Securities Trade


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Securities Trade

The sale of a security from one investor to another. The seller receives compensation in exchange for giving up ownership of a security. Securities trades may take place on an exchange or over-the-counter. The securities trade is regulated by special agencies in the appropriate jurisdiction; trade in the United States is regulated by the SEC, among other organizations.
References in periodicals archive ?
If an individual merely trades for his own benefit, without holding himself out to the public as a securities dealer, without an established location and does not deal primarily in the securities trade for his livelihood, the taxpayer cannot be a dealer.
However, a surer and less costly way to fight manipulative practices in the market is to modify the way in which the Treasury sells securities and to take a more active role in how those securities trade thereafter.
The majority of securities trade processing continues to occur in batch format where large transaction files are processed overnight.
There are trigger points which signal that significant events have occurred since the close of the foreign exchange or market on which their portfolio securities trade.
Once the Commission concluded that fraud charges against Merrill Lynch were not warranted, Merrill Lynch decided not to contest the SEC's view that additional information concerning the securities trades should have been recorded on the company's books.
Contract-basis figures cover 80-90% of all securities trades.
Payment Transactions In Order To Enable Timely Securities Trades
CDS is Canada's national depository, clearing and settlement hub for all securities trades in Canada.
SensCom's services are compatible with wireless WAP-enabled phones and wireless Internet-enabled personal digital assistants (PDAs), and include review of account balances and account history, verification of credits and debits, transfer of funds between accounts, bill payment, stock and securities trades, financial information notification, and portfolio management.
collectively, "Waterhouse"), and who suffered losses when Waterhouse executed previously-canceled securities trades although Waterhouse had confirmed the cancellation of those trades.
collectively, &uot;Waterhouse&uot;), and who suffered losses when Waterhouse executed previously-canceled securities trades although Waterhouse had confirmed the cancellation of those trades.
A recent report commissioned by the Securities Industry Associations (SIA) predicts that by 2001, messaging volumes in security trading systems will rise sharply more than double in the area of listed securities trades and over eight times higher in options messages.

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