Sentences with phrase «issued by your investment company»

Section IV (c) of PTE 84 - 24 requires investment company Principal Underwriters to obtain approval from an independent fiduciary and furnish the independent fiduciary with a written disclosure in order to receive commissions in conjunction with the purchase by a plan of securities issued by an investment company Principal Underwriter.

If you own a bond mutual fund or ETF (exchange - traded fund), you'll need to calculate the amount of income you earned from the fund's government bond holdings (if any) in order to take advantage of this exemption when you file your taxes — it won't be reflected on the tax forms issued by your investment company.

Not exact matches

Such risks, uncertainties and other factors include, without limitation: (1) the effect of economic conditions in the industries and markets in which United Technologies and Rockwell Collins operate in the U.S. and globally and any changes therein, including financial market conditions, fluctuations in commodity prices, interest rates and foreign currency exchange rates, levels of end market demand in construction and in both the commercial and defense segments of the aerospace industry, levels of air travel, financial condition of commercial airlines, the impact of weather conditions and natural disasters and the financial condition of our customers and suppliers; (2) challenges in the development, production, delivery, support, performance and realization of the anticipated benefits of advanced technologies and new products and services; (3) the scope, nature, impact or timing of acquisition and divestiture or restructuring activity, including the pending acquisition of Rockwell Collins, including among other things integration of acquired businesses into United Technologies» existing businesses and realization of synergies and opportunities for growth and innovation; (4) future timing and levels of indebtedness, including indebtedness expected to be incurred by United Technologies in connection with the pending Rockwell Collins acquisition, and capital spending and research and development spending, including in connection with the pending Rockwell Collins acquisition; (5) future availability of credit and factors that may affect such availability, including credit market conditions and our capital structure; (6) the timing and scope of future repurchases of United Technologies» common stock, which may be suspended at any time due to various factors, including market conditions and the level of other investing activities and uses of cash, including in connection with the proposed acquisition of Rockwell; (7) delays and disruption in delivery of materials and services from suppliers; (8) company and customer - directed cost reduction efforts and restructuring costs and savings and other consequences thereof; (9) new business and investment opportunities; (10) our ability to realize the intended benefits of organizational changes; (11) the anticipated benefits of diversification and balance of operations across product lines, regions and industries; (12) the outcome of legal proceedings, investigations and other contingencies; (13) pension plan assumptions and future contributions; (14) the impact of the negotiation of collective bargaining agreements and labor disputes; (15) the effect of changes in political conditions in the U.S. and other countries in which United Technologies and Rockwell Collins operate, including the effect of changes in U.S. trade policies or the U.K.'s pending withdrawal from the EU, on general market conditions, global trade policies and currency exchange rates in the near term and beyond; (16) the effect of changes in tax (including U.S. tax reform enacted on December 22, 2017, which is commonly referred to as the Tax Cuts and Jobs Act of 2017), environmental, regulatory (including among other things import / export) and other laws and regulations in the U.S. and other countries in which United Technologies and Rockwell Collins operate; (17) the ability of United Technologies and Rockwell Collins to receive the required regulatory approvals (and the risk that such approvals may result in the imposition of conditions that could adversely affect the combined company or the expected benefits of the merger) and to satisfy the other conditions to the closing of the pending acquisition on a timely basis or at all; (18) the occurrence of events that may give rise to a right of one or both of United Technologies or Rockwell Collins to terminate the merger agreement, including in circumstances that might require Rockwell Collins to pay a termination fee of $ 695 million to United Technologies or $ 50 million of expense reimbursement; (19) negative effects of the announcement or the completion of the merger on the market price of United Technologies» and / or Rockwell Collins» common stock and / or on their respective financial performance; (20) risks related to Rockwell Collins and United Technologies being restricted in their operation of their businesses while the merger agreement is in effect; (21) risks relating to the value of the United Technologies» shares to be issued in connection with the pending Rockwell acquisition, significant merger costs and / or unknown liabilities; (22) risks associated with third party contracts containing consent and / or other provisions that may be triggered by the Rockwell merger agreement; (23) risks associated with merger - related litigation or appraisal proceedings; and (24) the ability of United Technologies and Rockwell Collins, or the combined company, to retain and hire key personnel.

