Sentences with phrase «for equity securities»

The over-the-counter bulletin board (OTCBB) is an electronic trading service provided by the National Association of Securities Dealers (NASD) that offers traders and investors up - to - the - minute quotes, last - sale prices and volume information for equity securities traded over the counter (OTC).

That's a year for equity securities and 40 days for debt securities (see discussion of «What kind of securities are ICOs?»

Not exact matches

Mr. Siegal is perhaps best known for his victory in defense of high - profile private equity financier Benjamin Wey against federal criminal and civil securities fraud and money laundering charges.

And in the midst of its troubles throughout 2014 — Levi stepped back as president and CEO to become executive chairman in November — GrowthWorks was the recipient, along with BDC Venture Capital, of the «Deal of the Year» award from Canada's Venture Capital & Private Equity Association following its sale of Layer 7 Technologies, a developer of security software for businesses.

«I don't think it's realistic for markets to continue going up in a straight line,» said Jim McCafferty, head of Asia ex-Japan equity research at Nomura Securities.

During the dotcom boom of the late»90s, many securities - law firms traded legal fees for equity to take high - flying tech companies public.

Starting Tuesday, the crowdfunding platform will begin taking advantage of a securities rule put in place last May that allows anyone, not just accredited investors, to invest in private companies in exchange for equity.

«In soliciting investments in the Fake Funds, CASPERSEN made the following false representations to investors, among others: in recognition for his prior work with Park Hill Group, CASPERSEN had been offered a «friends and family» investment allocation in a security that was allegedly offered by a private equity firm; CASPERSEN was personally investing in the security, and offering it to his family and a limited number of friends; the investment was a credit facility secured by a portfolio of assets owned by one of the Legitimate Funds; the investor would receive quarterly interest payments, ranging from 15 to 20 percent; the investment was practically risk - free, as the loaned funds would remain in a bank account; the investor could withdraw the principal at any time with 90 days» notice; and investor funds should be wired to one of the Fake Fund Accounts.

It allows you to advertise for equity investors on a crowdfunding site, something you can't do now without running afoul of a bunch of securities laws.

When the Securities and Exchange Commission writes final rules for the laws that were passed last year in the Jumpstart Our Business Startups Act, or JOBS Act, equity crowdfunding among non-professional investors will be legal in the U.S., too.

Starting Monday, entrepreneurs will be able to offer equity stakes to non-accredited investors for amounts of up to $ 1 million, as a result of new crowdfunding rules put into place by the Securities and Exchange Commission in October.

New legislation legalizing equity - based crowdfunding, where entrepreneurs are able to raise capital by selling a piece of their company online in exchange for cash, has passed Congress and is currently awaiting final rules from the Securities and Exchange Commission before it can be implemented.

The Securities and Exchange Commission voted 3 - 1 to adopt the next generation rules for equity crowdfunding this morning for entrepreneurs and small - business owners.

Canopy Growth Corp's (WEED.TO) Tweed Farms Inc subsidiary expects to spend at least C$ 25 million ($ 21 million) to upgrade the property, a flower farm it purchased for about C$ 9 million in cash and equity, with work including the installation of security cameras and fences due to start in October.

At that poing you might as well have done equity but if for reasons of speed, cost and control you prefer not to — at a minimum I'd ask for price security.

The remarks frustrated a number of individuals currently working with the Securities and Exchange Commission to make equity crowdfunding a reality for regular investors.

Research: MSCI is a trusted source for global equity markets and underlying security - level data for sell - side research.

Given the relative position in the capital structure and security surrounding debt investments, the rate of return for creditors of a given company is typically lower than the company's equity holders.

There is no cure for it, but to control the symptoms, investors could consider preferred shares, that class of security that exists somewhere between bonds and equities.

Event - driven and long short equity managers, for instance, have overall seen rosier average gains over the past 12 — 18 months on the back of investors» growing focus on company - specific events, earnings growth, balance sheets and valuations of individual securities across different sectors and regions.

Then, the unveiling of the Securities and Exchange Commission's proposed equity crowdfunding rules reveals a panacea for growing your business's coffers.

Earlier this month in his outlook for September, the head of the world's largest bond shop employed the Lindy dance craze, former Citigroup CEO Chuck Prince, the Wimpy cartoon character and his «dying cult of equity» argument in a mash - up of prose to describe the «age of inflation that is upon us,» which he claims typically «provides a headwind, not a tailwind, to securities prices in both stocks and bonds.»

Currently, both Ontario and Saskatchewan have published specific proposals for an equity Crowdfunding framework while other members of the Canadian Securities Administrators are also looking at how securities can be sold over the internet under existing securSecurities Administrators are also looking at how securities can be sold over the internet under existing secursecurities can be sold over the internet under existing securitiessecurities law.

An investment in a limited partner interest in a private equity fund is more illiquid and the returns on such investment may be more volatile than an investment in securities for which there is a more active and transparent market.

Financial assets and liabilities whose values, based on unadjusted, quoted prices for identical assets or liabilities in an active market, examples include active exchange - traded equity securities, listed derivatives, most United States Government and agency securities, and certain...

It goes into great detail about why the plaintiffs believe hedge funds and private equity funds are inappropriate investments for Employee Retirement Income Security Act (ERISA) retirement plans.

In the quest to compensate for low fixed income returns, pension funds have plowed money into stocks, private equity funds and illiquid and very risky investments, like subprime auto loan securities and commercial real estate.

The lawsuit goes into great detail about why the plaintiffs believe hedge funds and private equity funds are inappropriate investments for Employee Retirement Income Security Act (ERISA) retirement plans.

