Sentences with phrase «trade of public securities»

Once the frame of reference departs from the trade of public securities and applies to buying or selling whole companies or buildings, however, it becomes apparent that such access may be severely lacking, and, hence, that one of the central assumptions of the efficient market hypothesis has been violated.

Not exact matches

During the dotcom boom of the late»90s, many securities - law firms traded legal fees for equity to take high - flying tech companies public.

So - called self - regulatory organizations like the National Association of Securities Dealers are relatively toothless; trade groups like the American Institute of Certified Public Accountants stubbornly protect their own.

Mylan is one of only a few public companies, and the only publicly - traded pharmaceutical maker, that uses these tax credits, a Reuters review of a comprehensive database of filings with the U.S. Securities and Exchange Commission found.

But in the markets, the notion of what is public and what is private and what can and can not be shared is rooted in the legal constructs of the securities laws surrounding insider trading and Regulation FD.

Our team of credit professionals deliver sales and trading capabilities across a wide range of fixed income asset classes including high yield, distressed and investment grade bonds, convertible bonds, public and private corporate securities, leveraged loans and emerging market debt.

While, prior to this offering, our shares have not been listed on any stock exchange or other public trading market, there has been some trading of our securities, for instance, in private trades or trades on alternative online markets, such as SecondMarket and SharesPost, that exist for privately traded securities.

Chinese - language reports in Hong Kong in March said the Securities and Futures Commission, the main stock market regulator, had requested the trading records of Meitu from local stockbrokers on three occasions since December, when it raised $ 629 million in an initial public offering.

Managers employ fundamental credit processes focused on valuation and asset coverage of securities of distressed firms; in most cases portfolio exposures are concentrated in instruments that are publicly traded, in some cases actively and in others under reduced liquidity but in general for which a reasonable public market exists.

Master Limited Partnerships (MLP)- It's a combination of limited partnership and public traded securities.

Last Thursday, James Mattis, the Defense Secretary, published a public letter concluding that the decline of the American industry as a result of unfair trade posed a threat to national security, a position aligned with the Commerce Department's.

Given the absence of a public trading market of our common stock, and in accordance with the American Institute of Certified Public Accountants Accounting and Valuation Guide, Valuation of Privately - Held Company Equity Securities Issued as Compensation, our board of directors exercised reasonable judgment and considered numerous and subjective factors to determine the best estimate of fair value of our common stock, including independent third - party valuations of our common stock; the prices at which we sold shares of our convertible preferred stock to outside investors in arms - length transactions; the rights, preferences, and privileges of our convertible preferred stock relative to those of our common stock; our operating results, financial position, and capital resources; current business conditions and projections; the lack of marketability of our common stock; the hiring of key personnel and the experience of our management; the introduction of new products; our stage of development and material risks related to our business; the fact that the option grants involve illiquid securities in a private company; the likelihood of achieving a liquidity event, such as an initial public offering or a sale of our company given the prevailing market conditions and the nature and history of our business; industry trends and competitive environment; trends in consumer spending, including consumer confidence; and overall economic indicators, including gross domestic product, employment, inflation and interest rates, and the general economic oupublic trading market of our common stock, and in accordance with the American Institute of Certified Public Accountants Accounting and Valuation Guide, Valuation of Privately - Held Company Equity Securities Issued as Compensation, our board of directors exercised reasonable judgment and considered numerous and subjective factors to determine the best estimate of fair value of our common stock, including independent third - party valuations of our common stock; the prices at which we sold shares of our convertible preferred stock to outside investors in arms - length transactions; the rights, preferences, and privileges of our convertible preferred stock relative to those of our common stock; our operating results, financial position, and capital resources; current business conditions and projections; the lack of marketability of our common stock; the hiring of key personnel and the experience of our management; the introduction of new products; our stage of development and material risks related to our business; the fact that the option grants involve illiquid securities in a private company; the likelihood of achieving a liquidity event, such as an initial public offering or a sale of our company given the prevailing market conditions and the nature and history of our business; industry trends and competitive environment; trends in consumer spending, including consumer confidence; and overall economic indicators, including gross domestic product, employment, inflation and interest rates, and the general economic ouPublic Accountants Accounting and Valuation Guide, Valuation of Privately - Held Company Equity Securities Issued as Compensation, our board of directors exercised reasonable judgment and considered numerous and subjective factors to determine the best estimate of fair value of our common stock, including independent third - party valuations of our common stock; the prices at which we sold shares of our convertible preferred stock to outside investors in arms - length transactions; the rights, preferences, and privileges of our convertible preferred stock relative to those of our common stock; our operating results, financial position, and capital resources; current business conditions and projections; the lack of marketability of our common stock; the hiring of key personnel and the experience of our management; the introduction of new products; our stage of development and material risks related to our business; the fact that the option grants involve illiquid securities in a private company; the likelihood of achieving a liquidity event, such as an initial public offering or a sale of our company given the prevailing market conditions and the nature and history of our business; industry trends and competitive environment; trends in consumer spending, including consumer confidence; and overall economic indicators, including gross domestic product, employment, inflation and interest rates, and the general economiSecurities Issued as Compensation, our board of directors exercised reasonable judgment and considered numerous and subjective factors to determine the best estimate of fair value of our common stock, including independent third - party valuations of our common stock; the prices at which we sold shares of our convertible preferred stock to outside investors in arms - length transactions; the rights, preferences, and privileges of our convertible preferred stock relative to those of our common stock; our operating results, financial position, and capital resources; current business conditions and projections; the lack of marketability of our common stock; the hiring of key personnel and the experience of our management; the introduction of new products; our stage of development and material risks related to our business; the fact that the option grants involve illiquid securities in a private company; the likelihood of achieving a liquidity event, such as an initial public offering or a sale of our company given the prevailing market conditions and the nature and history of our business; industry trends and competitive environment; trends in consumer spending, including consumer confidence; and overall economic indicators, including gross domestic product, employment, inflation and interest rates, and the general economisecurities in a private company; the likelihood of achieving a liquidity event, such as an initial public offering or a sale of our company given the prevailing market conditions and the nature and history of our business; industry trends and competitive environment; trends in consumer spending, including consumer confidence; and overall economic indicators, including gross domestic product, employment, inflation and interest rates, and the general economic oupublic offering or a sale of our company given the prevailing market conditions and the nature and history of our business; industry trends and competitive environment; trends in consumer spending, including consumer confidence; and overall economic indicators, including gross domestic product, employment, inflation and interest rates, and the general economic outlook.

