What is a mismarked order?
Mismarking Order Tickets – Some registered representatives mismarked order tickets to obscure unauthorized discretionary trading by indicating that trades were executed in an unsolicited capacity, when, in fact, customers did not initiate the transactions and were unaware of the trading occurring in their accounts.
What is mismarking trading?
Mismarking in securities valuation takes place when the value that is assigned to securities does not reflect what the securities are actually worth, due to intentional fraudulent mispricing. The trader engaging in mismarking is sometimes referred to as a “rogue trader.”
Is Mismarked a word?
verb. To mark incorrectly or wrongly.
What does unsolicited trade mean?
An unsolicited trade is one in which an investor (the client) initiates the transaction by bringing it up as an idea to their registered securities representative. In these cases, the transaction was fundamentally the investor’s idea.
What’s a mismarked dog?
A mismark is a simply a dog that has markings that are outside the desired boundaries. The sketch included with this post shows a “Max White” aussie- one that has the most possible white without being a mismark. Notice the dog still has color over the eyes, ears, and saddle area.
How do you spell Mismarked?
Mismarked | Definition of Mismarked by Merriam-Webster.
What are the three categories for communication as defined by finra?
FINRA Rule 2210 (Communications with the Public) categorizes all communications into three categories—correspondence, retail communications or institutional communications—and sets principles-based content standards that are designed to apply to ongoing developments in communications technology and practices.
What is unsolicited order?
Definition. What does Unsolicited Order mean? It is an order placed after a customer tells the agent what he/she wants to buy or sell, as opposed to an order placed on the recommendation of the agent.
What is Whitehead in Australian Shepherds?
Dogs with excess white markings, sometimes referred to as mismarks, or over-marked. Australian Shepherds with too much white are usually healthy(exceptions noted below). There are entire breeds that allow far more white than typical of Aussies.