Sentences with phrase «operated by the broker»
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.
https://www.sec.gov/
The office is being operated by broker / owner Brian Cullinan, a lifelong resident of Saint John and the current president of the city's real estate board.
HomeLife / Great Wall Realty Inc. is operated by broker / owner Chang Feng Liu.
Sutton Group Prince Edward County Realty Inc. will be operated by broker / owner Linda Middleton.
«It is also important to distinguish whether the site is an Amazon.com (ticker: AMZN) of real estate, wherein anyone who pays a fee can list their opportunities and no material due diligence has been conducted, or a website that is operated by broker - dealer or sponsors themselves,» he says.
The company, Coldwell Banker K. Miller Realty, is operated by broker / owner Jack...
Century 21 Vegreville is now serving the community of Vegreville, Alta., operated by broker / owner Gary Kuchik.
The company, Coldwell Banker K. Miller Realty, is operated by broker / owner Jack Huitema.
Not exact matches
According to the International Business Brokers Association, a company's value is determined by a compilation of factors such as sales, earnings, performance, market outlook, personnel, net book value, and the fair market replacement value of equivalent operating assets.
«As alleged, Ross William Ulbricht operated Silk Road — a global illegal cyber business designed to broker criminal transactions — protected by a presumed anonymity and motivated by profit.
This site is operated by SeedInvest Technology, LLC («SeedInvest»), which is not a registered broker - dealer.
Does RJFS agree its dually registered brokers, when operating through their RIA today, should abide by these principles?
Back in Novembr 2016 the trading brand, operated by Rodeler Ltd, became one of the first major brokers in the industry to use its own proprietary software and broadly widen the assets offered by the company.
For brokers to legally operate in the United States, they need to be fully licensed by either of the two main regulatory bodies.
24option is governed by all regulatory bodies available in all nations where the brokers operate in.
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.
The deal was brokered by Fortissimo's executive vice president, Sales and Acquisitions, Winnie Lau with Gaga chairman Tom Yoda and operating officer for acquisition Satomi Odake.
This consent order concerns deceptive advertisements published by My Travel North America subsidiaries that operate as airline ticket brokers, travel agents and Internet travel vendors.
It was fined by CySEC for violations of the conditions of its license, while Japan's FSA, and the Ontario Securities Commission warned the broker is not authorized to operate in the respective jurisdictions.
According to information presented to the court, Nassida owned and operated a mortgage broker business called Century III Home Equity (Century III), which assisted borrowers in obtaining loans collateralized by real estate.
The broker operates with full transparency and is at all times in compliance with all the regulatory requirements imposed by ASIC.
The combined retail forex client deposits of brokers operating in the US continues to slowly, but steadily stabilize, indicated the latest data provided by the US Commodity Futures...
All these terms are in fact used to describe the business model which the broker is operating by.
The STP model of brokerage, operated by ECN brokers, is accepted globally as the most transparent way to do forex trading.
Regulated brokers unlike their unregulated peers, operate within the strict confines of the regulations imposed by the regulatory authorities.
By now, most countries have their own regulatory bodies that control and issue licenses to binary options brokers operating in that particular countries.
As of 1 January, 2016, locally - based forex brokers are required to be licensed by the CBR in order to operate in the country.
You will also be responsible for the custodial fees and commissions charged by Interactive Brokers for operating the account.
Canadian provincial regulator British Columbia Securities Commission (BCSC) warned on Wednesday binary options brokers BSDOption, operated by Lybss Ltd. and owned by YDBM, and BinaryOnline are not authorized...
The broker's Cypriot branch is licensed and regulated by the Cyprus Securities and Exchange Commission (CySEC), which allows it to operate in all EU countries.
24option is governed by all regulatory bodies available in all nations where the brokers operate in.
Canada's British Columbia Securities Commission (BCSC) has become the latest regulatory body to issue a warning against forex broker Trade12, which is operated by Exo Capital Markets Ltd....
They operate ethically and are recognized by the online trading community as a broker with integrity.
The Program is a discretionary wrap - fee program sponsored and operated by our affiliate, Capital One Advisors, LLC («COA»), for which we serve as the executing broker - dealer.
VTB24 is one of the many forex brokers operating on the Russian market that is taking measures to contain the damage of the high market volatility by hiking margin requirements on GBP forex pairs and European indices.
The broker is based in the UK and regulated by the Financial Conduct Authority (FCA), but its subsidiaries are also regulated by the relevant authorities in the countries where they operate.
So depending on the interpretation of the law, it may possible for Binary Options brokerages and brokers offering only CFD's to continue operating in Russia without being licensed by an approved Self - regulatory Organisation.
Investors who buy index mutual funds through brokers are paying a steep «broker penalty» by being sold funds with much higher operating expense fees even before adding the distribution fees related to the cost of using the broker, according to a major new study by the Zero Alpha Group (ZAG) and Fund Democracy.
By requiring forex brokers, banks, institutional investors and support industries to operate within a set of rules as defined by the forex regulatory agencies, traders and investors can have the confidence to invest in the forex market and this promotes the growth of the industrBy requiring forex brokers, banks, institutional investors and support industries to operate within a set of rules as defined by the forex regulatory agencies, traders and investors can have the confidence to invest in the forex market and this promotes the growth of the industrby the forex regulatory agencies, traders and investors can have the confidence to invest in the forex market and this promotes the growth of the industry.
The bottom line for investors: The extra operating costs paid over time for broker - sold load index funds are triple those paid by investors in true no - load mutual funds.
With the regulatory oversight provided by CySEC, traders using Trade360 can feel secure, due to the fact that the broker is required to operate within certain guidelines.
GEB Invest, a brand owned and operated by GEB Global Equity Brokers (Belize) Ltd, is the latest member to seek the services of the Financial Commission and join a diverse range of existing online brokerages and independent services providers (ISPs) that are currently on its growing list of approved members.
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
Since this practice has been established as a trend, sports sponsorships, especially of popular sports celebrities, are still a preferred marketing strategy by brokers operating in the online retail forex and binary options business.
Because a hazard is a risk that an insurer may have to make a payment in the event of a claim under the policy, the cost of your policy is based on the risks incurred by each hazard covered as well of course as the operating costs of administering and selling your policy (and the agent or broker fees that go with this) and a profit margin for the insurer.
All three of them operate under an authority delegated by the Superintendent of Insurance to licence and regulate insurance agents, brokers, adjusters and agencies in the province of Saskatchewan.
«It is instructive to note that, for all the concerns now suddenly expressed by TREB about privacy laws and compliance with (the Real Estate Council of Ontario), TREB has made no attempt to enact or enforce rules to restrict traditional brokerages from providing, at their sole discretion, all information relating to historical solds, pending solds and other information that they would now propose to exclude from the data feed provided to member brokers who want to operate VOWs,» says the Competition Bureau complaint.
In this and other respects (described further below), VOW brokers operate more efficiently than traditional brokers who provide MLS information only by traditional methods, such as in a «bricks and mortar» environment.»
These include custom home building and various other development projects; owning / operating a number of Dairy Queen franchises (overseen by another brother, Larry Sturino); as well as general insurance (Sturino Associates Insurance Brokers is run by Ron Gillis, a business partner and resource).
«When the project is up and running, this innovative back - end technology, which boasts a single entry point and standardized data fields, will give brokers and agents greater control over data and its distribution, greatly improving how their businesses operate by reducing redundancies and saving time and money,» says Salomone.