Sentences with phrase «receive as broker»

This is one of the most common complaints we receive as broker / owners and / or broker / managers.

Not exact matches

Basically, under the Securities Exchange Act of 1934, any person who negotiates the sale of stock and receives a percentage of the transaction as payment must be a registered broker - dealer.

If you are a beneficial owner, you did not receive a Notice of Internet Availability directly from us, but your broker, bank or other intermediary forwarded you a notice with instructions on accessing our proxy materials and directing that organization how to vote your shares, as well as other options that may be available to you for receiving our proxy materials.

As a result, brokers who do not receive instructions from you as to how to vote on that matter generally may vote on that matter in their discretioAs a result, brokers who do not receive instructions from you as to how to vote on that matter generally may vote on that matter in their discretioas to how to vote on that matter generally may vote on that matter in their discretion.

If you are a beneficial owner of Shares and your Shares are held in street name as described above, you will be admitted to the 2015 Annual Shareholders» Meeting only if you present either a valid legal proxy from your bank, broker, or other nominee as to your Shares, the notice of internet availability of the proxy materials (if you received one), a voting instruction form that you received from your bank, broker, or other nominee (if you have not already completed and returned the voting instruction form), or a recent bank, brokerage, or other statement showing that you owned Shares as of the close of business on April 10, 2015.

As a result, brokers who do not receive instructions from you as to how to vote on that matter generally may vote your Shares on that matter in their discretioAs a result, brokers who do not receive instructions from you as to how to vote on that matter generally may vote your Shares on that matter in their discretioas to how to vote on that matter generally may vote your Shares on that matter in their discretion.

Most notably, it allows insurance agents or brokers to receive commissions, or other indirect compensation (e.g., 12b - 1 fees) that can vary based on the advice given, as long as the «Best Interest Contract» Exemption (BICE) applies.

Generally speaking, brokers and exchanges are not yet required to report cryptocurrency transactions to the I.R.S., as they do when you sell a stock at a profit or loss (and you receive a 1099 - B or a 1099 - DIV for a mutual fund).

It does not discuss all aspects of U.S. federal income taxation that may be relevant to particular holders in light of their particular circumstances or to holders subject to special rules under the Code (including, but not limited to, insurance companies, tax - exempt organizations, financial institutions, broker - dealers, partners in partnerships (or entities or arrangements treated as partnerships for U.S. federal income tax purposes) that hold HP Co. common stock, pass - through entities (or investors therein), traders in securities who elect to apply a mark - to - market method of accounting, stockholders who hold HP Co. common stock as part of a «hedge,» «straddle,» «conversion,» «synthetic security,» «integrated investment» or «constructive sale transaction,» individuals who receive HP Co. or Hewlett Packard Enterprise common stock upon the exercise of employee stock options or otherwise as compensation, holders who are liable for the alternative minimum tax or any holders who actually or constructively own 5 % or more of HP Co. common stock).

And we constantly receive confirmation of these qualities: just recently we have reported this broker becoming available on Binary Option Robot as well as signing a huge sponsorship deal with Irish UFC star Conor McGregor.

With over 50 premium alternative lending sources in our network, as a graduate of our commercial loan broker training course, you will receive a first - class partnership with our lenders.

During this stage, the business loan broker will go over the specifics of the financial agreement to ensure that the client fully understands what they are signing, how much funding they are receiving, as well as the payment terms and interest rates.

This means as soon as you sign up, you'll likely receive spam emails from brokers encourage you to buy their software or open an account with a broker.

An accredited investor that completes the process will receive a letter from SeedInvest's partner broker dealer certifying as to the investors accredited investor status as well as an electronic accredited investor badge.

This is because they are receiving the highest ROI from their investments as compared to other brokers in binary options trading.

As a result, Bank of America customers can receive extra perks by investing with the broker.

The disclosure came as Global Strategy Group agreed to pay $ 2 million to settle Attorney General Andrew Cuomo's inquiry into pension deals it helped broker, including a $ 15 - million investment received under DiNapoli's watch.

· All public officials who personally provide services whether they work individually or as a member or employee of a business or firm, such as lawyers and real estate brokers, and receives compensation from a client / customer in excess of $ 5,000 must disclose the name of the client / customer, the services rendered, the amount of compensation and whether the services were related to governmental action.

Tornillo's position as a political insider and power broker in the city will ensure his case receives the full attention of the Miami media.

The advantage of online brokers is obvious, as you may apply for, and receive a bad credit loan without setting your foot outside your front door.

You should receive this form (which may be printed as part of an annual report) from your mutual fund or broker in January or early February.

• information we may receive from reporting agencies, such as your credit history and creditworthiness, background information, and other entities not affiliated with GFF Brokers;

I'm not aware of any Canadian mechanism which would allow a dividend to be considered paid / taxable without: (1) you receiving cash; (2) you receiving additional shares [which particularly in Canada is just a foolish way to accelerate tax, essentially, and basically never happens]; or (3) your funds received by a broker being automatically reinvested on your behalf [this is really the same as «you receiving cash», but you never see the money before it's used to rebuy new shares].

