Disclosure of G-SIB indicators
... (6) Offsetting short positions in relation to the specific equity securities included in item 3.c.(5) d. Net positive current exposure of securities financing transactions with other financial institutions (revised definition) e. Over-the-counter derivatives with other financial institutions that ha ...
... (6) Offsetting short positions in relation to the specific equity securities included in item 3.c.(5) d. Net positive current exposure of securities financing transactions with other financial institutions (revised definition) e. Over-the-counter derivatives with other financial institutions that ha ...
RBC Dain Rauscher Inc
... Inc. (“Archipelago”) creating the NYSE Group, Inc. (“NYX”). Coincident with this merger, owners of exchange seats on the NYSE were offered shares of NYX stock and/or cash for each seat they owned. DRI elected the “all stock” option and received 169,398 shares of NYX. The company is restricted from s ...
... Inc. (“Archipelago”) creating the NYSE Group, Inc. (“NYX”). Coincident with this merger, owners of exchange seats on the NYSE were offered shares of NYX stock and/or cash for each seat they owned. DRI elected the “all stock” option and received 169,398 shares of NYX. The company is restricted from s ...
Non-collateralised Structured Products Launch
... No. Our obligations under the CBBCs are neither guaranteed by any third party, nor collateralised with any of our assets or other collaterals. When you purchase our CBBCs, you are relying on our creditworthiness only, and of no other person. If we become insolvent or default on our obligations under ...
... No. Our obligations under the CBBCs are neither guaranteed by any third party, nor collateralised with any of our assets or other collaterals. When you purchase our CBBCs, you are relying on our creditworthiness only, and of no other person. If we become insolvent or default on our obligations under ...
NORTH AMERICAN PALLADIUM LTD (Form: 6-K
... December 31, 2006, with each Purchaser entitled to acquire one-half. If either Purchaser does not acquire its entire allotment of the additional US$10 million in Notes, the other Purchaser may purchase the balance. The First Tranche of Notes will be convertible into an aggregate of 2,873,563 common ...
... December 31, 2006, with each Purchaser entitled to acquire one-half. If either Purchaser does not acquire its entire allotment of the additional US$10 million in Notes, the other Purchaser may purchase the balance. The First Tranche of Notes will be convertible into an aggregate of 2,873,563 common ...
The Potential for Tax-Advantaged Income From Preferred Securities
... securities income is taxed at the respective qualified dividend income rate and marginal tax rate on a 50/50 blended basis. All other securities reflect full taxation at the respective marginal rates based on income. Risks of Investing in Preferred Securities Investing in any market exposes investor ...
... securities income is taxed at the respective qualified dividend income rate and marginal tax rate on a 50/50 blended basis. All other securities reflect full taxation at the respective marginal rates based on income. Risks of Investing in Preferred Securities Investing in any market exposes investor ...
Why are Active Managers Underperforming this
... In the mid-2000s, housing created another wave of price insensitive buyers, this time mostly in the fixed income ecosystem. When those that purchased houses without sufficient resources defaulted on their mortgages, the entire global economy was severely damaged. In 2016, the technology and housing ...
... In the mid-2000s, housing created another wave of price insensitive buyers, this time mostly in the fixed income ecosystem. When those that purchased houses without sufficient resources defaulted on their mortgages, the entire global economy was severely damaged. In 2016, the technology and housing ...
Armour Residential REIT, Inc.
... supplement (the "Prospectus Supplement") dated April 8, 2011. The Prospectus Supplement relates to the offering by the Company of up to 18,240,000 shares of the Company's common stock, par value $0.001 per share (the "Shares"), which Shares are covered by the Registration Statement. We understand th ...
... supplement (the "Prospectus Supplement") dated April 8, 2011. The Prospectus Supplement relates to the offering by the Company of up to 18,240,000 shares of the Company's common stock, par value $0.001 per share (the "Shares"), which Shares are covered by the Registration Statement. We understand th ...
THE RISE OF SHAREHOLDER POWER: LEGISLATION
... companies whose securities are listed on a regulated market to pay remuneration, compensation or benefits to a senior executive when he or she steps down from or changes office are now subject to the same rules as are related party agreements. The Act has also enhanced shareholder disclosures. It de ...
... companies whose securities are listed on a regulated market to pay remuneration, compensation or benefits to a senior executive when he or she steps down from or changes office are now subject to the same rules as are related party agreements. The Act has also enhanced shareholder disclosures. It de ...
RED HAT INC
... to Registration Statement on Form S-8, such documents are not being filed with the Commission either as part of this Registration Statement or as a prospectus pursuant to Rule 424. Item 2. Registrant Information and Employee Plan Annual Information. The documents containing the information specified ...
... to Registration Statement on Form S-8, such documents are not being filed with the Commission either as part of this Registration Statement or as a prospectus pursuant to Rule 424. Item 2. Registrant Information and Employee Plan Annual Information. The documents containing the information specified ...
Equity Research: Fundamental and Technical Analysis
... Abstract: The prominent nature of capital market instruments forces investors to depend strongly on fundamental factors in their investment decisions. These fundamental factors relate to the overall economy or a specific industry or a company. The performance of the securities that represent the com ...
