Sentences with phrase «trading in securities»

The risk of trading in securities markets can be substantial.

In certain circumstances, regulated exchanges are required by law to halt trading in security futures contracts.

Since you have an immediate goal for your deposit, consider avoiding high - risk financial activities such as trading in securities.

Volume is concerned simply with the total number of shares traded in a security or market during a specific period.

As mentioned earlier, this professional expertise of managing your money to invest and trade in securities comes at a cost.

Since trade in securities crosses provincial boundaries, international trade and commerce powers apply.

Because bonds are traded in the securities markets, there is always the chance that your bonds can lose favor and drop in price due to market risk.

Daily price limits and trading halts of the E-Mini S&P MidCap 400 Stock Price Index futures contract shall be coordinated with trading halts of the underlying stocks listed for trading in the securities markets.

«The Commission temporarily suspended trading in the securities of CIAU because of questions regarding the accuracy of assertions by CIAU in press releases to investors concerning, among other things, the activities of the company with respect to business plans in the telecommunications industry and plans for an Initial Coin Offering or ICO.»

«The Commission temporarily suspended trading in the securities of BITCF because of concerns regarding the accuracy and adequacy of publicly available information about the company including, among other things, the value of BITCF's assets and its capital structure.

A person or company that engages in the business of trading in securities in the capacity of an agent or principal and is a member of the IIROC.

The salient parts of the resulting OSC order [2](the «OSC Order») barred McLean from trading in securities for 5 years, and banned her from acting as an officer or director of certain entities registered under Ontario's Securities Act for 10 years.

The securities markets have circuit breakers that will halt trading in all securities for a period of time in the event of a severe market decline.

On or about the same day, CASPERSEN transferred $ 8 million from the Fake PHG Account to his brokerage account, in order to execute trades in securities for his own benefit, largely in SPY options.

The ISA statement further said, «The Authority's stance follows exceptional trading in the securities of companies on the TASE that have announced in recent months their intention of doing business in the cryptocurrencies sector.

«Specifically, their five minute duration completely restricts trading in a security even if contra - side liquidity has returned to the market.»

U.S. Attorney Preet Bharara said in a statement that Marcello Trebitsch, 37, of Brooklyn, told investors he would use their money to trade in securities through his investment fund and promised them double - digit returns with low risk.

The obligations are difficult to trade, partially because there are few who traffic in the securities, and there is often little trading in the securities to validate the pricing levels that the hedge fund use to calculate their valuations each evening.

The brokerage trading platform utilizes the same innovative technology as the Company's market making business, which specializes in routing orders and executing and processing trades in securities, futures, foreign exchange instruments, bonds and funds on more than 100 electronic exchanges and trading venues around the world.

The Alberta Securities Commission then proceeded administratively against Brosseau, seeking an order that he cease trading in securities.

Andrew and Rebecca's insights from their January 29 piece «Insider Trading and Tipping: Ontario Court of Appeal Helps Set Limits» included in the article speak to the cautionary implications of Finkelstein, saying the ruling «serves as a warning to anyone trading in securities to make reasonable inquiries before using a tip.»

«Gowlings has clear policies and programs in place to ensure our professionals understand their responsibilities when trading in securities and act accordingly,» wrote Erinn Steringa, marketing communications manager for Gowlings, in a statement.

You and I have previously discussed how there is a barrier to securities law for people of color, because many of us grow up in families that do not actively trade in securities, or perhaps are not even familiar with the stock market.

There must be a sufficient proximate connection between the act and the trade or anticipated trade in securities.

Jeremy Peers was charged with thirty - three offences under s. 194 of the Alberta Securities Act, including unregistered trading in securities, non-compliance with prospectus disclosure obligations, misrepresentation, and fraudulent use of investor funds.

Yesterday, the Canadian Securities Exchange, reviewed their intent to commence trading in security tokens later in 2018.

Daily price limits and trading halts of the E-Mini S&P SmallCap 600 Index futures contract shall be coordinated with trading halts of the underlying securities listed for trading in the securities markets.

An investment dealer or a duly registered individual that is registered to trade in securities in the capacity of an agent or principal and is a member of a Self - Regulatory Organization.

55 The provisions in question are designed to disqualify from trading in securities those persons whom the Commission finds to have committed acts which call into question their business integrity.

Daily price limits and trading halts of the CBOT DJIA Index ($ 10 Multiplier) futures contract shall be coordinated with trading halts of the underlying stocks listed for trading in the securities markets.

The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above - listed company,» the SEC said.

Under the TSX Market Maker system, this firm helps to establish a fair and orderly market for trading in that security.

If granted, the MCTO should not affect the ability of other shareholders to trade in the securities of the company.

In connection with this anticipated delay, the company will apply for a customary management cease trade order (the «MCTO») relating to the trading in securities of the company by the company's CEO and CFO and each other member of the company's board of directors from the Autorité des marchés financiers, the company's principal regulator in Canada.

EDIT: It was System Disruption or Malfunctions August 24, 2015 2:12 PM EDT Pursuant to Rule 11890 (b) NASDAQ, on its own motion, in conjunction with BATS, and FINRA has determined to cancel all trades in security Blackrock Capital Investment.

Daily price limits and trading halts of the Nasdaq 100 Index futures contract shall be coordinated with trading halts of the underlying stocks listed for trading in the securities markets.

The reason, according to the IFSC, is non-compliance to some conditions of the annex attached to the license granted for trading in securities.

Without this, you will not be able to trade in the securities market.

When the circuit breaker trips, trading in the security — or potentially the entire market — is halted for a period of time.

This means that only «sophisticated investors» may purchase or trade in these securities.

Daily price limits and trading halts of the S&P 500 Stock Price Index futures contract shall be coordinated with trading halts of the underlying stocks listed for trading in the securities markets.