Trading Only definition

Trading Only category shall mean that a securities broker can only execute its proprietary trades and trades on behalf of its customers but cannot settle executed trades or keep custody of securities or money owned by it and its customers.
Sample 1Sample 2Sample 3
Trading Only category shall mean that a securities broker can only execute its proprietary trades and trades on behalf of its customers but cannot settle executed trades or keep custody of securities.
Sample 1Sample 2Sample 3

Examples of Trading Only in a sentence

  • Issuers seeking admission to Admission to Trading Only should have regard to Schedule 6.

  • Fee Type Transaction MaturityTrading and Clearing Trading Only Clearing Only Per million notional fee0 to 2 years0.030.010.022 to 5 years0.060.020.045 to 10 years0.090.030.0610 to 30 years0.150.050.130+ years0.240.080.16Minimum annual feeUSD 100,000USD 50,000USD 50,000 Per lot and per million notional fees are invoiced and payable quarterly, in arrears, based on the total cleared / traded volume of each licensed product.

  • Issuers seeking admission to Admission to Trading Only should have regard to Schedule 6 Prior to admission, new applicants who are applying for admission to trading must submit the appropriate forms within the timeframe set out in the Standards.

  • Product Category Electronic Trading Only Standard customer rates Product Category Electronic Trading OnlyStandard customer rates This table is not a comprehensive list of CME products; for products that do not qualify for CBIP discounts and are not included above, consult the complete CME Fee Table online (link above).

  • The key features of DLC Markets are: Direct Bilateral Trading Only trade with the counterparties you select.Customizable Market Parameters Tailor market parameters and margin rules to fit your unique trading needs in this nascent market.Trustless Margin Management No more counterparty risk.

  • Here are the core features that make Matrix Exchange stand out: 1- Spot Trading Only: Matrix Exchange exclusively offers spot trading, providing users with a straightforward and intuitive trading experience.

  • Futures Contracts Listed for Trading Only on NYMEX ClearPortsmTrading and also Listed for Clearing of Off-Exchange Transactions Through NYMEX CleartPortsm ClearingCash-Settled Crude Oil and Crude ProductsNet Futures or Futures- Equivalent PositionAccountability Levels WTI Calendar Note: For purposes of this rule, positions in this contract are aggregated with positions in the Light Sweet Crude Oil contract as indicated in Subsection I.

  • ParticularsName of party(ies) concerned : Company No./NRIC No. : Address/Registered address : (d) We do solemnly declare that pursuant to the foreign exchange control regulations imposed by the Bank Negara Malaysia (BNM) (Applicable for Cross Border Trading Only) We do not have domestic Ringgit borrowing as defined under the Notices issued pursuant to S214 of the FSA.

  • Insider Trading: Securities Fraud and Insider Trading: Only bases for finding someone is guilty of insider trading.

  • Supporting documentation:Please refer to Appendix A: Supporting Documentation for guidance on providing supporting documentation.A.4 Trading Only the BHCs subject to the market shock scenario are required to complete this sub‐ schedule.

Related to Trading Only

  • Trading Hours means the hours of trading as set forth on the Trading Platform for a particular Underlying Asset.

  • Trading Window means a trading period for trading in Company‘s Securities as specified by the Company from time to time

  • Trading Date means the closing of the first sale to the general public of the Shares pursuant to a registration statement filed with and declared effective by the U.S. Securities and Exchange Commission under the Securities Act.

  • Trading Day means a day on which the principal Trading Market is open for trading.

  • Trading means and includes subscribing, buying, selling, dealing, or agreeing to subscribe, buy, sell, deal in any securities, and "trade" shall be construed accordingly.

  • Non-Trading Operation means any operation involving the deposit of funds, withdrawal from a Client's Account or the provision (return) of Credit.

  • Primary Market means on any of (a) the American Stock Exchange, (b) New York Stock Exchange, (c) the Nasdaq Global Select Market, (d) the Nasdaq Global Market, (e) the Nasdaq Capital Market, or (e) the Over-the-Counter Bulletin Board (“OTCBB”)

  • Subsequent Market means the New York Stock Exchange, American Stock Exchange, Nasdaq SmallCap Market or Nasdaq National Market.

  • Secondary Market refers to a bulletin board platform at wxx.xxxxxxxxxxx.xx created by Masterworks.

  • VWAP Trading Day means a day on which (A) there is no VWAP Market Disruption Event; and (B) trading in the Common Stock generally occurs on the principal U.S. national or regional securities exchange on which the Common Stock is then listed or, if the Common Stock is not then listed on a U.S. national or regional securities exchange, on the principal other market on which the Common Stock is then traded. If the Common Stock is not so listed or traded, then “VWAP Trading Day” means a Business Day.

  • Trading Period has the meaning set out in the TSC;

  • Last Trading Day means, for a particular Contract, the last date on which that Contract may be traded on the Market.

  • placing on the market means the first making available of a product on the Union market;

  • Trading Volume means the volume of shares of the Company's Common Stock that trade between 9:30 AM and 4:00 PM, New York City Time, on any Business Day, and shall expressly exclude any shares trading during "after hours" trading.

  • Xxxx Xxxxxx Select Equity Trust is replaced by "Xxxxxx Xxxxxxx Xxxx Xxxxxx Select Equity Trust".

  • Trading Market means any of the following markets or exchanges on which the Common Stock is listed or quoted for trading on the date in question: the NYSE American, the Nasdaq Capital Market, the Nasdaq Global Market, the Nasdaq Global Select Market, or the New York Stock Exchange (or any successors to any of the foregoing).

  • First Trading Date means 15 November 2022.

  • Trading Session means a trading session on a day which the applicable Stock Exchange is open for trading;

  • Trading Disruption means any suspension of or limitation imposed on trading by the Exchange or Related Exchange or otherwise and whether by reason of movements in price exceeding limits permitted by the Exchange or Related Exchange or otherwise (i) relating to the Share on the Exchange or (ii) in futures or options contracts relating to the Share on any Related Exchange.

  • Trading Access means the right granted to a Person to send RFQs or place Orders and/or enter into transactions for certain or all Swaps to the SEF Platform or execute Swaps subject to the BSEF Rules.

  • Average Daily Trading Volume means the average trading volume of the Company’s Common Stock in the ten (10) Trading Days immediately preceding the respective Put Date.

  • Applicable Exchange means the New York Stock Exchange or such other securities exchange as may at the applicable time be the principal market for the Common Stock.

  • Trading Cushion means the mandatory minimum fifteen (15) Trading Days between Put Dates.

  • Recognised Futures Exchange means an international futures exchange which is recognised by the SFC or which is approved by the Manager.

  • Day-Ahead Market has the meaning set forth in the CAISO Tariff.

  • Principal Market means the Nasdaq National Market, the Nasdaq SmallCap Market, the American Stock Exchange, the OTC Bulletin Board or the New York Stock Exchange, whichever is at the time the principal trading exchange or market for the Common Stock.