He represents issuers and underwriters in public and private initial and follow - on offerings of equity and debt securities, banks and hedge funds in secondary market par and distressed debt trading, and sponsors of and liquidity providers to securitization vehicles in connection with transactions and regulation applicable to their activities.

Prior to this offering, our shares have not been listed on any stock exchange or other public trading market, but there has been some trading of our securities in private trades.

CPALL Stock Exchange of Thailand — April 21, 2016 In December, 2015, Thailand's Securities and Exchange Commission («SEC») issued fines totalling THB 34 million against six individuals for insider trading by unfairly using inside information to purchase shares of Siam Makro Public Company Limited (SET: MAKRO)(«Makro») just before CP ALL announced its acquisition plan of Makro in April 2013.

Second, concerns about China's political culture / values (especially human rights) and security issues seem to be less of a factor in shaping public hesitancy around a free trade agreement when compared to certain economic considerations.

The Chicago Mercantile Exchange had gone public in 2002, while the International Securities Exchange listed in March 2005, followed by the Chicago Board of Trade's IPO in October 2005, followed by the November 2005 ICE public offering.

IPSX, the International Property Securities Exchange, will operate the first dedicated exchange globally to provide a public stock market solely for the admission and trading of shares in companies owning and managing individual commercial property assets.

Services such as public finance advisory services, securities underwriting, and securities sales and trading are provided by PNC Capital Markets LLC, a registered broker - dealer and member of FINRA and SIPC.

The Texas Act would apply to any person who (i) beneficially owns any securities of a «Texas - based public company» (defined as a publicly traded company whose «headquarters» are located in Texas) and (ii) is an «activist investor» (defined as any person who directly or indirectly nominates or attempts to nominate directors or makes or attempts to make a shareholder proposal with respect to the company).

With such measures backed up by strong trade unions, quality public services and other social security payments (such as to cover the additional living costs of disability), a society of this kind would certainly look very different to the scenario otherwise predicted by Piketty.

On Monday, the largest public workers union, the CSEA, suspended all political endorsements and campaign contributions over the pension package, saying lawmakers traded the retirement security of future workers in exchange for new district lines, which were also passed in the all night session.