For example, trading securities in fixed income markets typically incurs much higher transaction costs than equity markets.

Securities purchased in an equity crowdfunding transaction generally can not be resold or transferred for a one year period.

Any equity requirement necessary for trade approval will be based upon the most recent closing price of the security that you intend to buy or sell.

Ali Vahabzadeh started his career in investment banking, ultimately serving as a Vice President of Equity Derivatives for Banc of America Securities in New York and London over nine years.

For the calculation of diluted net loss per share, net loss per share attributable to common stockholders and preferred Series D, E, F, and FP preferred stockholders for basic net loss per share is adjusted by the effect of dilutive securities, including awards under our equity compensation plaFor the calculation of diluted net loss per share, net loss per share attributable to common stockholders and preferred Series D, E, F, and FP preferred stockholders for basic net loss per share is adjusted by the effect of dilutive securities, including awards under our equity compensation plafor basic net loss per share is adjusted by the effect of dilutive securities, including awards under our equity compensation plans.

in the case of our directors, officers, and security holders, (i) the receipt by the locked - up party from us of shares of Class A common stock or Class B common stock upon (A) the exercise or settlement of stock options or RSUs granted under a stock incentive plan or other equity award plan described in this prospectus or (B) the exercise of warrants outstanding and which are described in this prospectus, or (ii) the transfer of shares of Class A common stock, Class B common stock, or any securities convertible into Class A common stock or Class B common stock upon a vesting or settlement event of our securities or upon the exercise of options or warrants to purchase our securities on a «cashless» or «net exercise» basis to the extent permitted by the instruments representing such options or warrants (and any transfer to us necessary to generate such amount of cash needed for the payment of taxes, including estimated taxes, due as a result of such vesting or exercise whether by means of a «net settlement» or otherwise) so long as such «cashless exercise» or «net exercise» is effected solely by the surrender of outstanding stock options or warrants (or the Class A common stock or Class B common stock issuable upon the exercise thereof) to us and our cancellation of all or a portion thereof to pay the exercise price or withholding tax and remittance obligations, provided that in the case of (i), the shares received upon such exercise or settlement are subject to the restrictions set forth above, and provided further that in the case of (ii), any filings under Section 16 (a) of the Exchange Act, or any other public filing or disclosure of such transfer by or on behalf of the locked - up party, shall clearly indicate in the footnotes thereto that such transfer of shares or securities was solely to us pursuant to the circumstances described in this bullet point;

For portfolio investors in emerging - market currencies, bonds and securities — the scale of which dwarfs FDI and private - equity inputs — the quality of a country's financial institutions and the depth and liquidity of its markets are most important.

Paul Gallant, an equities analyst for Guggenheim Securities, said in a research note recently that the FCC rules, which were established three years ago, are fairly lenient toward wireless companies when it comes to developing new business models.

The Fund is appropriate for investors who are seeking long - term capital appreciation by investing primarily in equity securities of U.S. small - cap companies, are looking to hold their investments for the long term and can tolerate considerable fluctuations in their portfolio.

This new solution invests primarily in equity securities of U.S. small - cap companies that offer exposure to niche areas of the market, aiming to provide high growth potential and diversification benefits for Canadian investors.

This is not to say that Kickstarter is not concerned with the security of its backers, since all projects are screened rigorously before being eligible for funding, but that when it comes to a more long - term relationship between investor and entrepreneur, heightened regulation for equity crowdfunding is necessary.

Andrew Bowden, director of the Securities and Exchange Commission's examinations office, has drawn scrutiny over comments he made March 5 at a conference for private equity firms and other investors.

However, despite the outlook for low single - digit equity returns in 2016, «we do feel more optimistic about a number of cohorts and securities,» says Parker.

Federal Reserve securities lending trends and momentum indicators (for predicting the general direction of the U.S. equities market) is also covered.

For non-financial corporates, total net non-intermediated capital raisings (that is, issuance of short and long - term debt securities, hybrids and equities, all net of maturities / buybacks) reached record levels in the December quarter.

A Chartered Accountant with over 25 years of experience with HSBC, Credit Lyonnais Securities Asia and IIFL Group in Singapore and Mumbai, Mr. Prabodh Agrawal worked in equity capital markets for over 20 years before moving to the current role of Group CFO.

Relative to investing, we value investors look to identify equities selling for prices well below our estimate of their intrinsic value because history has taught us that the prices of these securities will converge toward their true worth.

In a difficult year for emerging markets securities, DBS raised $ 4.2 billion in 48 bonds, a higher value than any other bank in Singapore, and raised another $ 1.3 billion in 14 equity deals last year.

Potential risks and uncertainties include the availability of acceptable bank debt financing; the availability of acceptable additional equity investors; delays or interruptions in construction of power plants; the timely availability of required permits and authorizations for projects from governmental entities and third parties; changes in applicable regulatory requirements and incentives for production of solar power; and other risks described in the company's filings with the Securities and Exchange Commission.

(Of course, education for different types of securities will have have to be unique, i.e. equity vs. revenue - share.)

Australian Securities Exchange — May 20, 2016 2015 was a year of celebrations for Spark, winning a 15.01 % equity stake in New South Wales electricity network company TransGrid and a successful A$ 405.4 million entitlement offer to fund the deal.

Alternative investments, such as hedge funds, private equity, private debt and private real estate funds are not suitable for all investors and are only open to «accredited» or «qualified» investors within the meaning of U.S. securities laws.