Principal Transactions

RECENT NEWS
Mondo Visione  Sep 18  Comment 
The Securities and Exchange Commission today charged an investment advisory firm located outside Tacoma, Wash., with engaging in hundreds of principal transactions through its affiliated broker-dealer without informing clients or obtaining their...
Mondo Visione  Nov 26  Comment 
The Securities and Exchange Commission today announced charges against two Houston-based investment advisory firms and three executives for engineering thousands of principal transactions through their affiliated brokerage firm without informing...
Hedge Fund Blogs From HedgeCo.Net  Dec 8  Comment 
Bloomberg - Citadel Investment Group LLC, the hedge fund manager founded by Kenneth Griffin, will close down its Tokyo office and Asian principal investments operations, cutting more than half of jobs in the region. Citadel will run its remaining...




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A Principal Transaction is a transaction in which a broker/dealer buys or sells a security from his/her own account.

Commissions are not charged for principal transactions. However, the cost of the investment is marked up or down before it is sold to or bought from the customer's account.

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