unlisted trading


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Related to unlisted trading: NASDAQ, Unlisted Securities

Unlisted trading

Trading in unlisted securities that occurs on an organized exchange to accommodate members. This practice is not permitted at the NYSE.
Copyright © 2012, Campbell R. Harvey. All Rights Reserved.

Over-the-Counter Market

Describing a security or trade that does not occur on an exchange. Very often, the OTC market includes securities that are very small and do not trade on an exchange because they do not meet market capitalization requirements. OTC securities may theoretically be traded informally (one may stand on a street corner and sell his/her stocks), but the term usually refers to securities traded through a dealer network.
Farlex Financial Dictionary. © 2012 Farlex, Inc. All Rights Reserved

unlisted trading

The trading of a security on the floor of an exchange when the security is not listed on that exchange. Unlisted trading occurs when members of an exchange wish to trade the security but the issuing company has not applied for listing. Unlisted trading requires approval of the SEC.
Wall Street Words: An A to Z Guide to Investment Terms for Today's Investor by David L. Scott. Copyright © 2003 by Houghton Mifflin Company. Published by Houghton Mifflin Company. All rights reserved. All rights reserved.
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Under the Unlisted Trading Privileges Act of 1994, regional stock exchanges were encouraged to extend unlisted trading privileges to stocks listed on other trading venues.
The SEC'S reluctance to block the grant of unlisted trading privileges, at least in some cases, has furthered shareholder interests by blocking managers' efforts to entrench themselves in office.
From orders to markets: who should decide what is "best execution"?
Mr Littlejohns said: "This is also relevant where a company wishes to purchase its own shares, and brings into play the legislation covering losses on shares in unlisted trading companies and Enterprise Investment Scheme investments.
Buried tax bombshell in Brown Budget; LEGAL & FINANCE

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