Sentences with phrase «as issuer of the securities»

6 Registered Notes may be suitable for investors who are willing to forego dividends or other distributions paid to holders of stocks comprising the relevant Reference Asset, or the Reference Asset itself, as applicable, do not seek current income from their investment, do not seek an investment for which there is an active secondary market, are willing to hold the securities to maturity and are comfortable with the creditworthiness of HSBC, as issuer of the securities.

Not exact matches

There are currently 10 major sectors that most investors use when breaking down the corporations and other issuers of securities such as stocks and bonds.

As a non-diversified fund, the fund may invest in a relatively small number of issuers and, as a result, be subject to a greater risk of loss with respect to its portfolio securitieAs a non-diversified fund, the fund may invest in a relatively small number of issuers and, as a result, be subject to a greater risk of loss with respect to its portfolio securitieas a result, be subject to a greater risk of loss with respect to its portfolio securities.

The value of mortgage backed securities may also change due to shifts in the market's perception of issuers and regulatory or tax changes adversely affecting the mortgage securities markets as a whole.

Rule 506 (b) allows for issuer's to raise an unlimited amount of money, from an unlimited number of accredited investors, so long as no «general solicitation» is conducted in connection with the offering, and that each investor has a substantive, pre-existing relationship with the issuer or person offering the securities of its behalf.

As such, most 506 (b) offerings are only sold to accredited investors (even though the Rule allows for the sale of up to 35 non-accredited investors), as the sale to any unaccredited investors requires significantly heightened disclosure to such investors, which can be costly and burdensome to provide, and may increase the exposure of an issuer to liability under federal and state securities actAs such, most 506 (b) offerings are only sold to accredited investors (even though the Rule allows for the sale of up to 35 non-accredited investors), as the sale to any unaccredited investors requires significantly heightened disclosure to such investors, which can be costly and burdensome to provide, and may increase the exposure of an issuer to liability under federal and state securities actas the sale to any unaccredited investors requires significantly heightened disclosure to such investors, which can be costly and burdensome to provide, and may increase the exposure of an issuer to liability under federal and state securities acts.

The greater the number and kind of issuers, as well as the type of securities they offer, the more interested investors become in sustainable investing.

Royal Bank of Canada (RBC)(«RY» on TSX and NYSE) today announced the completion of its share repurchase program (the «Program»), as required by the conditions of the issuer bid exemption order issued to RBC by the Ontario Securities Commission on January 10, 2018...

The exemption also includes a number of investor protection measures, including that issuers relying on the exemption must make the offer to all existing security holders as of the record date and investors will be subject to investment limits unless they obtain advice regarding the suitability of the investment.

Although token issuers do not want their projects labelled as securities, this designation wouldn't be the end of the world — it would simply mean the digital asset must follow existing rules and regulations.

Whereas previously regulations were implemented in accordance with the type of issuer — such as banks, securities issuers and insurers — the new regulations aim to be classed along the types of assets that the asset - management products target, irrespective of the industry type.

The issue is that most of the ICO issuers, in their haste to exploit a truly insane speculative bubble, don't want to go through the trouble and expense of registering these tokens as securities, or comply with the ongoing reporting which so doing would necessarily entail.

Despite the exemptive relief from dealer registration requirements provided by the securities regulators in these decisions, issuers should bear in mind that under applicable Canadian securities laws a person is only required to register as a dealer if they are engaging in or holding themselves out as engaging in the business of dealing in securities.

However, it may be possible to conceive of contemporaneous offerings if the issuer offered different securities, such as a non-convertible preferred stock in one offering and common stock in the other offering, and if the investors in the two offerings were different — for example, preferred stock being offered to an existing venture or private equity investor (or other investors with which the issuer has a pre-existing substantive relationship), while common stock is being offered to a broader range of investors in a separate offering using general solicitation.

Certain issuers of U.S. government securities (e.g., «Government - Sponsored Enterprises» such as Fannie Mae, Freddie Mac, and the Federal Home Loan Banks) are sponsored or chartered by Congress, but their securities are neither issued by nor guaranteed by the U.S. Treasury.

