Sentences with phrase «result in the broker»

Why this is important: A responsible broker should not contravene any regulation that restricts payment for order flow, or hide behind any opaque undisclosed third party relationships which effectively result in the broker indirectly profiting from position taking based on its clients trading activity.

Not exact matches

In April, the OSC filed a statement of allegations against Home Capital, accusing it of failing to disclose the results of its investigation into brokers for months.

The results of that choice speak for themselves: Schaefer is now processing the most mortgages of any broker in Manitoba, about 35 a month, and is ranked 19th in Canada for overall volume.

As a result, some brokers were representing insurance policies in certain states without the proper licenses, it disclosed.

In tabulating the voting result for any particular proposal, shares that constitute broker non-votes are not considered voting power present with respect to that proposal.

If you hold your Salesforce common stock through a broker, the broker may be prevented from voting shares held in your brokerage account if you have not given the broker voting instructions with respect to your shares (resulting in what is referred to as a «broker non-vote»).

Many clients come from traditional brokers like Merrill Lynch, Raymond James, or Edward Jones who are paying more in fees and are not satisfied with the results or their service.

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 discretion.

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 discretion.

FBS is also working on providing MLSs and brokers with an easy way to compare license terms among the portals to allow the former to assess which portals provide the most value with the least risk, and also to create competition that will result in better offerings for brokers, Wurzer said.

Therefore, if your Shares are not registered in your name and you do not provide instructions to the record holder of your Shares regarding these proposals, a broker non-vote as to your Shares will result with respect to these proposals.

Other leveraged entities, such as banks and brokers, have shown little obvious sign of stress resulting from the developments in equity markets.

Typically, the sponsor of a public non-traded REIT has an in - house dealer - manager that is responsible for marketing shares to FINRA - licensed broker - dealers and SEC - regulated investment advisors, which results in substantial fees.

«RBC is the bank of choice for correspondent banks with offices in Canada as a result of our ability to offer clients access to RBC's solid infrastructure and branch network as well as the knowledge and understanding of foreign markets, technical expertise and strong client focus provided by our Banks, Brokers and Exchanges team.

Since kickbacks result in worse trade execution, brokers that route client orders for kickbacks violate their duty of best execution.

Independent broker - dealer says it has added $ 70.2 billion in net new assets as a result of the acquisition.

As a result of changes adopted by the NYSE to its broker voting rules, including changes mandated by the Dodd - Frank Act in connection with stockholder votes on executive compensation matters, the NYSE does not consider the election of directors (Item 1), the advisory resolution regarding named executives» compensation (Item 2), and the advisory proposal on the frequency of future advisory votes regarding named executives» compensation (Item 3) to be routine.

This turbulent year brought many game changers and memorable events such as binary options broker partnerships with other companies and sports stars, great promotions, top brokers acquisitions, amazing trading results fro some of our top recommended brokers, improvement in security and much more.

Therefore, signing up with a broker that does not take responsible measures to protect its traders» funds is only going to result in losses.

This may include, but is not limited to, the misuse of client orders, positions and other information, along with the increase in the amount of risk on the balance sheet that could result in a lack of security of client funds if the broker were to fail.

Clients should be aware of the possibility that aggregate client gains, if hedged by the broker against a risky counterparty, could result in a lack of security of client funds if the broker were to fail as a result of a counterparty failing to honour the financial commitments of the hedge trade.

While it is not illegal for any listed Binary Options brokerage to trade with US traders, any disputes that may arise between brokers and traders will have to be legally resolved only in the US which usually leads to substantial costs to the broker, possibly resulting in hefty fines and / or penalties.

Even though the lack of regulation has resulted in few originating brokers in the Singapore, it opens up a plethora of choices for the citizens as they can select any international binary broker.

With a $ 5 stock, you would need 1200 shares on a $ 6,000 position (resulting in $ 24 round trip at a broker like Interactive Brokers that charges 1 cent per share).

For example, whether legal or not, it would generally not be ethical for a bank or broker to front - run the orders of its customers if doing so resulted in the customers getting a worse price.

The proposed new rule mainly targets the cases where conflicts of interest can arise, resulting in investments being chosen that are not necessarily the best choice for participants, but result in the greatest revenue for the broker.

Qurrex is designed to meet the challenges of the dramatic appreciation of cryptocurrencies resulting in increasing demand from brokers and institutional investors.

