CBOE Holdings, Inc. Annual Report 2012 40 Years of Innovation
... April commemorates the 40th anniversary of the Chicago Board Options Exchange (CBOE) and the U.S. options industry. For four decades, CBOE has been the undisputed options innovator, with nearly every major industry “first” conceived by CBOE. The creation of listed options in 1973; index options in 1 ...
... April commemorates the 40th anniversary of the Chicago Board Options Exchange (CBOE) and the U.S. options industry. For four decades, CBOE has been the undisputed options innovator, with nearly every major industry “first” conceived by CBOE. The creation of listed options in 1973; index options in 1 ...
Review of Securities Law - Ministry of Business, Innovation and
... outside a strict reading of the definitions, so that they become regulated. They will also be able to shift products from one category to another category to ensure that products are regulated appropriately. To the extent possible the Ministry proposes definitions based on the economic substance of ...
... outside a strict reading of the definitions, so that they become regulated. They will also be able to shift products from one category to another category to ensure that products are regulated appropriately. To the extent possible the Ministry proposes definitions based on the economic substance of ...
insider trading how jurisdictions regulate it report of the
... 1.1.1.2. Time required to consider information public A formal disclosure of information does not necessarily mean that information can be considered to be “publicly available.” An assessment of the adequacy of disclosure requires an inquiry into whether investors actually have an opportunity to ma ...
... 1.1.1.2. Time required to consider information public A formal disclosure of information does not necessarily mean that information can be considered to be “publicly available.” An assessment of the adequacy of disclosure requires an inquiry into whether investors actually have an opportunity to ma ...
Diamondback Energy, Inc.
... explanation of these risks before investing in our common stock. In particular, the following considerations may offset our competitive strengths or have a negative effect on our strategy or operating activities, which could cause a decrease in the price of our common stock and a loss of all or part ...
... explanation of these risks before investing in our common stock. In particular, the following considerations may offset our competitive strengths or have a negative effect on our strategy or operating activities, which could cause a decrease in the price of our common stock and a loss of all or part ...
Form ADV Part 2A Nuveen Asset Management, LLC 333 West
... subadvised by NAM will not be advisory clients of NAM, and NAM will not provide investment advice or recommendations with respect to the merits and suitability of the particular investment and investment decision for the particular investor. Investors in Nuveen Funds are encouraged to consult their ...
... subadvised by NAM will not be advisory clients of NAM, and NAM will not provide investment advice or recommendations with respect to the merits and suitability of the particular investment and investment decision for the particular investor. Investors in Nuveen Funds are encouraged to consult their ...
cm advisors small cap value fund cm advisors fixed income fund
... • Small Capitalization Risk – Stocks of small capitalization (“small cap”) companies generally have more risks than those of larger companies. This greater risk is, in part, attributable to the fact that small cap companies may have less experienced management teams, serve smaller markets, and fin ...
... • Small Capitalization Risk – Stocks of small capitalization (“small cap”) companies generally have more risks than those of larger companies. This greater risk is, in part, attributable to the fact that small cap companies may have less experienced management teams, serve smaller markets, and fin ...
The Development of a European Capital Market
... to certain markets but does not tackle the question of their integration. The special feature of the Group's approach lies in the fact that it adopts from the outset a Community outlook and makes its analysis with an eye to the conditions, methods and probable implications of setting up a European c ...
... to certain markets but does not tackle the question of their integration. The special feature of the Group's approach lies in the fact that it adopts from the outset a Community outlook and makes its analysis with an eye to the conditions, methods and probable implications of setting up a European c ...
Lyxor Index Fund December 2014
... This Prospectus is valid only if it is accompanied by the latest available annual report and, where applicable, by the non-audited semi-annual report, if published since the last annual report. These reports form an integral part of this Prospectus. In addition to this Prospectus, the Company has al ...
... This Prospectus is valid only if it is accompanied by the latest available annual report and, where applicable, by the non-audited semi-annual report, if published since the last annual report. These reports form an integral part of this Prospectus. In addition to this Prospectus, the Company has al ...
