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Home > Financial Services > Stock Brokers > TD Waterhouse Capital Markets,Inc.
TD Waterhouse Capital Markets,Inc.
TD Waterhouse Capital Markets is a member of NASD, the National Association of Securities Dealers. NASD is a self regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
TD Waterhouse Capital Markets is a wholly owned subsidiary of TD Waterhouse Group. The broker dealer executing securities transactions. TD Waterhouse Capital Markets is a registered Market Maker in Over the Counter securities traded. The Securities and Exchange Commission has adopted Exchange Act, requiring all market centers to publicly make available information on their order execution practices.
In accordance with the company rule, publishes monthly electronic reports through an independent information services provider, Transaction Auditing Group. It also provides uniform statistical measures of execution quality. While it makes every effort to ensure the accuracy of the data provided by them, it does not represent or warrant that such data is accurate.
Any order in which a customer does not specify explicit instructions to route to a particular venue for execution. Any order in which a customer does not specify an execution price. The order is filled immediately at the consolidated best bid or offer at the time of receipt by the market center under normal market conditions. Any order in which a customer specifies a limit to the price that they are willing to buy or sell a security.
The order is usually filled if the consolidated best bid or offer touches the limit price of the order under normal market conditions. Odd lots, market opening and closing orders, orders submitted with stop prices, all or none orders, orders that must be executed on a particular tick or bid such as non exempt short sale orders, orders entered for Pre and Post Market trading sessions, and not held orders.
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