Repo and Securities Lending - Federal Reserve Bank of New York
... agents. 10 In addition to providing collateral management and settlement services, the clearing banks finance the dealers’ securities during the day under current market practice. 11 The intraday credit exposure results in high concentration risk of the clearing banks vis-à-vis tri-party repo borrow ...
... agents. 10 In addition to providing collateral management and settlement services, the clearing banks finance the dealers’ securities during the day under current market practice. 11 The intraday credit exposure results in high concentration risk of the clearing banks vis-à-vis tri-party repo borrow ...
Custody of Client Assets
... rely on the audit exemption). • RIA may treat the assets of a SPV as assets of the funds if (a) an SPV is owned by affiliated funds managed by the adviser and (b) the SPV is within the scope of the funds’ financial statement audits. • However, if the SPV has third-party owners, the RIA needs to trea ...
... rely on the audit exemption). • RIA may treat the assets of a SPV as assets of the funds if (a) an SPV is owned by affiliated funds managed by the adviser and (b) the SPV is within the scope of the funds’ financial statement audits. • However, if the SPV has third-party owners, the RIA needs to trea ...
The Dual-Listing Law:
... Companies that have traded on the Nasdaq, the New York Stock Exchange, the American Stock Exchange, or the London Stock Exchange’s Main Market (Primary Listing) for at least a year since their IPOs are eligible to dual-list. Also eligible are companies that have traded for less than a year but maint ...
... Companies that have traded on the Nasdaq, the New York Stock Exchange, the American Stock Exchange, or the London Stock Exchange’s Main Market (Primary Listing) for at least a year since their IPOs are eligible to dual-list. Also eligible are companies that have traded for less than a year but maint ...
Securities Trading Policy
... The person providing the clearance may specify a time period of no more than five business days during which Dealing must be completed (for on-market Dealing, execution must occur within the specified period, but acknowledging settlement may occur outside the period). If Dealing is not completed dur ...
... The person providing the clearance may specify a time period of no more than five business days during which Dealing must be completed (for on-market Dealing, execution must occur within the specified period, but acknowledging settlement may occur outside the period). If Dealing is not completed dur ...
OMB APPROVAL ------------------------------ OMB NUMBER: 3235
... year ended December 31, 1996, and the material in its Current Report on Form 8-K for May 5, 1997 (File No. 1-7377). ITEM 3: SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION: ------------------------------------------------The securities with respect to which this Amended Schedule 13D is filed were ...
... year ended December 31, 1996, and the material in its Current Report on Form 8-K for May 5, 1997 (File No. 1-7377). ITEM 3: SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION: ------------------------------------------------The securities with respect to which this Amended Schedule 13D is filed were ...
terms of the bonds
... Reference is made to the announcement of the Company dated 12 July 2017 in relation to the proposed issue of Euro-denominated convertible bonds. The Board is pleased to announce that the Company, the Issuer and the Managers entered into the Subscription Agreement on 12 July 2017 (after trading hour ...
... Reference is made to the announcement of the Company dated 12 July 2017 in relation to the proposed issue of Euro-denominated convertible bonds. The Board is pleased to announce that the Company, the Issuer and the Managers entered into the Subscription Agreement on 12 July 2017 (after trading hour ...
securities and exchange commission
... writing prospectus that we may prepare in connection with the distribution of these securities. We have not authorized anyone to provide you with information that is different. The selling shareholders are offering to sell and seeking offers to buy shares of our common stock only in jurisdictions wh ...
... writing prospectus that we may prepare in connection with the distribution of these securities. We have not authorized anyone to provide you with information that is different. The selling shareholders are offering to sell and seeking offers to buy shares of our common stock only in jurisdictions wh ...
Cost Basis Reporting Law - Wolters Kluwer Financial Services
... As part of the cost basis reporting law, brokers are required to make certain adjustments for wash sales. Specifically, brokers are responsible for reporting wash sales for identical covered securities within each client account. Brokers are not responsible for reporting wash sales across multiple ac ...
... As part of the cost basis reporting law, brokers are required to make certain adjustments for wash sales. Specifically, brokers are responsible for reporting wash sales for identical covered securities within each client account. Brokers are not responsible for reporting wash sales across multiple ac ...
