A type of order that is made on a particular exchange on behalf of an executive of a company known as a participant firm. Tickets for these types of transactions must be marked with the letters NC, N, or Emp in order to note that these are non client orders.
Related information about non-client order:
- Non-Client Order Definition | Investopedia
An order on an exchange made by a participant firm or on behalf of a partner, officer, director or employee of the participant firm. Where a participant firm is a firm ...
- Non-Client Order - Financial Dictionary - The Free Dictionary
An order to a broker to buy or sell a security made by a member firm on an exchange, rather than a client. Non-client orders are permissible, but brokers must ...
- What is non-client order? definition and meaning
Definition of non-client order: A type of order that is made on a particular exchange on behalf of an executive of a company known as a participant firm. Tickets ...
- Rules & Policies - IIROC
principal order or a non-client order of the Participant that, based on the ... entering the principal order or non-client order, the Participant knows or should ...
- Rules & Policies - IIROC
accordance with subsection (2) of Rule 3.1,. (x) a non-client order,. (xi) a principal order,. (xii) a jitney order,. (xiii) for the account of a derivatives market maker, ...
- Rules & Policies - IIROC
(a) enter a principal order or a non-client order on a marketplace, foreign organized regulated market or other market, including any over-the-counter market, for ...
- Rules & Policies - IIROC
If the order is executed against a principal order or non-client order the client must receive a better price. Part 2 – Confirmation of Order Terms. Pursuant to Rule ...
- 911038_v1_-_Appendix_BRS_INC - Alberta Securities Commission
“non-client order” means an order for the purchase or sale of a security received or originated by a Participant for an account: (a) for a partner, director, officer or ...