Assets are invested in any eligible U.S. dollar - denominated money market instruments as defined by applicable U.S. Securities and Exchange Commission regulations (Rule 2a - 7 of the Investment Company Act of 1940), including all types listed above as well as commercial paper, certificates of deposit, corporate notes, and other private instruments from domestic and foreign issuers, as well as repurchase and potentially reverse repurchase agreements.

In our Securities Practice, we act as counsel to more than 80 public companies (including 20 Chinese issuers), as well as, numerous FINRA (formerly NASD) licensed underwriters and placement agents in connection with their financing activities, including private placements and public offerings of equity and debt sSecurities Practice, we act as counsel to more than 80 public companies (including 20 Chinese issuers), as well as, numerous FINRA (formerly NASD) licensed underwriters and placement agents in connection with their financing activities, including private placements and public offerings of equity and debt securitiessecurities.

Alternatively, if the issuer wants the coin or token to have an investment purpose: a. Can the issuer rely on an exemption or combination of exemptions in the target jurisdictions to limit the impact of the securities laws / requirements (e.g. through structuring the ICO as a private placement)?

As long as portals provide conflict of interest disclosure to issuers and investors, the receipt of a portion of a portal fee in securities is likely to help the industry and portals form sustainable businesses versus causing any problemAs long as portals provide conflict of interest disclosure to issuers and investors, the receipt of a portion of a portal fee in securities is likely to help the industry and portals form sustainable businesses versus causing any problemas portals provide conflict of interest disclosure to issuers and investors, the receipt of a portion of a portal fee in securities is likely to help the industry and portals form sustainable businesses versus causing any problems.

No material on this website shall be used or considered as an offer to sell or a solicitation of any offer to buy the securities or services of the M Fund or any other issuer.

This Article and content are not, and should not be regarded as investment advice or as a recommendation regarding any particular security or course of action; readers are strongly urged to speak with their own investment advisor and review all of the profiled issuer's filings made with the Securities and Exchange Commission before making any investment decisions and should understand the risks associated with an investment in the profiled issuer's securities, including, but not limited to, the complete loss of your iSecurities and Exchange Commission before making any investment decisions and should understand the risks associated with an investment in the profiled issuer's securities, including, but not limited to, the complete loss of your isecurities, including, but not limited to, the complete loss of your investment.

If they rate an issuer's credit as higher than the external credit ratings, they are often able to pick up the security at a discount to their perception of it's intrinsic value.

Includes securities listed or authorized for listing on the NYSE, AMEX, the National Market System of Nasdaq ®, or securities of the same issuer as those above with equal or higher seniority; registered investment company securities; securities offered or sold to qualified purchasers; securities with respect to certain transactions exempt from Federal registration, including some private placements; and securities that are exempt from Federal registration.

As a non-diversified investment company, the fund may invest in a relatively small number of issuers and, as a result, be subject to a greater risk of loss with respect to its portfolio securitieAs a non-diversified investment company, the fund may invest in a relatively small number of issuers and, as a result, be subject to a greater risk of loss with respect to its portfolio securitieas a result, be subject to a greater risk of loss with respect to its portfolio securities.

As a non ‐ diversified fund, the Fund may invest more than 5 % of its total assets in the securities of one or more issuers.

While bonds are often referred to as «fixed - income» securities they carry risks such as interest rate risk (the movement of interest rates that can positively or negatively affect the value of the bond at redemption) and default risk (the risk that the bond issuer will go bankrupt or become unable to repay the loan).

Answer: Although you may receive a credit line of just $ 100, consider a store credit card or, as already mentioned, a secured credit card (where you make a security deposit that is typically equal to the credit limit you will be extended by the card issuer) these options are the best opportunity to get a credit card for people who have no credit.