Change in the rules regarding limitations for collateral in the form of
... counterparty or by a group of closely-related issuers. The Riksbank noted at that time that there was no evident optimum level for such a limit, but reached the conclusion that 25 per cent was a reasonable level. At present, however, the limitation only applies to (i) covered bonds issued by the cou ...
... counterparty or by a group of closely-related issuers. The Riksbank noted at that time that there was no evident optimum level for such a limit, but reached the conclusion that 25 per cent was a reasonable level. At present, however, the limitation only applies to (i) covered bonds issued by the cou ...
schedule 13g - corporate
... LLC, Canaan X L.P. and Canaan Partners X LLC, in each case, pursuant to the Securities Act of 1933, as amended, (the “ Securities Act ”), and any and all rules and regulations promulgated thereunder (including, without limitation, filings pursuant to Rule 144 (Form 144)) or the Securities Exchange A ...
... LLC, Canaan X L.P. and Canaan Partners X LLC, in each case, pursuant to the Securities Act of 1933, as amended, (the “ Securities Act ”), and any and all rules and regulations promulgated thereunder (including, without limitation, filings pursuant to Rule 144 (Form 144)) or the Securities Exchange A ...
Does Liquidity Affect Securities Market Efficiency?
... reasons, tests of efficiency using TradeSports data nicely complement the evidence from wagering markets, experimental markets, and conventional financial markets. To measure the liquidity of securities markets on the TradeSports exchange, I rely on two indicators designed to capture O’Hara’s (1995 ...
... reasons, tests of efficiency using TradeSports data nicely complement the evidence from wagering markets, experimental markets, and conventional financial markets. To measure the liquidity of securities markets on the TradeSports exchange, I rely on two indicators designed to capture O’Hara’s (1995 ...
... are firms in satisfying this condition? The endogenous investment hypothesis considered in this paper holds that the condition applies as a workable approximation, if not from year to year, at least over longer periods. Under the reasonable assumption that the securities issued by a firm are claims ...
St Andrew`s Retirement Plan
... (Australia) Ltd was making changes to the UBS Property Securities Fund. The changes being made include change of benchmark and investment strategy. To advise members that the responsible entity changed to Equity Trustees replacing Ventura Investment Management Ltd. ...
... (Australia) Ltd was making changes to the UBS Property Securities Fund. The changes being made include change of benchmark and investment strategy. To advise members that the responsible entity changed to Equity Trustees replacing Ventura Investment Management Ltd. ...
Active ESG investing - BlueBay Asset Management
... accessible outside of the UK, it is issued by the following respective Bluebay entities or affiliates. In the United States, by BlueBay Asset Management USA LLC, which is registered as an investment adviser with the SEC and as an introducing broker with the NFA. In Japan, by BlueBay Asset Management I ...
... accessible outside of the UK, it is issued by the following respective Bluebay entities or affiliates. In the United States, by BlueBay Asset Management USA LLC, which is registered as an investment adviser with the SEC and as an introducing broker with the NFA. In Japan, by BlueBay Asset Management I ...
Types of structured equity products
... precise figures as to the growth in the volume or value of such transactions, in part because of the lack of a precise definition of what constitutes a structured equity product. However, it is likely that the trend closely reflects the increase in the volume of equity derivative transactions in rec ...
... precise figures as to the growth in the volume or value of such transactions, in part because of the lack of a precise definition of what constitutes a structured equity product. However, it is likely that the trend closely reflects the increase in the volume of equity derivative transactions in rec ...
Negotiable European Commercial Paper
... This document (including any attachments thereto) is confidential and intended solely for the use of the addressee(s). It should not be transmitted to any person(s) other than the original addressee(s) without the prior written consent of Natixis. If you receive this document in error, please delete ...
... This document (including any attachments thereto) is confidential and intended solely for the use of the addressee(s). It should not be transmitted to any person(s) other than the original addressee(s) without the prior written consent of Natixis. If you receive this document in error, please delete ...
Do Debt Markets Price Ṣukūk and Conventional Bonds
... types, one may conclude that the existing valuation model for conventional bonds may be applicable also for these new ṣukūk instruments and that the two instruments are the same as bonds. If empirical results are otherwise, it raises doubt with respect to classifying them as the same. Furthermore, s ...
