Sentences with phrase «securities trade transactions»

Not exact matches

The security breach comes two months after Bitfinex was ordered to pay a $ 75,000 fine by the U.S. Commodity and Futures Trading Commission in part for offering illegal off - exchange financed commodity transactions in bitcoin and other digital currencies.

In a joint op - ed in the New York Times, Swensen, a former Wall Streeter, and Jonathan Macey, a professor of securities law at Yale, said trades are supposed to be executed on the exchange that offers the lowest price and quickest transaction time.

Futures industry participants, including major banks that clear securities transactions, have warned about the risks to the system if the bitcoin price collapses and people trading bitcoin futures get hit with margin calls.

Clinton's HFT tax would target securities transactions with excessive levels of order cancellations, which her campaign said unnecessarily burdens markets and enables unfair and abusive trading strategies.

The Personal Trading Compliance Program requires designated employees to report to the Ethics office personal accounts capable of trading securities and to confirm the permissibility of a transaction prior to executing the transTrading Compliance Program requires designated employees to report to the Ethics office personal accounts capable of trading securities and to confirm the permissibility of a transaction prior to executing the transtrading securities and to confirm the permissibility of a transaction prior to executing the transaction.

The transaction leaves the size of the SOMA securities portfolio unchanged but shifts some of the liabilities on the Fed's balance sheet from bank reserves to reverse repos while the trade is outstanding.

The term «spike» also refers to a trade confirmation, which is the written record of a security transaction.

Tesla has an insider trading policy that prohibits all of our directors, officers and employees from, among other things, engaging in short sales, hedging of stock ownership positions, and transactions involving derivative securities relating to Tesla's common stock.

The CLC paper calls on Canada to play a role in creating a co-ordinated international response to the crisis that features re-regulation of both local and cross-border transactions and the imposition of a small transaction tax on all securities trading, including commodity futures.

For example, trading securities in fixed income markets typically incurs much higher transaction costs than equity markets.

The information we collect and maintain about you is provided during the course of your entering into transactions with private issuers who have engaged Genesis to provide certain services in the context of a private securities, digital currency or other financial asset transaction or trading through Genesis.

Given the absence of a public trading market of our common stock, and in accordance with the American Institute of Certified Public Accountants Accounting and Valuation Guide, Valuation of Privately - Held Company Equity Securities Issued as Compensation, our board of directors exercised reasonable judgment and considered numerous and subjective factors to determine the best estimate of fair value of our common stock, including independent third - party valuations of our common stock; the prices at which we sold shares of our convertible preferred stock to outside investors in arms - length transactions; the rights, preferences, and privileges of our convertible preferred stock relative to those of our common stock; our operating results, financial position, and capital resources; current business conditions and projections; the lack of marketability of our common stock; the hiring of key personnel and the experience of our management; the introduction of new products; our stage of development and material risks related to our business; the fact that the option grants involve illiquid securities in a private company; the likelihood of achieving a liquidity event, such as an initial public offering or a sale of our company given the prevailing market conditions and the nature and history of our business; industry trends and competitive environment; trends in consumer spending, including consumer confidence; and overall economic indicators, including gross domestic product, employment, inflation and interest rates, and the general economiSecurities Issued as Compensation, our board of directors exercised reasonable judgment and considered numerous and subjective factors to determine the best estimate of fair value of our common stock, including independent third - party valuations of our common stock; the prices at which we sold shares of our convertible preferred stock to outside investors in arms - length transactions; the rights, preferences, and privileges of our convertible preferred stock relative to those of our common stock; our operating results, financial position, and capital resources; current business conditions and projections; the lack of marketability of our common stock; the hiring of key personnel and the experience of our management; the introduction of new products; our stage of development and material risks related to our business; the fact that the option grants involve illiquid securities in a private company; the likelihood of achieving a liquidity event, such as an initial public offering or a sale of our company given the prevailing market conditions and the nature and history of our business; industry trends and competitive environment; trends in consumer spending, including consumer confidence; and overall economic indicators, including gross domestic product, employment, inflation and interest rates, and the general economisecurities in a private company; the likelihood of achieving a liquidity event, such as an initial public offering or a sale of our company given the prevailing market conditions and the nature and history of our business; industry trends and competitive environment; trends in consumer spending, including consumer confidence; and overall economic indicators, including gross domestic product, employment, inflation and interest rates, and the general economic outlook.

