Sentences with phrase «for securities issuers»

Harbor intends to roll out its platform for securities issuers and licensed broker - dealers this summer.

The proposed amendment to Chapter 45 by adding Section 30 (21 VAC 5-45-30) provides for a notice filing for securities issuers that are using federal Regulation A for offerings up to $ 50 million in a 12 - month period.

If we receive security certificates (from you or a third party) that haven't been endorsed, you can register them in street name by completing an Irrevocable Stock or Bond Power Form PDF for each security issuer.

Not exact matches

The ownership and capital structure of the business, including the terms of each class of the issuer's securities and methods of valuation for the securities

«We appear to be seeing a coalescing of opinion by international regulators on the securities implications for certain digital token issuers and the intermediaries for token offerings.

a government, corporation, municipality, or agency that has issued a security (e.g., a bond) in order to raise capital or to repay other debt; the issuer goes to an underwriter to get their securities sold in the new issue market; for certificates of deposit (CDs), this is the bank that has issued the CD; in the case of fixed income securities, the issuer of the security is the primary determinant of the security's characteristics (e.g., coupon interest rate, maturity, call features, etc..)

PTE 80 - 83, Class Exemption for Certain Transactions Involving Purchase of Securities Where Issuer May Use Proceeds to Reduce or Retire Indebtedness to Parties in Interest.

D. Prohibited Transaction Exemption 80 - 83, Class Exemption for Certain Transactions Involving Purchase of Securities Where Issuer May Use Proceeds to Reduce or Retire Indebtedness to Parties in Interest; and

In a statement shortly after he sued JPMorgan Chase, Mr. Schneiderman said the lawsuit was a template «for future actions against issuers of residential mortgage - backed securities that defrauded investors and cost millions of Americans their homes.»

a program that offers fixed rate senior and subordinated, unsecured obligations from a variety of independent issuers on a weekly basis, with a range of maturities and structures available; maturities range from 9 months to 30 years for both callable and non-callable securities

For the first time in 80 years, companies will be able to advertise their securities offerings so long as the issuer takes additional steps to verify that each investor is an accredited investor.

Investor information and terms of the offering: CrowdCheck reviews for consistency in each instance where the issuer company describes the offering terms, identifies to investors how the issuer company reached its current valuation, and will track and keep in touch with its security holders.

Submission to the Ontario Securities Commission re: CSA Consultation Paper 51 - 404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers

Fixed - income securities also carry inflation risk and credit and default risks for both issuers and counterparties.

Impose disclosure requirements on issuers for certain information about their business and securities offering, and

Rule 506 (b) remains unchanged following the adoption of Rule 506 (c) and continues to be available for issuers that wish to conduct a Rule 506 offering without the use of general solicitation or that do not wish to limit sales of securities in the offering to accredited investors.

Convertible Debt - the term convertible debt basically, means securities that can be converted to other specified amounts of another security at the option of the holder and issuer, either single or both... Debentures or corporate bonds are traded for commodities stock within a specific period.

Fixed - income securities also carry inflation, credit, and default risks for both issuers and counterparties.

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.

-- The Securities and Exchange Commission shall revise the holding require - ment for a shareholder to be eligible to submit a share - holder proposal to an issuer in section 240.14 a — 8 (b)(1) of title 17, Code of Federal Regulations, to --

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 acts.

by Anita Anand This week, the Ontario Securities Commission and British Columbia Securities Commission simultaneously heard a case relating to the hostile takeover bid that Idaho's Hecla Mining Co. has launched for Dolly Varden Silver Corp., a junior issuer based in British Columbia.

Consider these risks before investing: The value of securities in the fund's portfolio may fall or fail to rise over extended periods of time for a variety of reasons, including general financial market conditions, changing market perceptions, changes in government intervention in the financial markets, and factors related to a specific issuer, industry, or sector and, in the case of bonds, perceptions about the risk of default and expectations about changes in monetary policy or interest rates.

Read the MSRB's quarterly resource guide for municipal securities issuers.

The U.S. Treasury is the largest issuer for these types of securities, although they can be issued by any organization.

Asset - backed securities allow issuers to generate more cash, which, in turn, is used for more lending while giving investors the opportunity to invest in a wide variety of income - generating assets.

Private debt issuers, in turn, could explore the admittedly limited potential for greater standardisation of issuance practices to help concentrate liquidity in a smaller number of securities.