... types, one may conclude that the existing valuation model for conventional bonds may be applicable also for these new ṣukūk instruments and that the two instruments are the same as bonds. If empirical results are otherwise, it raises doubt with respect to classifying them as the same. Furthermore, s ...
Regulatory Notice 17-17
... first offered or sold the private placement and allow the filing member to indicate that sales have yet to commence. The Offering Information section will no longer include the requirements to provide the aggregate amount of non-commission compensation and the offering’s conclusion date. This sectio ...
... first offered or sold the private placement and allow the filing member to indicate that sales have yet to commence. The Offering Information section will no longer include the requirements to provide the aggregate amount of non-commission compensation and the offering’s conclusion date. This sectio ...
unit – i investment setting - KV Institute of Management and
... Many of the investments we have discussed are reasonably illiquid, which means they cannot be immediately sold and easily converted into cash. Achieving a degree of liquidity, however, requires the sacrifice of a certain level of income or potential for capital gains. Common stock is often considere ...
... Many of the investments we have discussed are reasonably illiquid, which means they cannot be immediately sold and easily converted into cash. Achieving a degree of liquidity, however, requires the sacrifice of a certain level of income or potential for capital gains. Common stock is often considere ...
Real Estate and Unconventional Securities under the Arkansas
... complex was put together in one single package by Rector-Phillips-Morse. That corporation and its affiliates organized, constructed, managed and controlled the properties of the joint venture. The "units" were sold to investors as a "tax shelter" and upon the basis that the entire project would be c ...
... complex was put together in one single package by Rector-Phillips-Morse. That corporation and its affiliates organized, constructed, managed and controlled the properties of the joint venture. The "units" were sold to investors as a "tax shelter" and upon the basis that the entire project would be c ...
Proposed Amendments to National Instrument 23
... However, in the 2014 Notice we acknowledged that the U.S. trading fee cap for securities priced at or above $1.00 was considered by some to be too high. These concerns were also reflected in the comments received to the 2014 Notice where a number of commenters indicated that the cap was not reflecti ...
... However, in the 2014 Notice we acknowledged that the U.S. trading fee cap for securities priced at or above $1.00 was considered by some to be too high. These concerns were also reflected in the comments received to the 2014 Notice where a number of commenters indicated that the cap was not reflecti ...
RTF - Vornado Realty Trust
... In March 1995, the Company lent Alexander's $45 million, the subordinated tranche of a $75 million secured financing, the balance of which was funded by a bank. The Company's loan has a three-year term and bears interest at 16.43% per annum for the first two years and at a fixed rate for the third y ...
... In March 1995, the Company lent Alexander's $45 million, the subordinated tranche of a $75 million secured financing, the balance of which was funded by a bank. The Company's loan has a three-year term and bears interest at 16.43% per annum for the first two years and at a fixed rate for the third y ...
DOC - ESW Group
... principal and interest amounts then outstanding under all of the Notes shall be exchanged (the “Notes Conversion”) for shares of the Company’s common stock, par value $0.001 per share (the “Common Stock”) at a price of $0.04 per share (as adjusted for any stock split, stock dividend or other similar ...
... principal and interest amounts then outstanding under all of the Notes shall be exchanged (the “Notes Conversion”) for shares of the Company’s common stock, par value $0.001 per share (the “Common Stock”) at a price of $0.04 per share (as adjusted for any stock split, stock dividend or other similar ...
Reporting Standard ARS 720.4 ABS/RBA Debt Securities Held
... Terms highlighted in bold italics indicate that the definition is provided either in Reporting Standard ARS 701.0 ABS/RBA Definitions for the EFS Collection (ARS 701.0) or in this Reporting Standard. All derived fields in the form are shaded in grey and are explained in words as a mathematical expre ...
... Terms highlighted in bold italics indicate that the definition is provided either in Reporting Standard ARS 701.0 ABS/RBA Definitions for the EFS Collection (ARS 701.0) or in this Reporting Standard. All derived fields in the form are shaded in grey and are explained in words as a mathematical expre ...