Higher transaction costs Due to a typically large spread between bid and offer prices, and higher transaction costs associated with less liquid securities, trading high yield bonds can be costly.

the Trade Reporting and Compliance Engine (TRACE) is the FINRA developed vehicle that facilitates the mandatory reporting of over the counter secondary market transactions in eligible fixed income securities

For all securities, see the Fidelity commission schedule for trading commission and transaction fee details.

He represents issuers and underwriters in public and private initial and follow - on offerings of equity and debt securities, banks and hedge funds in secondary market par and distressed debt trading, and sponsors of and liquidity providers to securitization vehicles in connection with transactions and regulation applicable to their activities.

The additional factors considered when determining any changes in fair value between the most recent valuation report and the grant dates included, when available, the prices paid in recent transactions involving our equity securities, as well as our operating and financial performance, current industry conditions and the market performance of comparable publicly traded companies.

The actual amount transferred may differ from the agreed - upon dollar amount of the transaction as a result of: the allowable delivery variance of + / - 0.01 %, in accordance with the Securities Industry and Financial Markets Association's Good Delivery Guidelines for To - Be-Announced (TBA) trading of agency MBS; periodic net settlement of purchases and sales; principal paydowns; and accrued interest.

To ensure a safe trading environment and to avoid potential 51 % attacks and transaction malleability, there will be increased security verifications when depositing BCC.

On Monday, the Securities and Exchange Commission halted its shares, which trade on over-the-counter markets in the U.S., over «potentially manipulative transactions» and concerns about the «identity of the persons in control.»

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.

If neither of those means is available, you should contact our clearing firm, Pershing LLC («Pershing»), at www.pershing.com for instructions on how it may assist you with prompt access to your funds and securities, enter orders and process other trade - related, cash and security transfer transactions.

When trading an ETF, you're essentially trading a bundle of securities — not just a few here and a few there — in one transaction.

If you cancel, any property traded in, any payments made by you under the contract or sale, and any negotiable instrument executed by you will be returned within ten business days following receipt by the seller of your cancellation notice, and any security interest arising out of the transaction will be canceled.

A 2009 report from the Office of Fair Trading in the UK found that 1 in 3 people were still not making online transactions, with a lack of trust in security of their online data listed as the main reason.

In short, regardless of how one measures these costs, it is clear that the Fund's transactions did not have significant impact on the securities traded by the Fund.

Accelerated Cost Recovery System (ACRS) Acceptance, Waiver, and Consent Procedure Account Guarantee Acknowledgment Accredited investor Accretion Accumulation period Accumulation units Acid test ratio ACRS Actively traded securities Additional bond test Additional takedown Adjustment bonds ADR Ad valorem taxes Advance / decline ratio Advertising Adviser's client account Affiliated Persons Affirmative defense Affirmative determination Agency sales ticket Agency transaction Agent Aggregate indebtedness Agreement among underwriters Agreement of limited partnership Aggregate exercise price Alpha All - or - none All - or - none underwriting Alternative minimum tax Alternative orders Alternative trading system American Depository Receipt American Stock Exchange (AMEX) American - style options AMTI Amortization Annual report Annuity Annuity units Anti-dilution clause AON Arbitrage Arbitration Asked price Asset Asset allocation Asset class Assignment Assistant Representative - Order Processing Associated persons ATS At - the - close order At - the - money At - the - opening order At - risk rule Auction market Auditor's report Automated Confirmation Transatransaction Agent Aggregate indebtedness Agreement among underwriters Agreement of limited partnership Aggregate exercise price Alpha All - or - none All - or - none underwriting Alternative minimum tax Alternative orders Alternative trading system American Depository Receipt American Stock Exchange (AMEX) American - style options AMTI Amortization Annual report Annuity Annuity units Anti-dilution clause AON Arbitrage Arbitration Asked price Asset Asset allocation Asset class Assignment Assistant Representative - Order Processing Associated persons ATS At - the - close order At - the - money At - the - opening order At - risk rule Auction market Auditor's report Automated Confirmation TransactionTransaction (ACT)

Automated Confirmation Transaction (ACT): A computer system that matches trade information, determines locked - in trades, and submits them to clearing through the National Securities Clearing Corporation (NSCC).

