Riskless Principal Trade definition

Riskless Principal Trade means a trade in a Debt Security that involves two offsetting orders (buy and sell) that are filled through transactions executed against a Dealer Member’s trading or other proprietary account, with the execution of one of the orders dependent upon the receipt or execution of the other. A riskless principal trade results in
Sample 1
Riskless Principal Trade means a trade in a debt security that involves two offsetting orders (buy
Sample 1
Riskless Principal Trade means a trade in a Debt Security that involves two offsetting orders (buy and sell) that are filled through transactions executed against a Dealer Member’s trading or other proprietary account, with the execution of one of the orders dependent upon the receipt or execution of the other. A riskless principal trade results in two offsetting principal transactions on the Dealer Member’s books, rather than one agency transaction. A Dealer Member typically performs a riskless principal trade to fill a client order with an offsetting transaction in the market or with another client.
Sample 1

Examples of Riskless Principal Trade in a sentence

  • To Delay the Implementation Date of Changes to Riskless Principal Trade Reporting RulesOctober 20, 2000.Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on October 18, 2000, the National Association of Securities Dealers, Inc.

  • Executed Riskless Principal Trade Report Form” for equity trades with the “other side” of the riskless transaction shown on the ticket.

Related to Riskless Principal Trade

  • Principal Trading Market means the Trading Market on which the Common Stock is primarily listed on and quoted for trading, which, as of the date of this Agreement and the Closing Date, shall be the Nasdaq Capital Market.

  • multilateral trading facility or ‘MTF’ means a multilateral system, operated by an investment firm or a market operator, which brings together multiple third-party buying and selling interests in financial instruments – in the system and in accordance with non-discretionary rules – in a way that results in a contract in accordance with Title II of this Directive;

  • Local public procurement unit means any political subdivision or unit thereof which expends public funds for the procurement of supplies, services, or construction.

  • organised trading facility or ‘OTF’ means a multilateral system which is not a regulated market or an MTF and in which multiple third-party buying and selling interests in bonds, structured finance products, emission allowances or derivatives are able to interact in the system in a way that results in a contract in accordance with Title II of this Directive;

  • multilateral trading facility (MTF means a multilateral system in the Union within the meaning of Article 2(1)(6) of Regulation[MiFIR].

  • Manufactured/mobile home means either a manufactured home or a mobile home;

  • Manufactured dwelling means a residential trailer, a mobile home or a manufactured

  • Generating Market Buyer means an Internal Market Buyer that is a Load Serving Entity that owns or has contractual rights to the output of generation resources capable of serving the Market Buyer’s load in the PJM Region, or of selling energy or related services in the PJM Interchange Energy Market or elsewhere. Generation Capacity Resource:

  • Component purchases means purchases of the component parts of an item that in normal purchasing practices would be made in one purchase. “Separate purchases” means purchases, made sep- arately, of items that in normal purchasing practices would be made in one purchase. “Sequential purchases” means purchases, made over a period, of items that in normal purchasing practices would be made in one purchase.

  • retail investor means a person who is one (or more) of the following:

  • Securities Trading Act means the Securities Trading Act of 2007 no.75 of the Relevant Jurisdiction.

  • Trading Partner means an entity that has registered with the Commission to exchange data through Electronic Data Interchange.

  • Arm s length transaction” means a transaction between two related parties that is conducted as if they were unrelated, so that there is no conflict of interest.

  • Public procurement unit means either a local public procurement unit or a state public procurement unit.

  • Policy Holder means the person who is a legal holder of this Policy and is named as the “Policy Holder” in the Policy Schedule.

  • Underlying Market means the relevant market where the Underlying Asset of a CFD is traded.

  • Investment Client means (i) any investment company registered as such under the Investment Company Act, any series thereof, or any component of such series for which the Adviser acts as investment adviser; or (ii) any private account for which the Adviser acts as investment adviser.

  • Exempt commercial purchaser means any person purchasing commercial insurance that, at the time of placement, meets the following requirements:

  • Trading Member means a Person who has been approved by Nadex to trade directly and not through a FCM Member on the Market, and does not include any FCM Member.

  • Farmers market means a marketplace which operates seasonally, principally as a common market for Iowa-produced farm products on a retail basis for consumption elsewhere.

  • Insider Trading means the use of Material Non-Public Information to trade in a Security (whether or not one is an Access Person) or the communication of Material Non-Public Information to others. Insider Trading generally includes:

  • Margin Trading for CFD trading shall mean Leverage trading when the Client may make Transactions having less funds on the Client Account in comparison with the Transaction Size.

  • Original Lower-Tier Principal Amount With respect to any Class of Uncertificated Lower-Tier Interests, the initial Lower-Tier Principal Amount thereof as of the Closing Date, in each case as specified in the Introductory Statement.

  • 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).

  • Lower-Tier Principal Amount As described in the Preliminary Statement.

  • Emerging Market means each market so identified on Appendix A attached hereto.