Swap Execution Facility (SEF)

Posted on: 26 February 2020

By dev dev

Trading facilities, operating under the oversight of the CFTC, for the trading and processing of swaps. SEFs were created under the Dodd-Frank Act to promote pre-trade price transparency in the swaps market.

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Streaming

Posted on: 26 February 2020

By dev dev

A dealer or market maker will continuously show or “stream” firm prices with the corresponding size so that clients can trade on these prices. Clients will “click to trade”.

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Robo-Advisor

Posted on: 26 February 2020

By dev dev

Automated and digital techniques are used to build and manage investment portfolios for investors.

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Request for Quote (RFQ)

Posted on: 26 February 2020

By dev dev

An electronic trading platform where users submit a query, or request, for a price on a specific security/instrument, for a set amount/size, to different dealers/counterparties. Once prices have been sent by the dealers, and the dealers respond, the sender will evaluate them.

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Principal Trading Firm (PTF)

Posted on: 26 February 2020

By dev dev

Investors that trade for their own account and do not have traditional customers. PTFs employ algorithmic and high frequency trading strategies, generally do not hold overnight positions, trade large total volumes in small individual trade sizes, and may or may not be part of FINRA. PTFs play a major role…

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Primary Dealer

Posted on: 26 February 2020

By dev dev

Firms that buy government securities directly from a government when they are issued and then resells them to other parties. Generally, primary dealers are obligated to offer liquidity in the government debt markets.

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