The beverage company's new guidelines for a plan already approved by shareholders at the annual meeting earlier this year mean it will issue fewer stock awards each year, addressing concerns that the plan would dilute their investments and was too generous.

But be aware that floating - rate securities are typically issued by companies with below - investment grade balance sheets.

And commentators remain judgmental to this day: for example, almost all the»96 roundups skipped offerings that came to market without the backing of investment bankers, although at least one issue managed by a company CEO thrashed the underwritten crowd.

Title II of the Jumpstart Our Business Startups Act (JOBS Act), which went into effect today, has lifted the ban on «general solicitation» of investments by companies that rely on a widely used regulatory exemption to issue securities.

Many small - and medium - size banks are increasingly raising money for loans, bond purchases and other investments by issuing wealth management products, and even some largely unregulated companies have begun issuing wealth management products.

Fixed annuities available at Fidelity are issued by third - party insurance companies, which are not affiliated with any Fidelity Investments company.

Indian Angel Network (IAN) has made an undisclosed investment in Gurgaon - based FarMart, a renting platform for farm equipment, a statement issued by the company stated.

But a stop order on pre-prospectus publications by the mining company has been issued by the Australian Securities & Investments Commission (ASIC), has put a stop on that dream for now.

Other insurance products available at Fidelity are issued by third - party insurance companies, which are not affiliated with any Fidelity Investments company.

In addition to incorporating your values into your everyday spending and long - term goals, you can consider aligning your beliefs and investments by investing in companies that support your issues.

Abu Dhabi on June 29 issued a resolution to merge state investment funds Mubadala Development and International Petroleum Investment Company, according to a statement carried by the state news ainvestment funds Mubadala Development and International Petroleum Investment Company, according to a statement carried by the state news aInvestment Company, according to a statement carried by the state news agency WAM.

Factors that could cause actual results to differ materially from those expressed or implied in any forward - looking statements include, but are not limited to: changes in consumer discretionary spending; our eCommerce platform not producing the anticipated benefits within the expected time - frame or at all; the streamlining of the Company's vendor base and execution of the Company's new merchandising strategy not producing the anticipated benefits within the expected time - frame or at all; the amount that we invest in strategic transactions and the timing and success of those investments; the integration of strategic acquisitions being more difficult, time - consuming, or costly than expected; inventory turn; changes in the competitive market and competition amongst retailers; changes in consumer demand or shopping patterns and our ability to identify new trends and have the right trending products in our stores and on our website; changes in existing tax, labor and other laws and regulations, including those changing tax rates and imposing new taxes and surcharges; limitations on the availability of attractive retail store sites; omni - channel growth; unauthorized disclosure of sensitive or confidential customer information; risks relating to our private brand offerings and new retail concepts; disruptions with our eCommerce platform, including issues caused by high volumes of users or transactions, or our information systems; factors affecting our vendors, including supply chain and currency risks; talent needs and the loss of Edward W. Stack, our Chairman and Chief Executive Officer; developments with sports leagues, professional athletes or sports superstars; weather - related disruptions and seasonality of our business; and risks associated with being a controlled cCompany's vendor base and execution of the Company's new merchandising strategy not producing the anticipated benefits within the expected time - frame or at all; the amount that we invest in strategic transactions and the timing and success of those investments; the integration of strategic acquisitions being more difficult, time - consuming, or costly than expected; inventory turn; changes in the competitive market and competition amongst retailers; changes in consumer demand or shopping patterns and our ability to identify new trends and have the right trending products in our stores and on our website; changes in existing tax, labor and other laws and regulations, including those changing tax rates and imposing new taxes and surcharges; limitations on the availability of attractive retail store sites; omni - channel growth; unauthorized disclosure of sensitive or confidential customer information; risks relating to our private brand offerings and new retail concepts; disruptions with our eCommerce platform, including issues caused by high volumes of users or transactions, or our information systems; factors affecting our vendors, including supply chain and currency risks; talent needs and the loss of Edward W. Stack, our Chairman and Chief Executive Officer; developments with sports leagues, professional athletes or sports superstars; weather - related disruptions and seasonality of our business; and risks associated with being a controlled cCompany's new merchandising strategy not producing the anticipated benefits within the expected time - frame or at all; the amount that we invest in strategic transactions and the timing and success of those investments; the integration of strategic acquisitions being more difficult, time - consuming, or costly than expected; inventory turn; changes in the competitive market and competition amongst retailers; changes in consumer demand or shopping patterns and our ability to identify new trends and have the right trending products in our stores and on our website; changes in existing tax, labor and other laws and regulations, including those changing tax rates and imposing new taxes and surcharges; limitations on the availability of attractive retail store sites; omni - channel growth; unauthorized disclosure of sensitive or confidential customer information; risks relating to our private brand offerings and new retail concepts; disruptions with our eCommerce platform, including issues caused by high volumes of users or transactions, or our information systems; factors affecting our vendors, including supply chain and currency risks; talent needs and the loss of Edward W. Stack, our Chairman and Chief Executive Officer; developments with sports leagues, professional athletes or sports superstars; weather - related disruptions and seasonality of our business; and risks associated with being a controlled companycompany.