... Abstract: The prominent nature of capital market instruments forces investors to depend strongly on fundamental factors in their investment decisions. These fundamental factors relate to the overall economy or a specific industry or a company. The performance of the securities that represent the com ...
united states securities and exchange commission
... of common stock. The trust is for the benefit of one minor child, who is George W. LeMaitre’s nephew. George W. LeMaitre, as trustee, has sole voting and investment power with respect to all shares held by such entity. The Quinn Weldon Daly Trust, under instrument of trust dated March 22, 2000, of w ...
... of common stock. The trust is for the benefit of one minor child, who is George W. LeMaitre’s nephew. George W. LeMaitre, as trustee, has sole voting and investment power with respect to all shares held by such entity. The Quinn Weldon Daly Trust, under instrument of trust dated March 22, 2000, of w ...
Overseas Fund - First Eagle Investment Management
... The performance data quoted herein represents past performance and does not guarantee future results. Market volatility can dramatically impact the fund’s short-term performance. Current performance may be lower or higher than figures shown. The investment return and principal value will fluctuate s ...
... The performance data quoted herein represents past performance and does not guarantee future results. Market volatility can dramatically impact the fund’s short-term performance. Current performance may be lower or higher than figures shown. The investment return and principal value will fluctuate s ...
Stock Market Crashes, Productivity Boom Busts and Recessions
... since the 1930s, as well as the establishment of federal deposit insurance in 1934, may be the most important factors in reducing the severity of recessions in the post World War II era, whether or not preceded by a stock market crash. ...
... since the 1930s, as well as the establishment of federal deposit insurance in 1934, may be the most important factors in reducing the severity of recessions in the post World War II era, whether or not preceded by a stock market crash. ...
The effects of short-selling public disclosure regimes on equity markets
... The data for the Survey were collected by Oliver Wyman from certain data providers (the “Data Sources”). The data was then aggregated and analyzed by Oliver Wyman. The results of Oliver Wyman’s analysis are set forth in the Report. Use of Report Results The Report contains “blind information” presen ...
... The data for the Survey were collected by Oliver Wyman from certain data providers (the “Data Sources”). The data was then aggregated and analyzed by Oliver Wyman. The results of Oliver Wyman’s analysis are set forth in the Report. Use of Report Results The Report contains “blind information” presen ...
IRS Releases 871(m) Final Regulations – New Tests for Dividend
... corporation had no earnings and profits from which to make a dividend. A payment made pursuant to a due bill arising from the actions of a securities exchange that apply to all transactions in the stock with respect to the dividend. For this purpose, stock will be considered to trade with a due bill ...
... corporation had no earnings and profits from which to make a dividend. A payment made pursuant to a due bill arising from the actions of a securities exchange that apply to all transactions in the stock with respect to the dividend. For this purpose, stock will be considered to trade with a due bill ...
The exercise price is equal to the market price of $24 per share
... shares of stock. Rather they are given an option to buy shares at some time in the future. Options are usually granted 1. for a specified number of shares, 2. at a specified price, 3. during a specified period of time. ...
... shares of stock. Rather they are given an option to buy shares at some time in the future. Options are usually granted 1. for a specified number of shares, 2. at a specified price, 3. during a specified period of time. ...
Going Public, Selling Stock, and Buying Liquidity
... underpriced, one possible solution is to conduct IPOs by means of a modified Dutch Auction.29 In a Dutch Auction Offering (DAO) the underwriter in effect solicits bids for the offering from potential investors, including the price that the investor is willing to pay and the quantity that the investo ...
... underpriced, one possible solution is to conduct IPOs by means of a modified Dutch Auction.29 In a Dutch Auction Offering (DAO) the underwriter in effect solicits bids for the offering from potential investors, including the price that the investor is willing to pay and the quantity that the investo ...
Short (finance)
.png?width=300)
In finance, short selling (also known as shorting or going short) is the practice of selling securities or other financial instruments that are not currently owned, and subsequently repurchasing them (""covering""). In the event of an interim price decline, the short seller will profit, since the cost of (re)purchase will be less than the proceeds which were received upon the initial (short) sale. Conversely, the short position will be closed out at a loss in the event that the price of a shorted instrument should rise prior to repurchase. The potential loss on a short sale is theoretically unlimited in the event of an unlimited rise in the price of the instrument, however in practice the short seller will be required to post margin or collateral to cover losses, and any inability to do so on a timely basis would cause its broker or counterparty to liquidate the position. In the securities markets, the seller generally must borrow the securities in order to effect delivery in the short sale. In some cases, the short seller must pay a fee to borrow the securities and must additionally reimburse the lender for cash returns the lender would have received had the securities not been loaned out.Short selling is most commonly done with instruments traded in public securities, futures or currency markets, due to the liquidity and real-time price dissemination characteristic of such markets and because the instruments defined within each class are fungible.In practical terms, going short can be considered the opposite of the conventional practice of ""going long"", whereby an investor profits from an increase in the price of the asset. Mathematically, the return from a short position is equivalent to that of owning (being ""long"") a negative amount of the instrument. A short sale may be motivated by a variety of objectives. Speculators may sell short in the hope of realizing a profit on an instrument which appears to be overvalued, just as long investors or speculators hope to profit from a rise in the price of an instrument which appears undervalued. Traders or fund managers may hedge a long position or a portfolio through one or more short positions.