«Many large broker - dealers in the wealth management industry don't really know how to deal with different fee models, and as a result may fall behind, giving independent advisors who have more flexibility in their pricing model an advantage,» Micciche said.

Actually, BDSwiss is recognized for its high degree of stability, which resulted in a large database of clients who are still pleased with the broker's assistance and unique features.

Considering the quality level of their assistance and the top notch trading conditions their offer, it is not surprising that this broker reaches incredible results in terms of popularity.

As a result, the number of products or stock keeping units has exploded since 2005, from 250 to 1800, according to broker CIMB, and its prices in store are roughly 50 per cent higher than those of Pepsi / Schweppes, a major obstacle in the youth market.

But state GOP Chairman Ed Cox and Senate Majority Leader Dean Skelos intervened and brokered a deal that resulted in the candidacy — and eventual victory — of Rep. Bob Turner, who had run against former Rep. Anthony Weiner in the district in 2010.

ALBANY — A «seismic shift» away from Assembly Speaker Sheldon Silver, the longtime Democratic power broker in the Legislature, is expected as a result of Andrew Cuomo's announcement that he's running for governor, sources have told The Post.

However, the result was a hung parliament, in which the number of Conservative seats fell from 330 to 317, prompting her to broker a confidence and supply deal with Northern Ireland's Democratic Unionist Party (DUP) to support her minority government.

The feds» investigation of the then - Brooklyn assemblyman and Democratic power broker stretched for more than five years from 2007, but resulted in no charges.

For years, dysfunction and real estate power brokers have prevented Albany from strengthening tenant protections in New York, and the result of these failures has been devastating for our neighborhoods: we continue to suffer from record homelessness and increasing displacement across the state.

Yesterday evening, Quinn's camp announced that the Council speaker had brokered a compromise on «paid sick time» legislation, resulting in a bill that will require some New York City businesses to provide a small number of paid sick days to their employees.

The intense scrutiny for a seemingly obscure seat is the result of a fragile deal that was recently brokered in which a group of breakaway Democrats who had long shared power with Senate Republicans agreed to return to the Democratic fold.

With the results of the current study in hand, Snyder has brokered a deal between that company and the National Institute on Drug Abuse (NIDA) for NIDA to test CGP3466B as a treatment for cocaine addiction.

Any results that are reported to constitute a blinded, independent validation of a statistical model (or mathematical classifier or predictor) must be accompanied by a detailed explanation that includes: 1) specification of the exact «locked down» form of the model, including all data processing steps, algorithm for calculating the model output, and any cutpoints that might be applied to the model output for final classification, 2) date on which the model or predictor was fully locked down in exactly the form described, 3) name of the individual (s) who maintained the blinded data and oversaw the evaluation (e.g., honest broker), 4) statement of assurance that no modifications, additions, or exclusion were made to the validation data set from the point at which the model was locked down and that neither the validation data nor any subset of it had ever been used to assess or refine the model being tested

Just as a major sale to car broker Julia Bonet looks like it will save the business, a disastrous, unsanctioned race results in Dino framing Tobey for manslaughter.

While far from a terrible film, it was the result of forced creativity due to a deal brokered by Wan and Whannel with their agents in case Saw was a flop.

De Klerk brokered the end of apartheid, South Africa's racial segregation policy, and supported the transformation of South Africa into a multi-racial democracy by entering into the negotiations that resulted in all citizens, including the country's black majority, having equal voting and other rights.

As a result of the walk - ins, by a united coalition of parents, educators and students, the power brokers are backing off.

The limited nature of the sponsor pool, together with an inefficient (and competitively stagnant) brokering system for matching schools in need of assistance with viable sponsors, have also resulted in the untenable situation in which almost half of the sponsored academies that have had an inspection post-intervention are themselves rated «inadequate» or «requiring improvement».

Students walked out, and PULSE filed a Title VI discrimination complaint with the department of Justice — a complaint that was investigated and led to a brokered settlement in 2015 under which Newark Public Schools agreed to repair the harm caused to students as a result of the school closures and charter conversions.

In contrast, conventional mortgage brokers and lenders add a markup to the wholesale prices, and quote the resulting «retail prices» to customers.

Working with a professional broker is important in determining investment needs for the best possible trading results.

The broker - dealers in our extensive network compete against each other to sell us securities, resulting in the best possible price for you.

23 — Reward (result)-- reward in account currency is based on the actual position size allowed in your broker's platform.