Sentences with phrase «register at a broker»

It can be good to contact a account manager before you register at a broker.

Not exact matches

You should also find out whether any broker you are considering working with is registered with Finra by calling the government's hotline at 800-289-9999 or usingBrokerCheck.

All securities are offered by North Capital Private Securities Corporation (NCPS), a registered broker - dealer, and member FINRA / SIPC, located at 623 E Fort Union, Suite 101, Salt Lake City, UT 84047.

All securities - related activity is conducted by SI Securities, LLC («SI Securities»), an affiliate of SeedInvest, and a registered broker - dealer, and member FINRA / SIPC, located at 116 W Houston, 6th Floor, New York, NY 10012.

It's unclear whether current popular cryptocurrency exchanges are willing to undergo the burden of registering as a broker - dealer and fulfilling the requirements of an ATS.

Additionally, blockchain asset management firm Templum and broker - dealer Liquid M Capital have also unveiled plans for a registered ATS that will facilitate ICO security token exchange and issuance.

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.

Clients in other brokers like Scotia iTrade and CIBC Investor's Edge are now reporting that US dollar dividends in registered accounts are converted into Canadian dollars at favourable rates.

A recent note from a reader prompts me to reprise the topic of forced foreign currency conversions in registered accounts such as RRSPs, TFSAs and RESPs at many discount brokers.

While they have been professionals at one time, since AverageJoe, Emilie and others are not currently a registered investment advisors or brokers, their opinions should be considered those of amateurs.

At least one of the following criteria must be met to be an accredited investor: (i) a buyer with a net worth individually or with a spouse of $ 1,000,000 or more; (ii) institutional investors including banks, insurance companies, registered broker / dealers, and large pensions plans; (iii) tax - exempt organizations with total assets in excess of $ 5,000,000; (iv); private business development companies; (vii) directors, officers, or general partners of the issuer; and (viii) entities owned entirely by accredited investors.

You can register for dividend reinvestment plans at no cost through most discount brokers (these are called «synthetic DRIPs»).

By now you will have registered with Titan Trade, the only broker with whom you can trade with at Quick Cash System.

To gain access to the trading platform at uBinary, it is a requirement by the broker that traders register for a trading account and verify their details.

This done, you will then register your trading account with a broker where you will post your initial deposit which is pegged at $ 500 as the minimum.

A loan officer must be registered at the loan officer's principal licensed work location and may then work from any licensed location of the loan broker.

Brokerage at the rate of Re1.00 (Rupee one only) per Rs. 100 will be paid to the brokers including PPF and UTI agents registered with the Receiving Office and also to authorized banks on the applications tendered by them on behalf of their clients and bearing their stamp.

Bard Malovany is a financial advisor who writes at Advice to Wealth, and he is also a registered representative of Lincoln Financial Advisors Corp., a broker - dealer.

If you hold a self - directed Registered Retirement Savings Plan (RRSP) account at a broker like TD Direct Investing or Scotia iTrade that still does not offer the ability to segregate USD - denominated securities held in RRSP accounts from securities denominated in Canadian Dollars, you are incurring a cost when dividends are paid into your account.

MELA or FAME Student Loan Revenue Bonds described in a Preliminary Official Statement may be offered, if at all, and may be sold, only by means of a final Official Statement provided by broker - dealers authorized and properly registered and licensed to make such offers and sales, and will be made only in accordance with applicable federal and state securities laws.

If all brokers offered some sort of wash trading even USD denominated registered accounts will be a bit of a non-starter at least for my investing needs.

Clients in other brokers like Scotia iTrade and CIBC Investor's Edge are now reporting that US dollar dividends in registered accounts are converted into Canadian dollars at favourable rates.

On two separate occasions the broker registered a mortgage against the matrimonial home of a client and his wife, at the request of the client.

SecondMarket is a registered broker - dealer and member of FINRA, MSRB and SIPC and a registered alternative trading system (ATS) for private company stock.

The statement warned exchanges that currently support unregistered securities trading that they must register with the SEC as a national securities exchange, an alternative trading system (ATS), or a broker - dealer.

We are registered to trade in real estate and must use an identifier such as: salesperson, sales representative, broker, broker of record at all times.

At press time, 240 mortgage broker affiliates were registered with the program.

Pursuant to an order of the bankruptcy court, the Auctioneer offered to pay a cooperating commission to «licensed brokers» who brought a prospect to the auction who purchased the Properties, so long as the following conditions were satisfied: the broker must accompany the prospect to the Properties» open house; execute a broker registration letter; accompany the prospect to the auction and register the prospect at the auction; and close escrow.

If the Registrar of Mortgage Brokers has provided you with a written confirmation of an exemption to challenge the course by writing the examination only, and you wish to register for the next regularly scheduled examination or at the CEC without purchasing a Challenge Package, you should:

(b) carry on business as a mortgage broker otherwise than in the person's registered name or elsewhere than at or from the person's registered address;

To register in the Broker's Business Planning and Financial Management Licensing Course, course candidates must have completed not less than six months» licensed service in British Columbia at the time of registration, or two years» licensed experience in the past five years as a broker or associate broker outside of British Columbia.

B. Individuals who are actively engaged in the real estate profession other than as sole proprietors, partners, corporate officers, or branch office managers, in order to qualify for REALTOR ® Membership, shall at the time of application, be associated either as an employee or as an independent contractor with a Designated REALTOR ® Member of the Association or a Designated REALTOR ® Member of another Association (if a Secondary Member) and maintain a current, valid Florida real estate broker's or salesperson's license or be licensed, registered, or certified by an appropriate state regulatory agency to engage in the appraisal of real property, shall complete, within sixty (60) days of making application, a course of instruction covering the Bylaws and Rules and Regulations of the Association, the Bylaws of the State Association, and the Constitution and Bylaws and Code of Ethics of the NATIONAL ASSOCIATION OF REALTORS ®, shall pass such reasonable and nondiscriminatory written examination thereon as may be required by the Board of Directors, and shall agree in writing or by electronic agreement that if elected to membership they will abide by the Code of Ethics of the NATIONAL ASSOCIATION OF REALTORS ®, and by the Constitution, Bylaws, and Rules and Regulations of the local Board, State Association, and the National Association.

If you register as an Real Estate Professional User, you represent, warrant, and agree that: (1) you are a licensed real estate broker, or licensed real estate agent, and if you are an agent user of the Elm Street Website, you have the permission of your managing broker to register as a Elm Street Real Estate Professional User; (2) you are a member, subscriber or participant in good standing of the Multiple Listing Service that supplies the real estate data and images displayed to you on the Elm Street Website («MLS»); (3) you will terminate your account status if, at any time, you are no longer a licensed real estate broker, or licensed real estate agent, and therefore, are no longer eligible to be a member, subscriber, or participant in good standing of the MLS; (4) you authorize Elm Street to send you emails relating to the Elm Street Website and your Elm Street account; and (5) you will defend, indemnify and hold harmless Elm Street, and its members, managers, subsidiaries, affiliates, officers, employees, agents, and other partners against any and all claims, damages, judgments, and expenses, including attorney» s fees and litigation costs or expenses, arising from your breach of the representations, warranties, duties or obligations made or assumed by you in this Agreement.

On two separate occasions the broker registered a mortgage against the matrimonial home of a client and his wife, at the request of the client.

Merv, at one point in your life were you a registered real estate agent» / broker?