Sentence examples similar to effected transaction from inspiring English sources

But the bankruptcy code does not define stockbrokers by registration, instead referring to stockbrokers as persons "engaged in the business of effecting transactions in securities".

During this period, Venable exercised improper discretion in 12 of the 14 customer accounts, effected excessive transactions in one customer account, recommended unsuitable transactions in 10 customer accounts until September 2009, and mismarked order tickets in the 14 customer accounts.

491 (June 14 , 2013, Judge Elliott found that the respondent effected 19 transactions in securities involving 12 investors, without being registered as a broker-dealer.

You must effect all transactions, including transactions excepted under § 151.20, in a safe and sound manner.

These transactions include a transaction effected by your employee who also acts as an employee of a registered broker-dealer ("dual employee").

(2) You effect a transaction in government securities.

any national, regional, or local network utilized to effect the transaction.

the consumer elects to continue in the manner necessary to effect the transaction after receiving such notice.

(3) You effect a transaction in municipal securities and are not registered as a municipal securities dealer with the SEC.

If you continue to decline to negotiate with us, we will have no choice but to continue our effort to effect a transaction unilaterally.

But instead of simply buying the 4.3 million Odyssey shares it needed to effect the transaction, Fairfax created a cashless deal.