2017 prospectus
... Example. This Example is intended to help you compare the cost of owning shares of the Fund with the cost of investing in other funds. The Example assumes that you invest $10,000 in the Fund for the time periods indicated and then sell all of your shares at the end of those periods. The Example also ...
... Example. This Example is intended to help you compare the cost of owning shares of the Fund with the cost of investing in other funds. The Example assumes that you invest $10,000 in the Fund for the time periods indicated and then sell all of your shares at the end of those periods. The Example also ...
Jubilant LifesciencesJULS.NS JOL IN
... business (9% of Q3FY15 sales) for implementation of the remediation measures. Remediation measures are being implemented as the USFDA issued a warning letter in Nov 2013. After the shutdown, when the facility was restarted, it took considerably longer to stabilise the plant. Hence, the lower product ...
... business (9% of Q3FY15 sales) for implementation of the remediation measures. Remediation measures are being implemented as the USFDA issued a warning letter in Nov 2013. After the shutdown, when the facility was restarted, it took considerably longer to stabilise the plant. Hence, the lower product ...
Repo and Securities Lending - Federal Reserve Bank of New York
... Incidences of double-counting may inflate some of the higher estimates. ...
... Incidences of double-counting may inflate some of the higher estimates. ...
SPIRE INC (Form: 424B2, Received: 02/23/2017 15:27:05)
... Gas Utility capital expenditures are expected to be approximately $370 million in fiscal year 2017. The increase in investment for Gas Utilities in 2017 reflects the continued ramp-up of infrastructure upgrades across both Missouri and Alabama, and the addition of capital expenditures to support Ene ...
... Gas Utility capital expenditures are expected to be approximately $370 million in fiscal year 2017. The increase in investment for Gas Utilities in 2017 reflects the continued ramp-up of infrastructure upgrades across both Missouri and Alabama, and the addition of capital expenditures to support Ene ...
UP TO 14501236 SHARES Class A Common Stock - corporate
... Our Class A common stock is listed on the NASDAQ Global Market (“NASDAQ”) under the symbol “HABT.” We have two classes of common stock: Class A common stock and Class B common stock. Under our amended and restated certificate of incorporation, each share of Class A common stock and Class B common st ...
... Our Class A common stock is listed on the NASDAQ Global Market (“NASDAQ”) under the symbol “HABT.” We have two classes of common stock: Class A common stock and Class B common stock. Under our amended and restated certificate of incorporation, each share of Class A common stock and Class B common st ...
Prospectus published on 20 September 2013
... The Company is subject to, and is required to comply with, certain regulatory requirements that are applicable to non-cellular investment companies which are domiciled in Guernsey and which have been declared by the GFSC to be registered closed-ended collective investment schemes. These include comp ...
... The Company is subject to, and is required to comply with, certain regulatory requirements that are applicable to non-cellular investment companies which are domiciled in Guernsey and which have been declared by the GFSC to be registered closed-ended collective investment schemes. These include comp ...
SEQUENTIAL BRANDS GROUP, INC. (Form: S-3
... results and future economic performance; statements of management’s goals and objectives; and other similar expressions concerning matters that are not historical facts. Words such as “may,” “will,” “should,” “could,” “would,” “predicts,” “potential,” “continue,” “expects,” “anticipates,” “future,” ...
... results and future economic performance; statements of management’s goals and objectives; and other similar expressions concerning matters that are not historical facts. Words such as “may,” “will,” “should,” “could,” “would,” “predicts,” “potential,” “continue,” “expects,” “anticipates,” “future,” ...
when hedge funds betray a creditor committee`s fiduciary role
... Before a public announcement of a major event, such as an impending corporate takeover that is expected to create a significant increase in stock price, insider trading often occurs.9 Insider trading may also occur prior to announcing negative news for the company, which will decrease the stock pric ...
