IMPROVING THE EFFICIENCY OF THE ANGEL FINANCE MARKET
... cost for their services, is greater than the costs caused by the market problems, the development of intermediaries makes sense. For example, a long and impressive list of intermediaries has developed to improve the efficiency of the public equity market.26 These intermediaries, which include such m ...
... cost for their services, is greater than the costs caused by the market problems, the development of intermediaries makes sense. For example, a long and impressive list of intermediaries has developed to improve the efficiency of the public equity market.26 These intermediaries, which include such m ...
John Hancock High Yield Municipal Bond Fund
... However, the fund will not invest more than 5% of its total assets in securities rated lower than B. The fund’s investment policies are based on credit ratings at the time of purchase. Bonds that are rated at or below BB by S&P or Fitch or Ba by Moody’s are considered junk bonds. Municipal bonds may ...
... However, the fund will not invest more than 5% of its total assets in securities rated lower than B. The fund’s investment policies are based on credit ratings at the time of purchase. Bonds that are rated at or below BB by S&P or Fitch or Ba by Moody’s are considered junk bonds. Municipal bonds may ...
Corestates Capital II
... Subordinated Debentures so redeemed plus the accrued and unpaid interest thereon to the redemption date, or (ii) at any time, in whole (but not in part), upon the occurrence and continuation of a Special Event, at such redemption price. The Capital Securities are subject to mandatory redemption, in ...
... Subordinated Debentures so redeemed plus the accrued and unpaid interest thereon to the redemption date, or (ii) at any time, in whole (but not in part), upon the occurrence and continuation of a Special Event, at such redemption price. The Capital Securities are subject to mandatory redemption, in ...
Word - corporate
... provisions contained in some of the documents described herein, but reference is made to the actual documents for complete information. All of the summaries are qualified in their entirety by the actual documents. Copies of some of the documents referred to herein have been filed, will be filed or w ...
... provisions contained in some of the documents described herein, but reference is made to the actual documents for complete information. All of the summaries are qualified in their entirety by the actual documents. Copies of some of the documents referred to herein have been filed, will be filed or w ...
Form ADV Part 2A Nuveen Asset Management, LLC 333 West
... investment advisory duties to sub-advisers. A client or NAM generally may terminate its agreement at any time by providing thirty (30) days written notice. For wrap accounts, termination provisions vary by wrap fee program. Fees paid in advance are refunded on a pro rata basis if the service is term ...
... investment advisory duties to sub-advisers. A client or NAM generally may terminate its agreement at any time by providing thirty (30) days written notice. For wrap accounts, termination provisions vary by wrap fee program. Fees paid in advance are refunded on a pro rata basis if the service is term ...
Armour Residential REIT, Inc.
... Cash includes cash on deposit with financial institutions and investments in high quality overnight money market funds, all of which have maturities of three months or less, at time of purchase. We may maintain deposits in federally insured financial institutions in excess of federally insured limit ...
... Cash includes cash on deposit with financial institutions and investments in high quality overnight money market funds, all of which have maturities of three months or less, at time of purchase. We may maintain deposits in federally insured financial institutions in excess of federally insured limit ...
Constellium NV (Form: F-3, Received: 05/13/2016
... the expected results depend on many events, some or all of which are not predictable or within our control. Actual results may differ materially from the forward-looking statements contained in this prospectus and the documents incorporated in it by reference. Important factors that could cause actu ...
... the expected results depend on many events, some or all of which are not predictable or within our control. Actual results may differ materially from the forward-looking statements contained in this prospectus and the documents incorporated in it by reference. Important factors that could cause actu ...
Why Did Rating Agencies Do Such a Bad Job Rating Subprime
... pool issues get high ratings. The pool will consist of many receivables of varying levels of quality. It will issue securities in "tranches"--that is, different repayment priorities. The more senior securities, those to be paid first, get AAA ratings. Other securities issued in a transaction get pai ...
... pool issues get high ratings. The pool will consist of many receivables of varying levels of quality. It will issue securities in "tranches"--that is, different repayment priorities. The more senior securities, those to be paid first, get AAA ratings. Other securities issued in a transaction get pai ...
