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Agency Trade
(redirected from Agency Trades)

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Agency Trade
A trade that a broker makes for a client in which the broker initiates the order. Only brokers managing discretionary accounts may make agency trades because, otherwise, they do not have the authority to execute orders without the client's explicit authorization.
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NASD found that the firms violated NASD rules when they received unusually high commissions from certain customers on listed agency trades -- without inquiry and within one day of allocating shares in "hot" IPOs to those same customers.
NASD Sanctions Investment Banks for IPO Violations; Bear Stearns, ... by PR Newswire
 
 
 
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