Questions tagged [broker]

An individual/entity who helps buy or sell a tradable asset. Often used with stocks, bonds, options, foreign-exchange. Related tag is brokerage, the fees charged by the broker.

19 questions with no upvoted or accepted answers
Filter by
Sorted by
Tagged with
2
votes
0answers
49 views

Stocks broker compensation upon error

I have a stock plan from my employer, which includes RSU vesting on certain dates through E-trade's services. Currently, E-trade has technical issues, which are preventing me (and some other employees ...
2
votes
0answers
56 views

Arrange custody for CREST-qualified London Stock Exchange shares

I own some shares in a non publicly traded investment company / mutual fund and I am told that the company is going to seek listing in the London Stock Exchange and have its shares become "CREST-...
2
votes
0answers
208 views

Which stock of Gazprom to buy while investing from France?

I would like to buy shares of Gazprom. I live in France My broker is Degiro From the search I see two options Gazprom ADR SP./2 RL 5L 5 in Euro Gazprom Neft in LSE in USD OGZD in LSE and USD Which ...
2
votes
0answers
21 views

Any DTC Registered Brokers for Indian trying to exchange restricted units to ordinary shares?

I am an ex-Broadcom (BRCM) employee laid off during 2014 Aug before it is sold to another company Avago. During my tenure at that company I received some RSU s which were converted to restricted units ...
2
votes
0answers
95 views

Does the Volcker Rule apply to brokerage firms?

The Volcker Rule states that it: prohibits any banking entity from engaging in proprietary trading or from acquiring or retaining an ownership interest in, sponsoring, or having certain ...
2
votes
1answer
288 views

Automatic Investment Plan - Non U.S resident

I am looking for any options to invest small amounts each month/quarter without commissions eating me up. As a U.S. resident and investing in a Mutual Fund, this is no problem. AIP programs Non U.S. ...
1
vote
1answer
92 views

Sell Stock without a full broker account

I have a few stocks from a public company. I got them after a startup I worked in got acquired by this public company. So now I have an account on AST Financials, and my stocks are in their books (I ...
1
vote
1answer
96 views

DEGIRO: Is Debit Money better than an MMF-ETF short for leveraging?

I was looking into the options of leveraging my main index fund by a certain amount and was recommended to use Degiro's inhouse credit product "Debit Money". Current annual cost: 1.25% pa ...
1
vote
0answers
70 views

How are remisiers in Malaysia and Singapore different from stock brokers in other countries?

In Singapore and Malaysia, some (most?) investors buy stocks through a "remisier". Remisiers are apparently special enough to get their own Wikipedia page: A remisier (also known as a ...
1
vote
0answers
29 views

Brokers and Negative Balance Protection

I'm a bit confused about the Negative Balance Protection offered by many brokers, specially when they allow leverage, and a lot of leverage (common in brokers with CFDs). How are they protecting ...
1
vote
1answer
185 views

How to show currency of stock in Interactive Brokers

I am using Client Portal in Interactive Brokers. I can see the price for an instrument (stock or etf). Where can I see the currency and prospectus/documents for the instruments?
1
vote
0answers
120 views

If the broker invokes this clause to sell assets to themselves on death, how is the price determined?

Recently I was considering opening a new brokerage account and found the following troubling clause in the account agreement: The transcription, with my emphasis added: You authorize us and we ...
1
vote
0answers
65 views

Witholding Tax Payment

I am involved in trade that is coming to a close, yet the broker has requested for me to pay 5% for the withholding tax, which will be refunded later. Is this normal practice? note: Broker in ...
0
votes
1answer
122 views

Riskless Principal - how does it work?

I've read the Investopedia article on Riskless Principal and my understanding is that a broker/dealer gets an order from a client of buy or sell a security at say 10. Then at the same time the broker ...
0
votes
0answers
34 views

Can a CFD broker avoid paying?

Lets say you have some shares in your portafolio that you bought and the prices increased really high, can your broker decide not to pay you the difference once you closed your position because you ...
0
votes
0answers
35 views

Where is my buy stop-limit order located?

Current stock price is $9 and I want to send in a buy limit order for $10.10 after price reaches $10.05? When I create and submit such order, how close to the exchange does it get before it stops ...
0
votes
0answers
21 views

What are the tax consequences of loaning securities to one's broker aside from the dividends being paid as payment-in-lieu taxed as income?

I'm trying to understand the tax consequences of loaning securities to one's broker in the United States: The dividends of the loaned security are being paid as payment-in-lieu, which is taxed as ...
0
votes
0answers
39 views

What is a “Broker Broker's Trade” in the municipal bond market?

I was looking at the historical trades of a municipal bond using the Municipal Securities Rulemaking Board (MSRB) Electronic Municipal Market Access (EMMA) website: Notice that the first row in the ...
0
votes
1answer
48 views

Can ECN OctaFx broker (with floating spread) charge spread more than it is shown on the screen in case of high volatility?

I sold 10 lots while the market was going up (and continued going up for 5 mins), the spread was 1.6 as shown on the screen, however the broker charged me for 13 pips of spread instead, even though ...