banks, trading firms, hedge funds, governments and investment firms.

The joint submission was made by the BC Chamber of Commerce, BC Hotels Association, Canadian Federation of Independent Businesses, Canadian Franchise Association, Canadian Home Builders Association, Canadian Manufacturers & Exporters, Greater Vancouver Board of Trade, Independent Contractors and Businesses Association, New Car Dealers Association of BC, Restaurants Canada, Retail Council of Canada, Tourism Industries Association of BC, and the Urban Development Institute.

Services such as public finance advisory services, securities underwriting, and securities sales and trading are provided by PNC Capital Markets LLC, a registered broker - dealer and member of FINRA and SIPC.

The tendency for dealers to trade the Australian dollar in line with commodity prices, themselves strongly correlated with US economic growth, may also have contributed to the link, although the correlation of the Australian dollar with the US dollar has been significantly higher than its correlation with commodity prices.

For example, if Bitcoin is not a currency, then Bitcoin forwards and Bitcoin swaps that involve the exchange of Bitcoin for another currency will not fall under the statutory definitions of the more lightly regulated foreign exchange forwards or foreign exchange swaps.10 Likewise, retail trading of Bitcoin derivatives will be limited to designated contract markets, rather than subject to the retail foreign exchange dealer regulations.11 Treating Bitcoin as a commodity that is not a currency dovetails with the stances taken by other U.S. regulators such as the Financial Crimes Enforcement Network (FinCEN)(virtual currency does not have all of the attributes of real currency) 12, the Securities and Exchange Commission (Bitcoin investments are investment contracts because Bitcoin is a form of money) 13 and the Internal Revenue Service (treating Bitcoin as property for tax purposes).14

Lykke has already obtained Vanuatu's Dealer in Securities license and claims to be exploring or in the process of becoming authorized as an EU broker, EU Electronic Money Institution, and UK Multilateral Trading Facility.

Our capital markets division — which is our largest U.S. business — was named as a primary dealer in the U.S. by the Federal Reserve Bank of New York, a significant vote of confidence in the health of our U.S. fixed income trading business and additional muscle to what is a leading global platform.

GATE believes the trading of unregistered securities is accomplished most effectively through a broker dealer, an ATS or an exchange registered with the SEC because such transactions provide the books and records and an audit trail that can be used for surveillance purposes.

Platforms and Exchanges for Tokenized Securities: Platforms that facilitate the exchange of security tokens could be subject to SEC regulations on securities exchanges, alternative trading systems (ATS), broker - dealers, transfer agents, and clearing agencies.

Dealers take risk trading to make money and keep the market moving; investors trade to, well, invest, and neither of those things is set to change.