ASX Listing Rules Appendix 1A - ASX Listing Application and
... The entity’s “corporate governance statement” is the statement disclosing the extent to which the entity will follow, as at the date of its admission to the official list, the recommendations set by the ASX Corporate Governance Council. If the entity does not intend to follow all the recommendations ...
... The entity’s “corporate governance statement” is the statement disclosing the extent to which the entity will follow, as at the date of its admission to the official list, the recommendations set by the ASX Corporate Governance Council. If the entity does not intend to follow all the recommendations ...
esma_ce_g_aifmd__afme_replyform
... The Association for Financial Markets in Europe (AFME) welcomes the opportunity to comment on the ESMA consultation paper entitled “Guidelines on asset segregation under the AIFMD”. AFME represents a broad array of European and global participants in the wholesale financial markets. Its members comp ...
... The Association for Financial Markets in Europe (AFME) welcomes the opportunity to comment on the ESMA consultation paper entitled “Guidelines on asset segregation under the AIFMD”. AFME represents a broad array of European and global participants in the wholesale financial markets. Its members comp ...
Capital-Market Effects of Securities Regulation: Prior Conditions
... Second, the transposition window is relatively narrow and predetermined by the European Union; yet the subsequent national legislative processes are fairly lengthy and inflexible. Thus, for our findings to be spurious or to reflect other shocks, a large set of countries would have to experience diff ...
... Second, the transposition window is relatively narrow and predetermined by the European Union; yet the subsequent national legislative processes are fairly lengthy and inflexible. Thus, for our findings to be spurious or to reflect other shocks, a large set of countries would have to experience diff ...
financial markets bill
... ‘‘external clearing house’’ means a foreign person who is authorised to perform a function or functions similar to one or more of the functions of a clearing house in terms of the laws of a country other than the Republic, which laws— (a) establish a regulatory framework equivalent to that establish ...
... ‘‘external clearing house’’ means a foreign person who is authorised to perform a function or functions similar to one or more of the functions of a clearing house in terms of the laws of a country other than the Republic, which laws— (a) establish a regulatory framework equivalent to that establish ...
Proposed Article 225 Permission Process and
... repurchase transactions, insofar as transactions involve the transfer of commodities or guaranteed rights relating to title to commodities and securities lending or borrowing transactions (iii) 10 business days for other capital market driven transactions; ...
... repurchase transactions, insofar as transactions involve the transfer of commodities or guaranteed rights relating to title to commodities and securities lending or borrowing transactions (iii) 10 business days for other capital market driven transactions; ...
MANDATE - EasyEquities
... the next Re-balancing date, that Issuer Security will be included in the Bundle in accordance with its assigned Weighting, the General Investment Objectives and the particular Bundle's Investment Strategy. Upon the next Re-balancing date following the expiry of the time period specified in clause 4. ...
... the next Re-balancing date, that Issuer Security will be included in the Bundle in accordance with its assigned Weighting, the General Investment Objectives and the particular Bundle's Investment Strategy. Upon the next Re-balancing date following the expiry of the time period specified in clause 4. ...
The Margin Trading Rules, 2004
... Provided, that the provisions of rule 7 above shall not apply in the case of a financial institution providing financing directly to ...
... Provided, that the provisions of rule 7 above shall not apply in the case of a financial institution providing financing directly to ...
Payment, clearing and settlement systems in Brazil
... management. In the scope of this reform, the BCB implemented an RTGS system, known as the Reserves Transfer System (STR), and also advised the National Congress in its introduction of important legal changes relating to clearing and settlement systems.2 Furthermore, a new rule was introduced concern ...
... management. In the scope of this reform, the BCB implemented an RTGS system, known as the Reserves Transfer System (STR), and also advised the National Congress in its introduction of important legal changes relating to clearing and settlement systems.2 Furthermore, a new rule was introduced concern ...
Regulatory Guide RG 196 Short selling
... the relevant securities at that time but wish to retain the potential to do so. For example, a prospective borrower may place a hold for a particular security with a lender while contacting another lender to determine the most competitive borrowing rate for that security. As such, while a hold notic ...
... the relevant securities at that time but wish to retain the potential to do so. For example, a prospective borrower may place a hold for a particular security with a lender while contacting another lender to determine the most competitive borrowing rate for that security. As such, while a hold notic ...