In this case, the primary market would be the «closed» world of VCs, business angels, etc to which stock market investors do not have access, e.g. the securities are not trading on a public stock market.

Actively traded securities: Securities that have a current worldwide average daily trading volume over 60 consecutive calendar days (ADTV) of at least $ 1 million and an issuer with common equity securities having a public float value of at least $ 15securities: Securities that have a current worldwide average daily trading volume over 60 consecutive calendar days (ADTV) of at least $ 1 million and an issuer with common equity securities having a public float value of at least $ 15Securities that have a current worldwide average daily trading volume over 60 consecutive calendar days (ADTV) of at least $ 1 million and an issuer with common equity securities having a public float value of at least $ 15securities having a public float value of at least $ 150 million.

Illiquid asset Immediate - or - cancel Income bond Income statement Indenture Index Indication of interest Individual Retirement Account (IRA) Industrial revenue bonds Inflation Inflation rate Initial public offering Inside market Insider Instinet Institutional investor Intangible drilling and development costs Integration Interbank market Interest Intermarket Trading System (ITS) Interpositioning In - the - money Intrastate offering Intrinsic value Introducing broker / dealers Inventory Inverted head and shoulders pattern Investment Investment adviser Investment Advisers Act of 1940 Investment banker Investment Company Investment Company Act of 1940 Investment contract Investment grade securities Investor brochure In - whole call IOC IPO Issue Issuer

This condition is used for an exemption from Regulation M, which restricts the trading of an existing security by participants in a public offering of that security.

Parity Parity price Participating preferred stock Participating (semi-fixed) Trusts Partnership Par value Passive income Pass - through security Payment date P / E ratio Penny stocks PHA Bonds Phantom income Pink sheets Placement Ratio Plan completion life insurance PN Point Portfolio income Position limits Positions book Pot Power of attorney Pre-dispute arbitration clause Preemptive right Preferred stock Preliminary prospectus Preliminary study Preliminary statement Premium Pre-refunding Pre-sale order Price to Earnings ratio Primary distribution Primary market Prime rate Principal Principal stockholder Principal transactions Private placement Private placement memorandum Private securities transaction Proceeds sale Production purchase program Profile Profit - sharing plans Program trading Progressive tax Project note Prospectus Prospectus delivery period Proxy Prudent Man Rule Public float value Public Housing Authority Bonds Public Offering Public offering price Purchaser's representative Put bond Put option Put spread

The downgrade could add up to 0.7 of a percentage point to Treasuries» yields over time, increasing funding costs for public debt by some $ 100 billion, according to SIFMA, a U.S. securities industry trade group.

In particular, market risk refers to fluctuations in the prices of securities mostly traded in public markets.

For maximum security for your transactions, access online trading from the most current public, non-beta release of Microsoft Internet Explorer browser

In December, a forum in Beijing focused on the health, public security, and moral impacts of the dog meat trade.

You will not, and will not allow or authorize others to, use the Services, the Sites or any Materials therein to take any actions that: (i) infringe on PetSmart Charities» or any third party's copyright, patent, trademark, trade secret or other intellectual or proprietary rights, or rights of publicity or privacy; (ii) violate any applicable law, statute, ordinance or regulation (including those regarding export control); (iii) are defamatory, trade libelous, threatening, harassing, invasive of privacy, stalking, harassment, abusive, tortuous, hateful, constitute discrimination based on race, religion, ethnicity, gender, sex, disability or other protected grounds, or are pornographic or obscene; (iv) interfere with or disrupt any services or equipment with the intent of causing an excessive or disproportionate load on PetSmart Charities or its licensors or suppliers» infrastructure; (v) involve knowingly distributing viruses, Trojan horses, worms, or other similar harmful or deleterious programming routines; (vi) involve the preparation and / or distribution of «junk mail», «spam», «chain letters», «pyramid schemes» or other deceptive online marketing practices, or any unsolicited bulk email or unsolicited commercial email or otherwise in a manner that violate any applicable «anti-spam» legislation, including that commonly referred to as «CASL»; (vii) would be or encourage conduct that could constitute a criminal offense, give rise to civil liability or otherwise violate any applicable local, state, national or international laws or regulations; (viii) involve the unauthorized entry to any machine accessible via the Services or interference with the Sites or any servers or networks connected to the Sites or disobey any requirements, procedures, policies or regulations of networks connected to the Sites, or attempt to breach the security of or disrupt Internet communications on the Sites (including without limitation accessing data to which you are not the intended recipient or logging into a server or account for which you are not expressly authorized); (ix) impersonate any person or entity, including, without limitation, one of PetSmart Charities» or another party's officers or employees, or falsely state or otherwise misrepresent your affiliation with a person or entity; (x) forge headers or otherwise manipulate identifiers in order to disguise the origin of any information transmitted through the Sites; (xi) collect or store personal data about other account users or attempt to gain access to other account users» accounts or otherwise mine information about other account users or the Sites, or interfere with any other user's ability to access or use the Sites; (xii) execute any form of network monitoring or run a network analyzer or packet sniffer or other technology to intercept, decode, mine or display any packets used to communicate between the Sites» servers or any data not intended for you; (xiii) attempt to circumvent authentication or security of any content, host, network or account («cracking») on or from the Sites; or (xiv) in PetSmart Charities» sole discretion, are contrary to PetSmart Charities» public image, goodwill, reputation or mission, or otherwise not in furtherance of our Vision of a lifelong, loving home for every pet.

