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 ?
The Tokyo Stock Exchange (TSE) on Wednesday slapped a four-week halt on securities trades on the German brokerage WestLB Securities Pacific Ltd.
22 /PRNewswire/ -- Merrill Lynch (NYSE: MER) today announced that, without admitting or denying any violation, it has settled a Securities and Exchange Commission administrative proceeding concerning technical violations of the SEC's record keeping rules with respect to securities trades conducted between 1984-1989 with Guarantee Security Life Insurance Company (GSLIC) and in 1986 with Reliance Insurance Company.
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.
In light of developing compliance mandates in both the United States and Europe for 'best trade execution' of securities trades and the continued emergence of algorithmic trading applications, it is critical for global firms to have access to high-quality information that can be delivered when they need it and in a format that easily integrates into their current systems and processes," said Mark Hepsworth, president of ComStock.
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.
Securities trades will be cleared by the Clearing Corporation for Options and Securities (CCOS), a subsidiary of the AAA-rated Board of Trade Clearing Corporation (BOTCC).

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