Parity Parity price Participating preferred stock Participating (semi-fixed) Trusts Partnership Par value Passive income Pass - through security Payment date P / E ratio Penny stocks PHA Bonds Phantom income Pink sheets Placement Ratio Plan completion life insurance PN Point Portfolio income Position limits Positions book Pot Power of attorney Pre-dispute arbitration clause Preemptive right Preferred stock Preliminary prospectus Preliminary study Preliminary statement Premium Pre-refunding Pre-sale order Price to Earnings ratio Primary distribution Primary market Prime rate Principal Principal stockholder Principal transactions Private placement Private placement memorandum Private securities transaction Proceeds sale Production purchase program Profile Profit - sharing plans Program trading Progressive tax Project note Prospectus Prospectus delivery period Proxy Prudent Man Rule Public float value Public Housing Authority Bonds Public Offering Public offering price Purchaser's representative Put bond Put option Put spread

The Fed influences where Fed funds trades through open market operations, where they lower the Fed funds rate by increasing the supply of reserves to the system through temporary repurchase transactions, and outright purchases of securities through the creation of new credit, thus expanding its balance sheet (a permanent injection of liquidity).

Groups of up to 30 securities are put together by a staff member — there are nearly 100 motifs to choose from and you can trade them for just $ 9.95 each, quite low fees for that kind of transaction.

Brokerage: ETS may receive transaction - based compensation in the form of commissions for effecting securities transactions (i.e. the purchase and sale of stocks, bonds, ETF shares, closed - end fund shares, and traded options)(not applicable to ETCM accounts).

For ETS accounts, commission charges for transactions will be established based on a number of factors such as trading activity, type of security, transaction size, market conditions, and overall relationship.

E * TRADE Securities may act as principal or agent on any bond transaction.

For all securities, see the Fidelity commission schedule for trading commission and transaction fee details.

In addition to your regular commission, a separate transaction fee (equal to the principal amount x 0.00001300) will apply to the sale of all equities, options, and exchange - traded fund (ETF) securities.

The fees charged by E * TRADE related to a transaction for the account of Customer are designed to offset third - party fees generally charged to E * TRADE in respect of such transactions, including without limitation any regulatory or transaction fee or tax, market center fee, clearing house fee or depository fee, assessed by any regulatory authority, self - regulatory organization, market center, clearing house, clearing agency or depository, including without limitation the SEC, FINRA, any national securities exchange or other market center, DTC and NSCC.

In the end, dividend - capture strategies may have appeal for securities dealers or brokers who are executing huge trades with very low transaction costs.

the Trade Reporting and Compliance Engine (TRACE) is the FINRA - developed vehicle that facilitates the mandatory reporting of over the counter secondary market transactions in eligible fixed income securities; all broker / dealers who are FINRA member firms have an obligation to report transactions in corporate bonds to TRACE under an SEC approved set of rules

To discourage short - term trading, E * TRADE Securities will charge an Early Redemption Fee of $ 49.99 on redemptions or exchanges of no - load, no transaction fee funds that are held less than 90 days.

E * TRADE Securities may act as principal or agent on any fixed - income transaction.

Keep in mind that transactions involving publicly traded securities take place on the settlement date, which is generally three business days after the trading date in the case of Canadian stock exchanges.

To discourage short - term trading, E * TRADE Securities will charge an Early Redemption Fee of $ 49.99 on redemptions or exchanges of no - load, no - transaction - fee funds that are held for less than 90 days.

For maximum security for your transactions, access online trading from the most current public, non-beta release of Microsoft Internet Explorer browser

Investing in emerging markets may involve greater risks than investing in developed countries, including the possibility of industry concentration, nationalization, taxes and transaction costs, lower trading volumes, and less liquid securities, resulting in higher volatility.

For municipal bonds, transaction price data and daily summary of trading activity can be obtained from the Municipal Securities Rulemaking Board's Electronic Municipal Market Access portal at http://emma.msrb.org.

Annuities Auction Rate Securities Business Development Companies Callable Security Lotteries at Baird Certificate of Deposit Disclosure Closed End Funds and UITs Exchange Traded Products Fixed - Income Securities Featuring a Survivor's Option (or «Death Put») Foreign Transaction Taxes Fund of Hedge Funds Hedge Funds Investing in Bonds Investment Managers» Placement of Client Trade Orders and Their «Trade Away» Practices IPOs Leveraged and Inverse Funds Managed Futures MLPs MLPs - The Taxation of Master Limited Partnerships FAQs Municipal Bonds Mutual Funds Disclosure Non-Exchange Traded Equity Securities Non-Rated, Split - Rated, and Below Investment Grade Securities Private Equity Funds REITs Rollover IRAs Securities in the Lowest Investment Grade Category Structured Products Variable Rate Demand Notes

Dear Anup, STT, or Securities Transaction Tax, is a tax levied on securitiSecurities Transaction Tax, is a tax levied on securitiessecurities trades.

The execution of a trade for a security is a transaction between two parties: a buyer and a seller.

This strategy may be of interest to some investors, including security investors or brokers who execute major trades with very low transaction fees.