The Securities Law
... A. A Board known as the (Board of Commissioners of the Commission) shall undertake the administration of the Commission and the supervision of its affairs. The Board shall be composed of five Commissioners. Each Commissioner must be a Jordanian natural person, must serve on the Board on a full-time ba ...
... A. A Board known as the (Board of Commissioners of the Commission) shall undertake the administration of the Commission and the supervision of its affairs. The Board shall be composed of five Commissioners. Each Commissioner must be a Jordanian natural person, must serve on the Board on a full-time ba ...
Key Mechanics of Tri-Party Repo Markets
... A repo is the sale of a security, or a portfolio of securities, combined with an agreement to repurchase the security or portfolio on a specified future date at a prearranged price. Aside from some legal distinctions concerning bankruptcy treatment,1 a repo is similar to a collateralized loan. Exhib ...
... A repo is the sale of a security, or a portfolio of securities, combined with an agreement to repurchase the security or portfolio on a specified future date at a prearranged price. Aside from some legal distinctions concerning bankruptcy treatment,1 a repo is similar to a collateralized loan. Exhib ...
Chapter 15: Raising Capital
... Prospectus: legal document describing details of the issuing corporation and the proposed offering to potential investors. The “preliminary” prospectus is sometimes called a Red Herring: (in part because bold red letters are printed on the cover) A preliminary prospectus distributed to prospective i ...
... Prospectus: legal document describing details of the issuing corporation and the proposed offering to potential investors. The “preliminary” prospectus is sometimes called a Red Herring: (in part because bold red letters are printed on the cover) A preliminary prospectus distributed to prospective i ...
KELLOGG CO (Form: 424B5, Received: 02/26/2016 17:06:57)
... We are offering $750,000,000 aggregate principal amount of 3.250% Senior Notes due 2026 (the “2026 notes”), and $650,000,000 aggregate principal amount of 4.500% Senior Debentures due 2046 (the “2046 debentures”). The 2026 notes will mature on April 1, 2026 and the 2046 debentures will mature on Apr ...
... We are offering $750,000,000 aggregate principal amount of 3.250% Senior Notes due 2026 (the “2026 notes”), and $650,000,000 aggregate principal amount of 4.500% Senior Debentures due 2046 (the “2046 debentures”). The 2026 notes will mature on April 1, 2026 and the 2046 debentures will mature on Apr ...
Guide to Mortgage-Backed Securities
... ➤ Choice of investment profiles. The MBS sector provides a wider range of investment characteristics than most other parts of the fixed-income market. For example, MBSs are available with negative, short, or very long durations. Prepayment sensitivities can range from low to very high. Coupons can b ...
... ➤ Choice of investment profiles. The MBS sector provides a wider range of investment characteristics than most other parts of the fixed-income market. For example, MBSs are available with negative, short, or very long durations. Prepayment sensitivities can range from low to very high. Coupons can b ...
summary note
... applied for its notification, but only if the summary, when read together with the other parts of the Prospectus; is misleading, inaccurate or inconsistent or does not provide key information in order to aid investors when considering whether to invest in such securities. ...
... applied for its notification, but only if the summary, when read together with the other parts of the Prospectus; is misleading, inaccurate or inconsistent or does not provide key information in order to aid investors when considering whether to invest in such securities. ...
Cataclysmic Liability Risk Among Big Four Auditors
... explore the nature of these claims as a legal, theoretical, and empirical matter. Legally, it is clear that authority exists (within both state and federal law) to impose liability on auditing firms for financial fraud, and courts have been doing so sporadically for years. Theoretically, it is certa ...
... explore the nature of these claims as a legal, theoretical, and empirical matter. Legally, it is clear that authority exists (within both state and federal law) to impose liability on auditing firms for financial fraud, and courts have been doing so sporadically for years. Theoretically, it is certa ...
downstream securities regulation
... that the financial services component of securities regulation is a separate genre of securities regulation, different in important respects from its more renowned counterpart; that it does not revolve around securities issuers; and, critically, that it need not rely solely on disclosure and antifra ...
... that the financial services component of securities regulation is a separate genre of securities regulation, different in important respects from its more renowned counterpart; that it does not revolve around securities issuers; and, critically, that it need not rely solely on disclosure and antifra ...