If the stock goes up such that you've exhausted your buffer you'll receive what's known as a «margin call» where your broker either requires you to wire in more money or sell part or all of your position at a loss to avoid further losses.

Companies are allowed to provide «substitute» forms, which may be printed on the same page as other information you receive from your mutual fund or broker.

A few days ago, I received a form 5498 from my broker which indicated the contribution as going to her Roth IRA.

The business model of the broker is important as this will affect the kind of spreads that you will receive and whether the spread will be fixed or variable.

More often than not, distributors or brokers who assist investors in their financial planning do not promote direct plans as they thrive on the commissions they receive from the investors» money.

As a Virtual Brokers client, you can be confident you are receiving the best online trading commissions in Canada.

Users of Islamic accounts receive all other trading conditions as promoted for their broker's classic and premium account types.

receive all other trading conditions as promoted for their broker's classic and premium account types.

They have been chosen as the best Forex broker by readers of such publications as Shares and World Finance and have received much praise for their proprietary FOREXTrader Pro platform.

This makes it possible to pass the FSCO approved Mortgage Broker Education Program and receive the license to serve as a mortgage broker in Barrie and other cities in Ontario, Canada.

Because of these ambiguities, investors have no way to be certain the tax reports they receive from brokers are correct, even if the broker has implemented the rules as thoughtfully and accurately as possible.

As both mortgage bankers and mortgage brokers, our clients receive double benefits with one loan application.

You will be disclosing information directly to mortgage brokers as well as to ComparaSave.com if you choose to receive a mortgage quote from a mortgage broker or agent.

«Credit Services Organization» does not include any of the following: (i) a person authorized to make loans or extensions of credit under the laws of this State or the United States who is subject to regulation and supervision by this State or the United States, or a lender approved by the United States Secretary of Housing and Urban Development for participation in a mortgage insurance program under the National Housing Act (12 U.S.C. Section 1701 et seq.); (ii) a bank or savings and loan association whose deposits or accounts are eligible for insurance by the Federal Deposit Insurance Corporation or the Federal Savings and Loan Insurance Corporation, or a subsidiary of such a bank or savings and loan association; (iii) a credit union doing business in this State; (iv) a nonprofit organization exempt from taxation under Section 501 (c)(3) of the Internal Revenue Code of 1986, [FN1] provided that such organization does not charge or receive any money or other valuable consideration prior to or upon the execution of a contract or other agreement between the buyer and the nonprofit organization; (v) a person licensed as a real estate broker by this state if the person is acting within the course and scope of that license; (vi) a person licensed to practice law in this State acting within the course and scope of the person's practice as an attorney; (vii) a broker - dealer registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission acting within the course and scope of that regulation; (viii) a consumer reporting agency; and (ix) a residential mortgage loan broker or banker who is duly licensed under the Illinois Residential Mortgage License Act of 1987.

The broker said one of the most popular requests it has received was to be able to open more accounts of each type, as it makes trading more comfortable.

Also, TradeKing has won some great accolades from the personal finance community, having received the following awards and honors: Smart Money ranks TK as # 1 in customer service in 2008, the best discount broker in its annual Broker Survey of US Brokers (twice in a row!)

Many lenders receive calls and emails from Mortgage Brokers about the purchase plus improvements program this year as Alberta is leading the country on a national basis for the amount of money spent on home renovations.

They also received honourable mentions as the best in ease of use and overall independent broker.

The broker is sure they will receive payment from the bank as soon as the negotiated loan closes.

If you («Referring Friend») choose to refer our services to your friends (each, a «Referred Friend»), you may indicate in your communication to your Referred Friends that you will be eligible to receive a referral fee of $ 25 for each referral and + $ 50 bonus for every 3rd (third) referrals to Virtual Brokers by January 31, 2017, credited to your Virtual Brokers brokerage margin account as described below by March 31, 2017 and the account of the Referred Friend is activated and funded with at least $ 1,000 in net equity.

As a result, investors will receive an official tax statement from their broker detailing the type of income they have to report for tax purposes for the entire year and not for each distribution.

In Barron's 14th annual survey of Best Online Brokers early this year, TradeKing was awarded a four - star rating and received high marks for its options trading tools, as well as for its «Trader Network» (the TradeKing Online Community, one of the first in its kind) that enables investors to interact to share ideas, fixed income offerings, and its broad range of educational and research tools.

If you receive shares as a gift, your broker isn't required to adjust the basis for gift tax paid on the gift.

As well, you'll receive no guidance or investment advice while entering trades on a discount broker's website.

In the ordinary course of business, RBC may act as a market maker and broker in the publicly traded securities of the Company and / or Offeror and receive customary compensation, and may also actively trade securities of the Company and / or Offeror for our own account and the accounts of our customers, and, accordingly, RBC and its affiliates, may hold a long or short position in such securities.

(ASIC has received reports that this company is acting as a broker for Biomaxx Systems, Inc and claiming to be located in Cyprus) 25 Aphrodite St PO Box 26025 1666 Nicosia Cyprus Ph 1 8000 881 3202 Fax [phone]

2006 Morningstar comment on American Funds: «It has become clear that brokers at firms such as Edward Jones, Morgan Stanley, and others have sold funds because they have received kickbacks from fund firms to do so.