Sentences with phrase «riskless transaction»

RAN Random walk theory Real Estate Investment Trust Real Estate Mortgage Investment Conduit Reallowance Recession Record date Recourse loan Recovery Redeemable security Redemption fee Redemption price Red Herring Reference security Refunding Regional exchanges Registered bond Registered Options Principal Registered Options Trader Registered representative Registrar Registration Regressive tax Regular way settlement Regulated investment companies Regulation A offerings Regulation D Regulation M Regulation S Regulation T Regulation U REIT REMIC Re-offering scale Representative Repurchase agreement Reserve requirements Resistance Restricted account Restricted securities Retention Revenue Anticipation Note Revenue bond Reverse split Reversionary working interest Rights Rights of accumulation Rights offering Riskless transaction Rollover Rollup of a DPP ROP ROT Roth IRA Round lot Royalty Rule 134 Communication Rule 144 Rule 144 A Rule 147 Rules of Fair Practice

Riskless transaction: A transaction by a broker / dealer who, upon a customer's request, buys a security for its own account first, then sells it to the customer as a dealer, and charges a markup.

Not exact matches

Debt security transactions are handled on a riskless principal or agency basis, depending on the size of the transaction, length of maturity and market liquidity.

Purchases and sales of securities on a stock exchange or certain riskless principal transactions placed on NASDAQ are typically effected through brokers who charge a commission for their services.