Sentences with phrase «restricts trading in a security»

Not exact matches

SecondMarket is the largest centralized marketplace and auction platform for illiquid assets, such as asset - backed securities, auction - rate securities, bankruptcy claims, collateralized debt obligations, limited partnership interests, private company stock, residential and commercial mortgage - backed securities, restricted securities and block trades in public companies, and whole loans.

The U.S. National Security Strategy notes that «China is gaining a strategic foothold in Europe» and calls for joint action with European allies to «contest China's unfair trade and economic practices and restrict its acquisition of sensitive technologies.»

The new guidance also restricts companies from trading in a firm's securities if they possess non-public information regarding cyber security attacks.

For example, in both cases, each purchaser in the ICO is prohibited from purchasing more than $ 2,500 worth of coins (unless detailed know - your - client and suitability reviews on the purchaser are conducted) and Impak and Tokenfunder are restricted from listing and trading their coins on any cryptocurrency exchange unless prior approval is obtained from their respective provincial securities regulators.

This condition is used for an exemption from Regulation M, which restricts the trading of an existing security by participants in a public offering of that security.

Clients may restrict any of the stocks or other securities traded in their account, but should note that any restrictions they place on their investments could affect the performance of their account leading it to perform differently, i.e., worse or better, than IB Asset Management's account managing the portfolio or other client accounts invested in the same portfolio.

A «private placement» is something directly negotiated between the issuer and a lender or group of lenders and is restricted in trading under securities law.

Yes, you are allowed to restrict trading in specific securities that you do not wish to own or trade.

The monthly fee set forth below is waived for customers who meet at least one of the following minimums: 1) maintain an average monthly balance of $ 5,000 or more in their account by the end of their second statement cycle; 2) set up and maintain a direct deposit of $ 200 or more per month (a combination of direct deposits totaling $ 200 does not satisfy this requirement); 3) maintain a combined average monthly balance of $ 50,000 or more in linked E * TRADE Securities, E * TRADE Bank, and employee stock plan accounts (including vested in - the - money options, stock option plan shares, ESPP shares, and released restricted stock); or 4) execute at least 30 stock or options trades during a calendar quarter in their E * TRADE Securities accounts.

This fee will be waived if the account holder 1) maintains an average monthly balance of $ 1,000 or more by the end of the second statement cycle, or 2) maintains at least $ 5,000 in combined E * TRADE Bank deposits by end of their second statement cycle, or 3) maintains a combined balance of $ 50,000 or more in linked E * TRADE Securities, E * TRADE Bank accounts, and employee stock plan accounts (including vested in - the - money options, stock option plan shares, ESPP shares, and released restricted stock), or executes at least 30 stock or options trades during a calendar quarter.

Waived for customers who meet at least one of the following minimums: 1) maintain a combined average monthly balance of $ 50,000 or more in linked E * TRADE Securities, E * TRADE Bank, and employee stock plan accounts (including vested in - the - money options, stock option plan shares, ESPP shares, and released restricted stock); 2) execute at least 30 stock or options trades during a calendar quarter in their E * TRADE Securities accounts; or 3) have a balance of at least $ 5,000 at the time the order is placed.

Waived for customers who maintain a combined balance of $ 50,000 or more in linked E * TRADE Securities, E * TRADE Bank, and employee stock plan accounts (including vested in - the - money options, stock option plan shares, ESPP shares, and released restricted stock); or who execute at least 30 stock or options trades during a calendar quarter in their E * TRADE Securities account.

It is also waived for customers who: 1) maintain an average monthly balance of $ 5,000 or more in total E * TRADE Bank deposits by the end of their second statement cycle; 2) maintain a combined average monthly balance of $ 50,000 or more in linked E * TRADE Securities, E * TRADE Bank, and employee stock plan accounts (including vested in - the - money options, stock plan shares, ESPP shares, and released restricted stock); or 3) execute at least 30 stock or option trades during a calendar quarter in linked E * TRADE Securities accounts.

The monthly fee is also waived for customers who: set up and maintain a direct deposit of $ 200 or more per month (a combination of direct deposits totaling $ 200 does not satisfy this requirement); or who maintain a combined balance of $ 50,000 or more in linked E * TRADE Securities, E * TRADE Bank, and employee stock plan accounts (including vested in - the - money options, stock option plan shares, ESPP shares, and released restricted stock); or who execute at least 30 stock or options trades during a calendar quarter in their E * TRADE Securities account.

The monthly fee is also waived for customers who: 1) set up and maintain a direct deposit of $ 200 or more per month (a combination of direct deposits totaling $ 200 does not satisfy this requirement); 2) maintain a combined average monthly balance of $ 50,000 or more in linked E * TRADE Securities, E * TRADE Bank, and employee stock plan accounts (including vested in - the - money options, stock option plan shares, ESPP shares, and released restricted stock); or 3) execute at least 30 stock or options trades during a calendar quarter in their E * TRADE Securities accounts.

Under Canadian securities laws, insiders of public companies such as officers and directors are generally restricted from trading in... [more]

The answer to the border problem does not lie in the development of «strategic bargains» to remove border - related impediments to trade... it is not clear that the Americans would ever be satisfied with sovereignty - restricting actions that we would take to boost security.