Immediate Family
Financial & Investment Dictionary:
Immediate Family
Home > Library > Business & Finance > Finance and Investment Dictionary ...
IMMEDIATE FAMILY - Term used in the NASD rules of fair practice to refer to one's parents, brothers, si...
IMMEDIATE OR CANCEL - Is a variation of the All or None (AON) order. Here, an attempt is made to satisf...
Immediate Family
A person's smallest family unit, consisting of the closest relatives, such as parents, siblings and children. Immediate family may contain both biological relatives and those related through marriage, such as a brother-in-law.
The immediate family of an exempt individual does not include attendants, servants, or personal employees.
When a Student is Not Exempt ...
See: Immediate Family; Inside Information; Rule 144
Insolvency
The inability of an individual or entity to pay its debts when they are due.
See: Director; Immediate Family; Insider
Control Relationship
An association between a broker-dealer and an issuer such that the broker-dealer has influence in the issuance of bonds by the issuer.
See: Bond; Broker-Dealer; Issuer ...
as defined by OTS regulations, an affiliated person is: (1) a director, officer, or controlling person of a thrift institution; (2) a spouse of a director, officer or controlling person of a thrift institution; (3) a member of the immediate family ...
Upon acceptance into the program, foreign investors receive a conditional visa for themselves and their immediate family, valid for a period of up to two years.
The independent 401(k) - also known as a solo 401(k), indy-k, or uni-k - is a variation of the 401(k) designed for people who are self-employed or operate a small business with a partner, spouse, or with other immediate family members.
But employing more than your immediate family could raise the red flag at the IRS. Why?
The law aims, in the first instance, to protect your immediate family - husband, wife and children.
OWNER-OCCUPIED PROPERTY The borrower or a member of the immediate family lives in the property as a primary residence. PAR The principal amount of a mortgage with no premium or discount (100%).
These can be used to reduce the tax burden on your immediate family. Here are nine thoughtful strategies for family trusts.
Why It's Important to Write a Will
by Simon Volkov ...
Affiliate - Any person directly or indirectly holding 10% or more of a corporation's outstanding shares -- typically directors, elected officers and immediate family members.
Your financial decisions don’t only affect you and your immediate family. They also impact the country - and the world.
UMHA - Unified Managed Household Account - A type of unified managed account that will allow not only for the investing of any form of security by an individual investor, but also will allow any member of the immediate family the same investing ...
Persons who are either (i) officers, directors, or owners of 10% or more of the voting shares of an issuer, or (ii) in most cases, immediate family and confidants of the aforementioned.
Insider
An officer or director of a company, anyone who owns more than 10 percent of a corporation's voting stock and his or her immediate family members, or anyone who has information about a company that is not available to other investors.
CONTROL PERSON " Any officer, director, or 10% stockholder of a corporation (and immediate family). Also known as affiliates. See: Insider.
A PEP is a current or former senior official of government, a major political party or certain corporations and his/her immediate family members as well as any close personal or professional associate of such a person.
To avoid conflicts of interest, Morningstar maintains the following policies on employee stock ownership. These policies apply to employees and their immediate family members: ...
For legal and practical purposes, four investors who were part of the same immediate family would be counted as a sole investor, and the company would be considered a sole organization rather than an aggregate one.
example, by withholding shares for his or her own account or selling shares to a family member, an employee of the dealer firm, or another broker-dealer-in order to profit from the higher market price of a hot issue. see also immediate family ; ...
is to be executed in whole or in part as soon as such order is represented in the trading crowd. The portion not executed is to be treated as canceled. A stop is considered an execution in this context. See: AON order, FOK order.
Immediate ...
 See also: Saving, Expense, Banks, Bills, Compensation
  
|
RSS
