Sentences with phrase «when brokerage firms»

MF Global was admitted to an exclusive club in February, when the brokerage firm run by former New Jersey governor Jon Corzine was handed primary dealer status.

In pursuing Mr. Corzine, who ran MF Global when the brokerage firm collapsed two years ago, the agency never offered to settle.

However, it is extremely bureaucratic to have access to the securities when a brokerage firm «goes bankrupt».

SIPC only protects the custody function of the broker dealer, which means that SIPC works to restore to customers their securities and cash that are in their accounts when the brokerage firm liquidation begins.

When the brokerage firm represents only one client in the same transaction (the seller or the buyer), it is called single agency.

Dual agency occurs when the brokerage firm represents the buyer and seller on the same transaction (even if different agents are involved).

Not exact matches

Charles M. Schwab — not related to Charles R. Schwab of brokerage - firm fame — became the president of Carnegie Steel in 1897 and later the first president of the US Steel Corporation when it was created.

One of my favorite scenes in the 2000 cult classic Boiler Room is when the Ben Affleck character informs a room full of brokerage firm trainees how to behave.

In the spring of 2000, I went into my local brokerage firm and said to these guys: ««Why did I only make 12 percent last year, when other people are making 40 percent.»

Swap Income: brokerage firms give investors swap interest when they have the short position with USD (sell USD).

Closing Fee - Some brokerage firms do not charge a fee when transferring out an account, but it is not uncommon to see fees around $ 50 - $ 75.

When you trade on the margin, you are borrowing cash from the brokerage firm to use in the stock market.

CFA and Americans for Financial Reform released a report on Wednesday, written by Hauptman and Barbara Roper, CFA's director of investor protection, which scrutinizes how brokerage firms and insurance companies market their services on their website and «contrasts the practices they use to attract customers with those they use when resisting regulation as fiduciary advisors.»

Investors have little way of knowing in advance when a sell - side brokerage firm will initiate coverage of a company, however, adding the risk that it may be a long time before other portfolio managers recognise a company and boost its shares.

Years ago, when I was running my own brokerage firm, an opportunity was presented for me to hire a gentleman who possessed a PhD.

To make things worse, most of the brokerage firms that understood the toxicity of these CDOs protected themselves by buying «credit default swaps», which were paid off when the loans defaulted.

We entered the commercial real estate market in 2011 when we acquired brokerage firm Newmark Knight Frank.

When he was in his early twenties, his tendency towards excess, success and prosperity as founder of the brokerage firm Stratton Oakmont meant he was nicknamed «The Wolf of Wall Street».

a commercial insurance and risk management brokerage firm, has noticed that when.

Out of the Clear Blue Sky (Unrated) 9/11 documentary examining the fallout of the terrorist attack on Cantor Fitzgerald, a brokerage firm which lost 658 of its 960 employees when one of the hijacked aircraft crashed into the World Trade Center's North Tower.

When an order is placed with a broker, the brokerage firm acts as an agent for the investor and uses the stock market system to purchase the stock for the investor.

Investors should also consider other factors, such as stability of the brokerage firm, investment strategy, and access to a live financial advisor, when evaluating a robo - advisor.

Closing Fee - Some brokerage firms do not charge a fee when transferring out an account, but it is not uncommon to see fees around $ 50 - $ 75.

When selecting a brokerage firm for your solo 401k, you want to select the firm that offers the most options.

The only catastrophic case I can think of is if the brokerage firm defrauded you about purchasing the assets in the first place; e.g., when you ostensibly put money into a mutual fund, they just pocketed it and displayed a fictitious purchase on their web site.

Most customers of failed brokerage firms when assets are missing from customer accounts are protected.

A one - time fee applied when the custodian of a limited partnership is changed from another brokerage firm to E * TRADE Securities.

Brokerage firms offer lots of choice and information when it comes to trading online.

Often, brokerage firms charge a commission when you buy or sell an ETF.

When you place an order to buy or sell a stock or exchange - traded fund (ETF), your brokerage firm sends it to a stock market.

While the trading volumes have increased, the firm's revenues have remained more or less consistent with EZTrader reporting $ 7.0 million for the quarter, a number that is lower than a year ago, when the binary options brokerage announced revenues totaling $ 7.1 million.

Assume that when XYZ first sells its bonds (through selected brokerage firms), you buy one of these brand - new bonds at par value.

When an individual investor picks a brokerage firm to buy stocks, any of the nationally recognized companies will satisfy their needs.

Your experience level and investing / trading needs are generally a good way to establish which additional features you will need to pay attention to most when selecting a discount brokerage firm.

One of the first places that retail investors look to when thinking about choosing a discount brokerage firm is commission pricing.

Some of the best short squeeze gains occur when panic - stricken buying and even forced buying occurs when shorts are automatically made to cover due to margin calls received by their brokerage firm.

When selecting the winners for Canada's Best Discount Brokerages, we started with data provided by Surviscor, a business analysis firm that regularly collects information from all major bBrokerages, we started with data provided by Surviscor, a business analysis firm that regularly collects information from all major brokeragesbrokerages.

You might want to eventually transfer your Roth IRA over to a brokerage firm like Charles Schwab or TD Ameritrade when you've accumulated quite a bit (thousands of dollars) in your Roth IRA.

Investment in the Money Market fund is covered by the Securities Investor Protection Corporation (SIPC), which protects customers of member firms when their stocks, money or other securities are stolen or put into jeopardy by the brokerage.

When you purchase securities, you may pay for the securities in full or you may borrow part of the purchase price from your brokerage firm.

You might want to eventually transfer your Roth IRA over to a brokerage firm like Charles Schwab or TD Ameritrade when you've accumulated quite a bit (thousands of dollars) in your Roth -LSB-...]

When an investor purchases an account on margin in the expectation that the share value will rise, or shorts a security on the expectation that share price will decline, and share prices go against the investor, the brokerage firm will send out a margin call requiring that the investor add additional funds or marketable securities to the account to protect the broker's loan.

When it comes to online brokerage firms, Scottrade is known for offering low priced trades and quality customer service.

Later through the year, Questrade would also raise its fees, but when the firm goes about making itself more personable online, it's something that the former «no fee» brokerage can pull off without the kind of backlash it has faced in the past.

When it comes to where to open an IRA account, you will have plenty of options, either mutual fund companies or brokerage firms.

When we dropped these two firms from the rankings, the distance between first and last narrowed substantially and the differences between the online brokerages became even less numerically significant.

Another option when buying mutual funds is to go to a fund «supermarket» — an investment or brokerage firm that gives you access to a wide variety of mutual funds.

When you trade on the margin, you are borrowing cash from the brokerage firm to use in the stock market.

However, they are now one of the higher priced online brokerage firms, which makes them middle of the pack when it comes to investing.

In the case above, it is highly unreasonable (although standard practice) for a brokerage firm to ask $ 450 to run a credit check when most mortgage companies charge less than $ 100 for the same service (some simply bill for the cost of the credit pull $ 12).