Sentences with phrase «issuer of the securities»

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.
Further, if you've come to accept that your token is an investment contract, then based on these decisions, expect to be treated like any other issuer of securities.
Legal basis: § 5 (1)(5) and § 11 of the regulation of Minster of Finance of 19 February 2009 on current and periodic information to be submitted by issuers of securities and on conditions for recognizing as equivalent information required by the laws of a non-Member State.
Depositary receipts may or may not be sponsored by the issuers of the underlying securities, and information regarding issuers of securities underlying unsponsored depositary receipts may be more limited than for sponsored depositary receipts.
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.
One of the provisions of the JOBS Act instructed the SEC to clarify Rule 506 of Regulation D to allow general solicitation, provided that issuers of the securities took «reasonable steps» to verifty that purchasers of the securities were accredited investors.
Mutilated Security - Mutilated Security is a damaged security that prevents a person from identifying the original issuer of the security or other necessary identifying information.
As the largest pure litigation firm in the world, the absence of any corporate practice leaves us free to represent sovereign wealth funds vigorously against issuers of securities and banks, without conflicts and without any hesitation about losing transactional matters as a result of our litigation strategies against the money center financial institutions.
Section 201 (a) of the JOBS Act, required the SEC to eliminate the ban on using general solicitation in connection with the sale of securities (implemented through the creation of Rule 506 (c) under Regulation D), and further to amend Regulation A, to now permit issuers of securities to raise up to $ 50,000,000 from accredited and non-accredited investors.
Interprets security laws regulations and contract requirements; directs subordinates in enforcing compliance; and maintains relationships with law enforcement regulatory agencies and other issuers of security requirements
Under the exemption, we may maintain a platform that permits the offer, sale, purchase, or negotiation of securities, and are permitted to carry out solicitation, advertisements, or similar activities by issuers of the securities, both online (including social media), in person, and through other means.
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..)
However, in some instances it can reflect the country where the issuer of the securities carries out much of their business.
Geographic exposure relates principally to the domicile of the issuers of the securities held in the product, added together and then expressed as a percentage of the product's total holdings.
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.
Synthetic CDOs transfer the credit risk on a portfolio of (typically) business loans from the issuer of the securities to the investor, but do not involve a sale of the underlying claims on the businesses.
Distribution is a payment of interest, principal or dividend by the issuer of a security to the shareholders on a regular basis.
The first six digits of a CUSIP ID identify the issuer of the security.
The Fund holds securities in which the issuer of the security may default or otherwise be unable to honor a financial obligation.
An issuer of a security may be unwilling or unable to pay income on a security.
There may be less publicly available information regarding the issuer of the securities underlying a depositary receipt than if those securities were traded directly in U.S. securities markets.
Unlisted securities are purchased in direct placements from the issuer of the securities, or in the secondary market.
The third party, the CDS seller, is most often an institutional investing organization involved in credit speculation and will guarantee the underlying debt between the issuer of the security and the buyer.
How Security Futures Differ from the Underlying Security Shares of common stock represent a fractional ownership interest in the issuer of that security.
An investment in the portfolio should be made with an understanding of the risks associated with an investment in common stocks including the risk that the financial condition of the issuers of the securities or the general condition of the stock market may worsen.
There is no guarantee that an issuer of any securities included in the portfolio will declare dividends in the future or that, if declared, they will either remain at current levels or increase over time.
1 The estimate is as of the close of the prior business day and is based on annualizing the most recent dividends declared by the issuers of the securities included in the portfolio.
Non-listed securities are purchased in direct placements from the issuer of the securities, or in the secondary market.
An investment in the trust should be made with an understanding of the risks associated with an investment in common stocks including the risk that the financial condition of the issuers of the securities or the general condition of the stock market may worsen.
Securities purchased by the Fund that are liquid at the time of purchase may subsequently become illiquid due to events relating to the issuer of the securities, market events, economic conditions or investor perceptions.
A form of investment research that focuses on information and events in the marketplace itself, generally without reference to the fundamental underlying the issuers of the securities traded in the market.
Legal basis: § 5 (1)(5) and § 11 with relation to § 6 (2) of the regulation of Minster of Finance of 19 February 2009 on current and periodic information to be submitted by issuers of securities and on conditions for recognizing as equivalent information required by the laws of a non-Member State.
The tax would be imposed on financial transactions that are linked to the territory of one of the participating states: e.g. if one of the parties to the transaction is based in a participating state; if the issuer of the security is established in that state; if the financial institution is a branch of an institution based in a participating state.
Mr. Moreno is a regular contributor to various legal blogs discussing developments in the law affecting public companies, issuers of securities, banking and finance regulations, and companies with business in Latin America.
«Responsible issuer» is defined under Part XXIII.1 as either a «reporting issuer» under the Securities Act (which, broadly speaking, means a company that either is incorporated in Ontario or offers or trades its securities in Ontario or on an Ontario exchange) or an issuer of securities that otherwise has a «real and substantial connection» to Ontario.
He has been lead trial counsel on a number of national securities class actions and MDL proceedings, primarily representing broker - dealers and issuers of securities.
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