The MSRB's portal EMMA also provides free access to annual continuing disclosure about the financial condition of an issuer as well as additional specific data on individual municipal securities.

the interest rate a bond's issuer promises to pay to the bondholder until maturity, or other redemption event, generally expressed as an annual percentage of the bond's face value; for example, a bond with a 10 % coupon will pay $ 100 per $ 1000 of the bond's face value per year, subject to credit risk; when searching Fidelity's secondary market fixed income offerings, customers can enter a minimum coupon, maximum coupon, or enter both to specify a range and refine their search; when viewing Fidelity's fixed - income search results pages, the term «Step - Up» instead of a numeric coupon rate means the coupon will step up, or increase over time at pre-determined rates and dates in the future; clicking Step - Up will reveal the step - up schedule for that security

As per the index methodology, issuers must first be investment - grade rated by at least one of the international rating agencies, and then securities must be rated «AAA» by at least one of the local Chinese rating agencies.

You credit line will be equal to your deposit of record; further, it will stand as security for the card issuer in the case that you default.

A security (with the minor exception of hybrids such as convertibles) has to represent either a promise by the issuer to pay a holder cash, sooner or later; or ownership.

Foreign securities are subject to additional risks such as currency fluctuations, regional economic and political conditions, differences in accounting methods, and other unique risks compared to investing in securities of U.S. issuers.

For example, an adverse event, such as an unfavorable earnings report, may depress the value of equity securities of an issuer held by the Fund; the price of common stock of an issuer may be particularly sensitive to general movements in the stock market; or a drop in the stock market may depress the price of most or all of the common stocks and other equity securities held by the Fund.

Adverse conditions may affect the issuer's ability to pay interest and principal on these securities and, as a result, they may have a higher probability of default.

There are potential conflicts of interest with this model as the issuers want the highest rating possible to makes their securities more appealing to potential investors.

Since no one of the portfolio securities constitutes as much as 20 % of the common capitalization of that issuer, none of Toyota Industries» share of the undistributed equity in the earnings of these portfolio companies is reflected in Toyota Industries» GAAP earnings.

The values of securities may fall due to factors affecting a particular issuer, industry or the securities market as a whole.

The Fund may invest in securities of issuers that are, or will be, involved in reorganizations, financial restructurings, or bankruptcy (also known as «distressed debt»).

Municipal bonds can be significantly affected by political or economic changes as well as uncertainties in the municipal market related to taxation, legislative changes or the rights of municipal security holders, including in connection with an issuer insolvency.

The investment objective of the Scheme is to provide reasonable returns and high level of liquidity by investing in debt instruments such as bonds, debentures and Government securities; and money market instruments such as treasury bills, commercial papers, certificates of deposit, including repos in permitted securities of different maturities, so as to spread the risk across different kinds of issuers in the debt markets.

The security deposit also functions as the limit of the credit line the credit card issuer will grant the user.

The Sphere ETF invests directly or indirectly in up to 150 Canadian equity securities of public issuers exhibiting relatively high and sustainable yields, as at the time of reconstitution or balancing.

As such, the more the holder of a security thinks its issuer is likely to default, the more desirable a CDS is and the more the premium is worth it.

Horizons HEA will invest primarily in a portfolio of equity and equity related securities of U.S. companies that, as at the Constituent Reset Date, are amongst the largest by market capitalization and most liquid issuers on the New York Stock Exchange (the «NYSE») or the NASDAQ Stock Market («NASDAQ»).

During the life of a medium - term debt security, the issuer may adjust the term of maturity or the nominal yield of the bond according to the issuer's needs or the demands of the market - a process known as shelf registration.

Horizons HEF will invest primarily in a portfolio of equity and equity related securities of Canadian companies that are primarily exposed to Canadian banking, finance and financial services sectors and that, as at the Constituent Reset Date, are amongst the largest and most liquid issuers listed on the TSX in their sector.

Horizons HEE will invest primarily in a portfolio of equity and equity related securities of Canadian companies that are primarily involved in the crude oil and natural gas industry and that, as at the Constituent Reset Date, are amongst the largest and most liquid issuers on the TSX in their sector.

Corporate Events As noted in Section 2.4, an equity security represents a fractional ownership interest in the issuer of that security.

Schedule of Investments in securities of unaffiliated issuers as of the close of the reporting period is included as part of the report to shareholders filed under Item 1 of this form.