Dick blair securites broker dealer washington dc

These fees may be platform access fees, fees based on the number of subaccounts serviced or fees based on average net assets held in the Fund. Management of the Funds. Table of Contents Adding to an Account. When-Issued and Delayed Delivery Securities. A shareholder who redeems all or substantially all of his or her shares will normally recognize a capital gain or loss for federal income tax purposes. Table of Contents and excessive trading at levels that may be detrimental to the Fund.

In addition, because of the large number of vehicles involved in a typical issuance and technical requirements under state laws, the trustee for the holders of the automobile receivables may not have a proper security interest in all the obligations backing such receivables.

This restriction also does not limit the Fund from investing in instruments, such as repurchase agreements, secured by obligations issued or guaranteed by the U. The successful use of derivative instruments depends upon a variety of factors, particularly the ability of the Advisor to predict movements of the securities markets, which requires different skills than predicting changes in the prices of individual securities. The Communist governments of a number of countries expropriated large amounts of private property in the past, in many cases without adequate compensation, and there can be no assurance that such expropriation will not occur in the future. The Fund will request that the intermediary provide individual account level detail or participant level detail in the case of retirement plans to the Fund at its request. Asset-backed securities are similar in structure to mortgage-backed securities but represent interests in pools of loans, leases or other receivables in place of mortgages. Despite this voluntary assumption of risk, a counterparty that has lost money in a derivative transaction may try to avoid payment by exploiting various legal uncertainties about certain derivative products. In certain cases, the Trust may request investors to maintain separate omnibus accounts for shares held by the investor for its own account, for the account of other institutions and for accounts for which the institution acts as a fiduciary.

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