Emerging companies While many high yield bonds are issued by former investment grade companies in decline, the high yield market also provides financing opportunities for emerging companies seeking working capital for expansion or to fund acquisitions.

Because ADRs are issued by non-U.S. companies, they entail special risks inherent to all foreign investments.

There are many other tactics shareowners use as levers including, investor statements endorsed by a broad group of institutional investors; direct outreach to other shareholders; proxy voting services; and other investment advisors to gain support for specific shareholder proposals; and, outreach to consumers and the press as a way to draw public attention to an issue or a company.

Because ADRs are issued by non-U.S companies, they entail special risks inherent to all foreign investments and may be subject to periodic service fees as well.

Variable Rate Demand Note Inventory and Remarketing PNC has a portfolio which approaches $ 8 billion and includes issues enhanced by letters of credit from investment grade commercial banks and insurance companies with bank liquidity facilities.

Chinese companies faced the most scrutiny over their U.S. acquisitions in 2012, according to a report issued in December by the Committee on Foreign Investment in the United States.

The MEMBERS Variable Annuity Series, issued by Transamerica Life Insurance Company, is designed for investment growth with income protection.

Floating rate bank loans are loans issued by below investment grade companies for short term funding purposes with higher yield than short - term debt and involve risk.

They are riskier than bonds issued by higher rated investment - grade companies, so they often offer higher yields.

These instruments are issued by investment grade companies with credit rating of BBB - or higher.

Out of the almost 5K investment - grade bonds issued by S&P 500 companies, the tracked index for the ProShares S&P 500 Bond ETF (SPXB) selects up to 1K...

Examples of these risks, uncertainties and other factors include, but are not limited to the impact of: adverse general economic and related factors, such as fluctuating or increasing levels of unemployment, underemployment and the volatility of fuel prices, declines in the securities and real estate markets, and perceptions of these conditions that decrease the level of disposable income of consumers or consumer confidence; adverse events impacting the security of travel, such as terrorist acts, armed conflict and threats thereof, acts of piracy, and other international events; the risks and increased costs associated with operating internationally; our expansion into and investments in new markets; breaches in data security or other disturbances to our information technology and other networks; the spread of epidemics and viral outbreaks; adverse incidents involving cruise ships; changes in fuel prices and / or other cruise operating costs; any impairment of our tradenames or goodwill; our hedging strategies; our inability to obtain adequate insurance coverage; our substantial indebtedness, including the ability to raise additional capital to fund our operations, and to generate the necessary amount of cash to service our existing debt; restrictions in the agreements governing our indebtedness that limit our flexibility in operating our business; the significant portion of our assets pledged as collateral under our existing debt agreements and the ability of our creditors to accelerate the repayment of our indebtedness; volatility and disruptions in the global credit and financial markets, which may adversely affect our ability to borrow and could increase our counterparty credit risks, including those under our credit facilities, derivatives, contingent obligations, insurance contracts and new ship progress payment guarantees; fluctuations in foreign currency exchange rates; overcapacity in key markets or globally; our inability to recruit or retain qualified personnel or the loss of key personnel; future changes relating to how external distribution channels sell and market our cruises; our reliance on third parties to provide hotel management services to certain ships and certain other services; delays in our shipbuilding program and ship repairs, maintenance and refurbishments; future increases in the price of, or major changes or reduction in, commercial airline services; seasonal variations in passenger fare rates and occupancy levels at different times of the year; our ability to keep pace with developments in technology; amendments to our collective bargaining agreements for crew members and other employee relation issues; the continued availability of attractive port destinations; pending or threatened litigation, investigations and enforcement actions; changes involving the tax and environmental regulatory regimes in which we operate; and other factors set forth under «Risk Factors» in our most recently filed Annual Report on Form 10 - K and subsequent filings by the Company with the Securities and Exchange Commission.

