Sentences with phrase «security issuers»

Each class of securities is then diversified properly to mitigate the risk that the failure of a single security issuer will bring down the entire enterprise.

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

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

The risk that a debt security issuer will be unable to pay interest on the prescribed date or the principal at maturity.

He also represents securities issuers in matters before the SEC, advises companies conducting internal investigations and represents companies in the coordinated defense of parallel government and private party civil proceedings.

Powered by the blockchain and smart contract technology, Polymath and its unique Security Token Standard Protocol, ST - 20, enables securities issuers to create digital tokens to represent shares and other instruments relating to traditional financial assets like private equity, stocks, debentures, commodities, VC funds, real estate, royalties, and insurance.

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.

Mr. Doty continues to serve as consultant to, and municipal bond expert witness on municipal finance in consultation with, legal counsel to municipal securities issuers, underwriters, municipal advisors, bond counsel, trustees, investors and governmental agencies.

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

Broadridge: Broadridge provides investor communications (statements, proxy voting and other notifications that security issuers, banks and brokers must send to shareholders and clients) and trade processing.

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.

And similar to rating agencies, it has to be that way, because only the securities issuer has a concentrated interest in the issuance of a security, and for bonds, the rating.

Their posture reflects the way Wall Street positions itself for those they make money from: securities issuers, not securities buyers.

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.

Because these securities often have long lifetimes, there will often be fluctuations in the security issuer's credit over time, prompting speculators to think that the issuer is entering a period of high or low risk.

Current members of our firm include a former chief executive of a FINRA member firm, general counsel and chief operating officer to securities issuers, a Securities and Exchange Commission enforcement attorney and an arbitrator certified by FINRA with intimate knowledge of the challenges and objectives faced by broker - dealers, issuers, representatives and investment advisers.

On May 5, 2015, the Canadian Securities Administrators (CSA) adopted amendments to National Instrument 45 - 106 Prospectus Exemptions («NI 45 - 106») changing the accredited investor and minimum amount exemptions — and squarely placing a positive onus on securities issuers and sellers to make sure an investor actually qualifies for the exemption.

The «Crowdfunding Exemption» adopted by several provinces in November 2015, and the «Offering Memorandum Exemption» recently adopted by Ontario, provide specific reporting exemptions for smaller - scale businesses and securities issuers.

FHFA is calling for the creation of the new, distinct entity to eventually allow for any lender, securities issuer or mortgage servicer that chooses to participate.