... Before a public announcement of a major event, such as an impending corporate takeover that is expected to create a significant increase in stock price, insider trading often occurs.9 Insider trading may also occur prior to announcing negative news for the company, which will decrease the stock pric ...
Japan Bond Market Guide
... Extract from Financial Services Agency on the Development of Markets for Specified (Professional) Investors).........................................................................................................24 Japan Securities Dealers Association Regulations for Bond Transactions.............. ...
... Extract from Financial Services Agency on the Development of Markets for Specified (Professional) Investors).........................................................................................................24 Japan Securities Dealers Association Regulations for Bond Transactions.............. ...
Word - corporate
... trade execution. As industry practices changed, so too did regulations governing market structure. A succession of reforms—from Regulation ATS to Decimalization and Regulation NMS—sought to increase competition and efficiencies among markets in order to improve execution quality and lower trading co ...
... trade execution. As industry practices changed, so too did regulations governing market structure. A succession of reforms—from Regulation ATS to Decimalization and Regulation NMS—sought to increase competition and efficiencies among markets in order to improve execution quality and lower trading co ...
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 ...
downstream securities regulation
... accounts), or collectively (through, for example, hedge funds and private equity funds). Blackstone, Paulson, and Bridgewater are oft-recited representatives of the latter headings – “pooled” investment entities that invest capital from scores of investors, on a collective basis, in the securities m ...
... accounts), or collectively (through, for example, hedge funds and private equity funds). Blackstone, Paulson, and Bridgewater are oft-recited representatives of the latter headings – “pooled” investment entities that invest capital from scores of investors, on a collective basis, in the securities m ...
Are Directors Dealings Informative?
... In the past decade, the use of directors’ dealings reports in stock analysis has become common practice among financial professionals. The rationale behind it is that substantial information asymmetries exist between company insiders and outside investors.1 Since insiders are involved in the day-to ...
... In the past decade, the use of directors’ dealings reports in stock analysis has become common practice among financial professionals. The rationale behind it is that substantial information asymmetries exist between company insiders and outside investors.1 Since insiders are involved in the day-to ...
Mitigating Systemic Risk - A Role for Securities Regulators
... The pre-crisis practices of securities regulators and the Principles reflected a lack of a financial stability perspective in securities regulation. In many cases, the focus of securities regulation also reflected the architecture of financial and economic regulation. With most monetary authorities ...
... The pre-crisis practices of securities regulators and the Principles reflected a lack of a financial stability perspective in securities regulation. In many cases, the focus of securities regulation also reflected the architecture of financial and economic regulation. With most monetary authorities ...
Electronic Bulls and Bears: U.S. Securities Markets and Information
... For sale by the Superintendent of Documents U.S. Government Printing Office, Washington, DC 20402-9325 (order form can be found in the back of this report) ...
... For sale by the Superintendent of Documents U.S. Government Printing Office, Washington, DC 20402-9325 (order form can be found in the back of this report) ...
The Link between IPO Underpricing and Trading Volume: Evidence
... capitalization of traded firms increased from $938 million to $34,402 million, while annual total trading volume leaped from $13 million to $70,756 million. An IPO offering requires approvals from both the Capital Market Board (CMB) and the ISE. The requirements include that IPO firms should have po ...
... capitalization of traded firms increased from $938 million to $34,402 million, while annual total trading volume leaped from $13 million to $70,756 million. An IPO offering requires approvals from both the Capital Market Board (CMB) and the ISE. The requirements include that IPO firms should have po ...
Statutory Regulation of Insider Trading in Impersonal Markets
... inside traders in service of some of the other regulatory goals. Deterrence and punishment, for example, could perhaps be increased by authorizing losing market traders, or some subset of them, to sue the illegally trading insiders for statutorily defined money damages. If deterrence and punishment ...
... inside traders in service of some of the other regulatory goals. Deterrence and punishment, for example, could perhaps be increased by authorizing losing market traders, or some subset of them, to sue the illegally trading insiders for statutorily defined money damages. If deterrence and punishment ...