You will not, and will not allow or authorize others to, use the Services or the Sites to take any actions that: (i) infringe on any third party's copyright, patent, trademark, trade secret or other proprietary rights or rights of publicity or privacy; (ii) violate any applicable law, statute, ordinance or regulation (including those regarding export control); (iii) are defamatory, trade libelous, threatening, harassing, invasive of privacy, stalking, harassment, abusive, tortuous, hateful, discriminatory based on race, ethnicity, gender, sex or disability, pornographic or obscene; (iv) interfere with or disrupt any services or equipment with the intent of causing an excessive or disproportionate load on the Animal League or its licensors or suppliers» infrastructure; (v) involve knowingly distributing viruses, Trojan horses, worms, or other similar harmful or deleterious programming routines; (vi) involve the preparation and / or distribution of «junk mail», «spam», «chain letters», «pyramid schemes» or other deceptive online marketing practices or any unsolicited bulk email or unsolicited commercial email or otherwise in a manner that violate the Controlling the Assault of Non-Solicited Pornography and Marketing Act (CAN - SPAM Act of 2003); (vii) would encourage conduct that could constitute a criminal offense, give rise to civil liability or otherwise violate any applicable local, state, federal or international laws, rules or regulations; (viii) involve the unauthorized entry to any machine accessible via the Services or interfere with the Sites or any servers or networks connected to the Sites or disobey any requirements, procedures, policies or regulations of networks connected to the Sites, or attempt to breach the security of or disrupt Internet communications on the Sites (including without limitation accessing data to which you are not the intended recipient or logging into a server or account for which you are not expressly authorized); (ix) impersonate any person or entity, including, without limitation, one of the Animal League's or other's officers or employees, or falsely state or otherwise misrepresent your affiliation with a person or entity; (x) forge headers or otherwise manipulate identifiers in order to disguise the origin of any information transmitted through the Sites; (xi) collect or store personal data about other Animal League members, Site users or attempt to gain access to other Animal League members information, or otherwise mine information about Animal League members, Site users, or the Sites; (xii) execute any form of network monitoring or run a network analyzer or packet sniffer or other technology to intercept, decode, mine or display any packets used to communicate between the Sites» servers or any data not intended for you; (xiii) attempt to circumvent authentication or security of any content, host, network or account («cracking») on or from the Sites; or (xiv) are contrary to the Animal League's public image, goodwill, reputation or mission or otherwise not in furtherance of the Animal Leagues stated purposes.

Source: Xinhua, «Yunnan Public Security Border Defense Brigade takes actions to ensure the Yunnan - Burma timber and mineral trading cooperation»; 27 March 2006 [2] Source: Global Witness field investigation; Yunnan Province, China; May 2006 [3] Source: Global Witness, «A Choice for China: Ending the destruction of Burma's northern frontier forests»; October 2005, available in English, Chinese and Burmese from http://www.globalwitness.org/reports/index.php?section=burma [4] Source: Global Witness estimates based on statistical information from the National Bureau of Statistics of China, and China Customs made available by The World Trade Atlas; February 2006 [5] Border checkpoints in all but one area along the China - Burma border visited by Global Witness investigators had been closed.