The investor may have to wait a couple of weeks for the issuer to complete the process of selling the securities held within the ETF, and distributing the net proceeds after expenses.

TORONTO — The Ontario Securities Commission (OSC) today published an existing security holder prospectus exemption for reporting issuers listed on the Toronto Stock Exchange, TSX Venture Exchange, Canadian Securities Exchange or Aequitas NEO Exchange (upon the effective date of its recognition order).

The underwriter will guarantee a price to the issuer of the securities so that the issuer can honor the price on the open market; the underwriter provides insurance for these securities for a fee.

An issuer must be a Texas entity to be eligible for the crowdfunding exemption, and it may only offer securities in Texas.

ICO issuers that have been deemed to promote «misleading or deceptive» statements have been contacted by the securities watchdog for a formal inquiry, the statement said.

In a bid to improve the market's accessibility for foreign investors, the Brazilian Securities and Exchange Commission («CVM») is holding a public hearing for Brazilian issuers with the purpose of improving the regulations set through the recently implemented Instruction 561 and more specifically, those related to proxy disclosure, regulated by Instruction 481.

Broadly speaking, what Harbor claims to do is protect issuers and investors by making it easier for them to operate in accordance with securities, tax and other regulations when issuing and trading crypto - securities.

Most of the reason for this is that the question of whether a thing is or is not a security is a highly fact - dependent and, sitting from my perch on the East Coast and not in the offices of the issuers of these coins, I am in a very bad position to ascertain what is going on behind a company's closed doors, what's in their private correspondence and what intentions lay behind their issuances.

Some issuers prefer to relinquish the exchangeable security option so that their investors who will benefit from not having to pay taxes immediately on the exchange and also to avoid any transaction cost for the exchange.

RJA may also have performed investment banking services for the issuers of such securities.

Ouisa Capital encourages FINRA to use its position in the regulation of securities to help pursue the increase of issuer thresholds under Regulation CF.. We encourage FINRA to raise with the SEC the possibility of increasing the issuer threshold on a twelve month pilot basis to evaluate whether the increase achieves the desired effect of increasing capital formation while protecting the investing public from unscrupulous issuers that could use Regulation CF for nefarious purposes.

To provide investors with a source of monthly income, with the potential for long - term growth through capital appreciation and growth in dividends by investing primarily in common shares, convertible debentures and other equity related securities of U.S. issuers.

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.

One of those regulators was the Securities and Exchange Commission, which granted an assortment of waivers, including letting some or all of the banks remain «well - known seasoned issuers,» retain a safe harbor for forward - looking statements, and avoid disqualification under Rule 506 for doing private placements.

The Treasury Department's 2017 Capital Markets report recommended that «issuers of less - liquid stocks, in consultation with their underwriter and listing exchange, be permitted to partially or fully suspend UTP for their securities and select the exchanges and venues upon which their securities will trade.»

Securities Regulations Exemptions — Vote Passed (232 - 188, 12 Not Voting) Passage of the bill would require an issuer of securities to meet a specific set of criteria in order for the issuer's transactions to constitute a sale of «nonpublic» securities that are exempt from registration with the Securities and Exchange Commission and from state rSecurities Regulations Exemptions — Vote Passed (232 - 188, 12 Not Voting) Passage of the bill would require an issuer of securities to meet a specific set of criteria in order for the issuer's transactions to constitute a sale of «nonpublic» securities that are exempt from registration with the Securities and Exchange Commission and from state rsecurities to meet a specific set of criteria in order for the issuer's transactions to constitute a sale of «nonpublic» securities that are exempt from registration with the Securities and Exchange Commission and from state rsecurities that are exempt from registration with the Securities and Exchange Commission and from state rSecurities and Exchange Commission and from state regulation.

FAA / ASH personnel security specialists who are provided access to the system and to PIV card request data in order to perform relevant PIV role for registrar and issuer functions.

A warrant is a time - limited right to subscribe for shares, debentures, loan stock or government securities and is exercisable against the original issuer of the underlying securities.

While most major credit card issuers will ask for a Social Security number (SSN) when you apply for a card, there are alternative forms of identification that might be accepted.

, well, we can't answer that, and your issuer probably won't, «for security reasons».

The issuer will monitor risky websites on the dark web, scanning for your Social Security Number.

In some cases, the issuer may agree to a limit increase without additional security funds if you have demonstrated consistent responsible card use for a period of time (usually six to twelve months).

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.