Sentences with phrase «seller of securities»

By contrast, the purchaser and seller of a security futures contract each enter into an agreement to buy or sell a specific quantity of shares in the underlying security.

A marketplace where buyers and sellers of securities meet to trade with each other and where prices are established according to laws of supply and demand.

Additionally, claimants, as sellers of the securities, could assert fraud claims against the funders for misrepresentations about the terms of the transaction, thus providing a potential remedy for predatory lending.

Sure, investors are paying the fees, but if a trustee wants to be hired by sellers of securities in the future, being combative on problematic loan pools may be unwise.

The paper aims to explore the price versus quality debate from the perspectives of both buyers and sellers of security solutions, in order to identify the relative advantages and disadvantages between low - priced and high - quality solutions.

The paper is authored by Dr Terence Tse, an associate professor of finance at ESCP Europe Business School, and explores the price versus quality debate from the perspectives of both buyers and sellers of security solutions, in order to identify the relative advantages and disadvantages between low - priced and high - quality solutions.

But the company has since registered as a seller of securities, and its future once again seems promising.

The only way to get rid of them is to pass them on to someone else, typically by buying a more speculative security, at which point the seller of that security receives the zero - interest cash.

An investment dealer operates as an agent when it acts on behalf of a buyer or a seller of a security and does not itself own title to the securities at any time during the transactions.

A person who acts as an intermediary between the buyer and seller of a security, insurance product, or mutual fund, often paid by commission.

This convention is also used for the purpose of calculating accrued interest due from a buyer to a seller of a security sold between interest payment dates.

«It focuses on the actions of the seller of the securities, not the relationship between seller and buyer,» the judge said.

Second, the securities laws include broad antifraud provisions, including a private right of action afforded to purchasers and sellers of securities by § 10 (b) of the Securities Exchange Act.

Smith predicted that big banks, such as JPMorgan Chase & Co, would adopt new technologies to cut costs for back offices that process loans and match buyers and sellers of securities.