Securities Trading definition

Securities Trading means the purchase and/or sale of Securities in accordance with the Instructions of the Grantor, whether within or outside the SET, including but not limited to, Securities
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Securities Trading means a purchase, sale or exchange, outside the Securities Exchange or a securities trading centre, of securities, for one’s own account in the normal course of business.
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Securities Trading. The Sub Advisor agrees that, unless otherwise instructed or permitted by the Investment Advisor, all orders placed for securities held by, or to be acquired for, the Accounts shall be placed through the trading services provided by Ehrenkrantz King Xxxxxxxx, Inc., a registered Broker/Dealer and an NASD member.
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Examples of Securities Trading in a sentence

  • As an employee of Morningstar, Inc., Mr. Davidson is guided by Morningstar, Inc.’s Code of Ethics and Personal Securities Trading Policy in carrying out his responsibilities.

  • Contemporaneous Disclosure forms can be obtained from the Preclearance Compliance Officer, on MySource, or by emailing the Securities Trading Policy Help Line at securitiestradingpolicyhelp@bnymellon.com.

  • The Company is listed on the Singapore Exchange Securities Trading Limited.

  • A list of Proprietary Funds is published on MySource or can be obtained by sending an email to the Securities Trading Policy Help Line at securitiestradingpolicyhelp@bnymellon.com.

  • Supervised Persons are subject to and must comply with the Northern Trust Corporation Statement of Confidential Information and Securities Trading.

  • Such information will be published as a supplement to the Securities Note pursuant to Section 7-15 of the Norwegian Securities Trading Act.

  • The Singapore Exchange Securities Trading Limited (the “SGX-ST”) takes no responsibility for the accuracy of any statements or opinions made or reports contained in this Letter.

  • All public requirements have been fulfilled (i.e. pursuant to chapter 7 of the Norwegian Securities Trading Act), and any required public authorisation has been obtained.

  • Requests for exceptions to the policy will be provided to the Jennison CCO or her designee and from time to time shared with the Prudential Personal Securities Trading Department and Jennison Compliance Committees.

  • Certain employees of the Advisors are subject to the State Street Securities Trading Policy as administered by the State Street Corporate Legal Department.


More Definitions of Securities Trading

Securities Trading means the trading in securities like real stocks, ETFs as well as other securities that the Company may offer from time to time. ‘Swap or Rollover’ shall mean the interest added or deducted for holding a position open overnight. ‘Taxes’ means any taxes or levies including stamp duty, reserve tax, financial transaction taxes and/or other applicable taxes or levies imposed from time to time. ‘Trailing Stop’ shall mean a stop-loss order set at a percentage level below the market price - for a long position. The trailing stop price is adjusted as the price fluctuates. A sell trailing stop order sets the stop price at a fixed amount below the market price with an attached ‘trailing’ amount. As the market price rises, the stop price rises by the trail amount, but if the pair price falls, the stop loss price does not change, and a market order is submitted when the stop price is hit. ‘Transaction’ shall mean any transaction in Financial Instruments arranged for execution on behalf of the Client under this Agreement. COMPLIANCE ‘Transaction Size’ shall mean Lot Size multiplied by number of Lots.
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Securities Trading means the purchasing and the selling of securities in the Market “Market System” is the software system that manages the securities trading in the Market’s computers. “Securities” are the shares, sukuk issued by joint public stock companies, bonds and notes issued by the Federal Government or by the Local Government, and public authorities and public institutions in the Emirate, and any other financial instruments accepted by the Authority. “Market Regulations” are the laws, regulations and circulars issued or to be issued by the Market or the Authority or any competent authority concerned in regulating security trading. “Trading” is the account of the Investor setup with the Broker for Securities Trading.
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Securities Trading means the purchase and/or sale of Securities in accordance with the Instructions of the Grantor, whether within or outside the SET, including but not limited to, Securitiestrading with third parties or the Company Securities trading through enforcement or auction, or by subscription of such Securities;
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Related to Securities Trading

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

  • Securities Transaction means a purchase of or sale of Securities.

  • Securities Transfer Act means the Securities Transfer Act (British Columbia) from time to time in force and all amendments thereto and includes all regulations and amendments thereto made pursuant to that Act.

  • Private Securities Transaction means any securities transaction relating to new offerings of securities which are not registered with the Securities and Exchange Commission, provided however that transactions subject to the notification requirements of Rule 3050 of the Financial Industry Regulatory Authority’s (FINRA) Conduct Rules, transactions among immediate family members (as defined in the interpretation of the FINRA Board of Governors on free-riding and withholding) for which no associated person receives any selling compensation, and personal securities transactions in investment company and variable annuity securities shall be excluded.

  • securities dealer means a person or entity that is authorized under provincial legislation to engage in the business of dealing in securities or any other financial instruments or to provide portfolio management or investment advising services.

  • Securities Exchange means, at any time, the registered national securities exchange on which the Corporation’s equity securities are then principally listed or traded, which shall be the New York Stock Exchange or NASDAQ Global Market (or similar national quotation system of the NASDAQ Stock Market) (“NASDAQ”) or any successor exchange of either the New York Stock Exchange or NASDAQ.

  • Securities System means the Federal Reserve Book-Entry System, a clearing agency which acts as a Securities Depository, or another book entry system for the central handling of securities (including an Eligible Securities Depository).

  • Commodity Futures Trading Commission means the independent regulatory agency established by congress to administer the Commodity Exchange Act.

  • Securities Exchange Act means the Securities Exchange Act of 1934, as amended.

  • Personal Securities Transactions means any transaction in a Security pursuant to which an Access Person would have a Beneficial Ownership interest with the exception of obligations of the U.S. Government, bankers’ acceptances, bank certificates of deposit, money market fund shares, commercial paper, high quality short-term debt instruments and registered open-end investment companies, none of which are funds advised or sub-advised by the Firm.

  • Personal Securities Transaction means any transaction in a Covered Security in which an Access Person has a direct or indirect Pecuniary Interest.

  • securities regulatory authority or “SRA” means a body created by statute in any Canadian or foreign jurisdiction to administer securities law, regulation and policy (e.g. securities commission), but does not include an exchange or other self regulatory entity;

  • Stock Market means a market, or other place at which, or a facility by means of which—

  • National Securities Exchange means an exchange registered with the Commission under Section 6(a) of the Exchange Act or any successor thereto.

  • 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:

  • Securities Exchange Act of 1934 means the United States Securities Exchange Act of 1934, as from time to time amended.

  • Securities and Futures Ordinance means the Securities and Futures Ordinance (Cap. 571) of Hong Kong.

  • Securities Regulators means collectively, the securities regulators or other securities regulatory authorities in the Selling Jurisdictions;

  • Portal Market means The Portal Market operated by the National Association of Securities Dealers, Inc. or any successor thereto.

  • Insider Trading Regulations means the Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015, as amended from time to time.

  • NASDAQ means The Nasdaq Stock Market, Inc.

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

  • 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.

  • 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.

  • Nasdaq National Market means the National Association of Securities Dealers Automated Quotation National Market or any successor national securities exchange or automated over-the-counter trading market in the United States.

  • NYSE means the New York Stock Exchange.