Under Canadian securities laws, insiders of public companies such as officers and directors are generally restricted from trading in... [more]

White collar crime is a generic term for crimes involving antitrust violations, computer / internet fraud, credit card fraud, phone / telemarketing fraud, bankruptcy fraud, health care fraud, environmental law violations, insurance fraud, mail fraud, government fraud, tax evasion, financial fraud, securities fraud, insider trading, bribery, kickbacks, counterfeiting, public corruption, money laundering, embezzlement, economic espionage, and trade secret theft, and other forms of dishonest business schemes.

He regularly advises publicly traded clients on matters of corporate finance, including public and private equity and high - yield debt offerings, buy - side acquisitions, and securities law compliance.

White - collar crime generally includes securities fraud, wire fraud, mail fraud, mortgage fraud, health care fraud, bankruptcy fraud, insider trading, computer and Internet fraud, financial and accounting fraud, money laundering, tax evasion, conspiracy, telemarketing fraud, commodities and futures fraud, business opportunity schemes, tax fraud, identity theft, credit card fraud, FEMA fraud, perjury, obstruction of justice, criminal contempt, bribery, public corruption, and economic espionage and theft of trade secrets.

CIC worked with Public Safety Canada, the Canada Border Services Agency, the RCMP and the Canadian Security Intelligence Service, and consulted with the Department of Foreign Affairs and International Trade and Industry Canada to develop the list of countries and territory whose nationals would be subject to biometric screening.

Reporting issuers (organizations subject to ongoing public disclosure obligations under securities laws and securities of which are generally traded on a public stock exchange) have additional obligations.

Insider trading is the trading of a public company's stock or other securities (such as bonds or stock options) by individuals with access to nonpublic information about the company.

Alerted perhaps by its reading of Slaw, the Federal Trade Commission has asked for public comment on the «Privacy and Security Implications of the Internet of Things.»

Bob Gegios has nearly 30 years of experience representing public and private companies and individuals in a wide range of legal matters, including general business and commercial litigation and counseling, securities, antitrust and trade regulation, dealership and franchise law, intellectual property, RICO, employment disputes, insurance coverage, and international controversies.

While much of the firm's work is confidential, one case it is currently handling that is public involves its representation of various professional liability insurers in a $ 200 million New York state court action brought by J.P. Morgan Securities Inc. over mutual fund market - timing and late - trading.

He has conducted a wide array of internal investigations and company inquiries, including cases alleging insider trading, stock options backdating, securities fraud, accounting irregularities, antitrust violations, public corruption, FCPA and other corporate and individual wrongdoing.

Established in 1983, the firm specialises in all aspects of corporate and commercial law including capital raising, listings, corporate and trade finance, competition law, banking and financial services, M&A, bonds and other debt or capital instruments, rights issues, marketable investment instruments, listed securities, mining and resources, energy, tax, privatisation and public private partnerships.

Our practice in this area encompasses the issuance of public and private asset - backed and mortgage - backed securities, asset - backed commercial paper programs, and other privately structured transactions, such as whole - loan trades and portfolio sales and acquisitions.

Our team includes veteran litigation, enforcement, and regulatory lawyers who help our clients comply with all requirements as issuers of their own debt and equity securities, and as participants in a full range of corporate finance and public markets and trading activities.

Its work has spanned a wide array of subject matters, including securities and financial fraud, insider trading, antitrust, healthcare fraud, environmental, tax, Foreign Corrupt Practices Act, public corruption and export controls, among other areas.

Illustrative of his practice, Whit has successfully represented public companies, audit committees, and senior officers of public companies in securities litigation, derivative litigation, internal investigations of alleged corporate wrongdoing, whistleblower matters, and matters before the Securities and Exchange Commission; international arbitration between a foreign prime contractor and its U.S. suppliers; trade secret litigation relating to the processing of big data; and debarment litigation arising out of contracts performed in Afsecurities litigation, derivative litigation, internal investigations of alleged corporate wrongdoing, whistleblower matters, and matters before the Securities and Exchange Commission; international arbitration between a foreign prime contractor and its U.S. suppliers; trade secret litigation relating to the processing of big data; and debarment litigation arising out of contracts performed in AfSecurities and Exchange Commission; international arbitration between a foreign prime contractor and its U.S. suppliers; trade secret litigation relating to the processing of big data; and debarment litigation arising out of contracts performed in Afghanistan.