Investments in stocks or bonds issued by non-U.S. companies are subject to risks including country / regional risk and currency risk.

DiNapoli on Thursday announced he had issued a shareholder request that would lever the state's pension fund investment in the company to disclose political giving by Aetna.

Church says the field only drew serious investment, spawning new companies and new rivalries, after a team led by Harvard's Chad Cowan and Kiran Musunuru showed in the 4 April 2013 issue of Cell Stem Cell that CRISPR was far superior to existing genomeediting tools.

The rate of return for a particular investment depends on the type of debt instrument and the terms set by the issuing company.

Prospectuses for variable annuities issued by a Brighthouse Financial insurance company, and for the investment portfolios offered thereunder, are available from Brighthouse Financial.

Investments in bonds issued by non-U.S. companies are subject to risks including country / regional risk, which is the chance that political upheaval, financial troubles, or natural disasters will adversely affect the value of securities issued by companies in foreign countries or regions; and currency risk, which is the chance that the value of a foreign investment, measured in U.S. dollars, will decrease because of unfavorable changes in currency exchange rates.

EFTL - 99200 et al.) is issued by Empire Fidelity Investments Life Insurance Company, ® New York, N.Y. Fidelity Insurance Agency, Inc., is the distributor.

FTL - 96200 et al. and FTL - 99200 et al.) is issued by Fidelity Investments Life Insurance Company and, for New York residents, Empire Fidelity Investments Term Life Insurance (Policy Form No.

Issued by our Grand Cayman branch, Eurodollar deposits don't have FDIC insurance, but they can offer an alternate investment with a competitive yield for your company's investment needs.

The S&P 500 Investment Grade Corporate Bond Index provides a view of the performance of corporate bonds issued by the blue chip companies in the iconic S&P 500 Index, other index inclusion criteria including par amount minimums are the same as the broader corporate bond index.

Consider, for example, an investment that consists of only stock issued by a single company.

They are riskier than bonds issued by higher rated investment - grade companies, so they often offer higher yields.

However, notes issued by a corporation for the general use of the company, where the buyer is primarily interested in the interest to be earned on the notes, would be considered an investment contract.

If you own a variable annuity issued by an insurance company you may be thinking that you'd rather roll over its value into an IRA — to give you more control over your investment.

Corporate bonds are issued by companies and can either be investment grade on non-investment grade bonds.

* Guarantees are backed by the claims - paying ability of the issuing insurance company and do not apply to the principal amount or investment performance of a variable annuity's separate account or its underlying investments.

Variable annuities are long - term, tax - deferred investments issued by insurance companies that offer a unique combination of growth potential and guarantees † designed to help you pursue your retirement and investing goals.

The Fidelity ® High Income Fund (SPHIX) is an actively managed mutual fund issued by Fidelity Investments and advised by Fidelity Management & Research Company.

Investment grade corporate bonds issued by «blue chip» companies tracked in the S&P 500 Investment Grade Corporate Bond Index barely held even and corporate junk bonds ended in the red.

Investments in bonds issued by non-U.S. companies are subject to risks including country / regional risk and currency risk.

The fund may invest in securities issued by domestic or foreign companies; in fixed - income securities that are investment grade and below investment grade, but limits its investments in below - investment - grade securities to no more than 10 % of its net assets; may include real estate investment trusts, investments that provide exposure to commodities (such as ETFs or natural resources companies), and derivatives, including futures and options.

The fund invests at least 80 % of its net assets (plus any borrowings for investment purposes) in securities issued by small - and mid-capitalization companies.

Corporate bonds are debts issued by industrial, financial and service companies to finance capital investment and operating cash flow.