John Hancock High Yield Municipal Bond Fund
... environments due to higher than normal redemption rates. Widespread selling of fixed-income securities to satisfy redemptions during periods of reduced demand may adversely impact their price or salability. The secondary market for certain tax-exempt securities tends to be less well-developed or liq ...
... environments due to higher than normal redemption rates. Widespread selling of fixed-income securities to satisfy redemptions during periods of reduced demand may adversely impact their price or salability. The secondary market for certain tax-exempt securities tends to be less well-developed or liq ...
Securities Settlement Systems in Poland and the European Union
... I am delighted to present you with this study, alongside the other institutions,. I hope that it will contribute to broadening the knowledge of the core post-trading processes which take place in the capital market, and to the understanding of their significance for the efficient functioning of the ca ...
... I am delighted to present you with this study, alongside the other institutions,. I hope that it will contribute to broadening the knowledge of the core post-trading processes which take place in the capital market, and to the understanding of their significance for the efficient functioning of the ca ...
Private Placement of Securities in Canada
... Although the details involved in a statutory arrangement are beyond the scope of this discussion, an arrangement, together with the Transaction Exemption can be used in a reverse take-over transaction by a private issuer in order to go public in Canada without filing a prospectus. The TSX Venture Ex ...
... Although the details involved in a statutory arrangement are beyond the scope of this discussion, an arrangement, together with the Transaction Exemption can be used in a reverse take-over transaction by a private issuer in order to go public in Canada without filing a prospectus. The TSX Venture Ex ...
3. Foreign stock exchanges and listing procedures
... the borders between domestic and international capital markets. Internationalisation of securities markets has accelerated with the easing of foreign exchange controls, floating exchange rates, national interest rate differentials, and the easing of several other regulations which previously limited ...
... the borders between domestic and international capital markets. Internationalisation of securities markets has accelerated with the easing of foreign exchange controls, floating exchange rates, national interest rate differentials, and the easing of several other regulations which previously limited ...
Assessment of the VP settlement system
... VP is authorised to operate as a central securities depository, CSD, and a clearing centre pursuant to the Danish Securities Trading Act2 (the Securities Trading Act). Central securities depository and clearing centre activities can be carried out separately or in one company. VP operates as a clear ...
... VP is authorised to operate as a central securities depository, CSD, and a clearing centre pursuant to the Danish Securities Trading Act2 (the Securities Trading Act). Central securities depository and clearing centre activities can be carried out separately or in one company. VP operates as a clear ...
Debunking myths about ETF liquidity
... The exchange-traded fund ecosystem and the market mechanics that support it represent an important innovation in the fund industry. The act of listing and trading a fund on a stock exchange was not new or innovative; closed-end funds had been doing that for decades before the first ETFs. What was ne ...
... The exchange-traded fund ecosystem and the market mechanics that support it represent an important innovation in the fund industry. The act of listing and trading a fund on a stock exchange was not new or innovative; closed-end funds had been doing that for decades before the first ETFs. What was ne ...
Debunking myths about ETF liquidity
... The exchange-traded fund ecosystem and the market mechanics that support it represent an important innovation in the fund industry. The act of listing and trading a fund on a stock exchange was not new or innovative; closed-end funds had been doing that for decades before the first ETFs. What was ne ...
... The exchange-traded fund ecosystem and the market mechanics that support it represent an important innovation in the fund industry. The act of listing and trading a fund on a stock exchange was not new or innovative; closed-end funds had been doing that for decades before the first ETFs. What was ne ...
Sample
... 34) John calls his stockbroker and instructs him to purchase 100 shares of Microsoft Corporation common stock. This transaction occurs in the A) secondary market. B) primary market. C) credit market. D) futures market. Answer: A Diff: 1 Keywords: Secondary Market, Primary Market AACSB: Reflective th ...
... 34) John calls his stockbroker and instructs him to purchase 100 shares of Microsoft Corporation common stock. This transaction occurs in the A) secondary market. B) primary market. C) credit market. D) futures market. Answer: A Diff: 1 Keywords: Secondary Market, Primary Market AACSB: Reflective th ...
Securities Processing: The Effects of a T+3 System on Security Prices
... by the effective Fed funds rate. These results suggest that buyers are forced to compensate sellers at rates greater than I expected during normal conditions. Second, the risk of failed delivery may also affect security prices if market participants expect that sellers will not deliver securities on ...
... by the effective Fed funds rate. These results suggest that buyers are forced to compensate sellers at rates greater than I expected during normal conditions. Second, the risk of failed delivery may also affect security prices if market participants expect that sellers will not deliver securities on ...
Armour Residential REIT, Inc.
... The accompanying unaudited financial statements have been prepared in accordance with U.S. generally accepted accounting principles (“GAAP”) for interim financial information and with the instructions to Form 10-Q and Rule 10-01 of Regulation S-X. Accordingly, they do not include all of the informat ...
... The accompanying unaudited financial statements have been prepared in accordance with U.S. generally accepted accounting principles (“GAAP”) for interim financial information and with the instructions to Form 10-Q and Rule 10-01 of Regulation S-X. Accordingly, they do not include all of the informat ...
Market Liquidity after the Financial Crisis
... an intended consequence of tighter capital regulation. However, the stagnation and deleveraging of dealer balance sheets raises the question of whether regulations might have had unintended consequences on market liquidity and whether liquidity in dealer-intermediated markets can still be provided e ...
... an intended consequence of tighter capital regulation. However, the stagnation and deleveraging of dealer balance sheets raises the question of whether regulations might have had unintended consequences on market liquidity and whether liquidity in dealer-intermediated markets can still be provided e ...
Who We Are and What We Do
... grow a tree; 100 years to grow a man. An institution is like a tree. This cover of the Annual Report is the Chinese Banyan (Ficus microcarpa), commonly known as the Small-leaved Banyan, a species that can be easily found in Hong Kong. The tree can grow to a height of 20m, with a 30m wide crown sprea ...
... grow a tree; 100 years to grow a man. An institution is like a tree. This cover of the Annual Report is the Chinese Banyan (Ficus microcarpa), commonly known as the Small-leaved Banyan, a species that can be easily found in Hong Kong. The tree can grow to a height of 20m, with a 30m wide crown sprea ...
IMPROVING THE EFFICIENCY OF THE ANGEL FINANCE MARKET
... entrepreneurs create new products, markets, processes for doing business, and even new industries, while old inefficient ones are destroyed. These newly created ventures must be more innovative and productive than their already established competitors in order to compete, which has the added benefit ...
... entrepreneurs create new products, markets, processes for doing business, and even new industries, while old inefficient ones are destroyed. These newly created ventures must be more innovative and productive than their already established competitors in order to compete, which has the added benefit ...
Canadian Imperial Bank of Commerce
... emergencies, disruptions in public infrastructure and other catastrophic events; reliance on third parties to provide components of CIBC’s business infrastructure; the accuracy and completeness of information provided to CIBC by clients and counterparties; the failure of third parties to comply with ...
... emergencies, disruptions in public infrastructure and other catastrophic events; reliance on third parties to provide components of CIBC’s business infrastructure; the accuracy and completeness of information provided to CIBC by clients and counterparties; the failure of third parties to comply with ...
January 31, 2017 - Tortoise Index Solutions
... direct segment. For the Underlying Index as a whole, no individual security may be more than 7.5% of the total float adjusted market cap of the Underlying Index. In seeking to achieve its objective as an index fund, the Fund will invest at least 80% of its net assets (excluding any collateral held f ...
... direct segment. For the Underlying Index as a whole, no individual security may be more than 7.5% of the total float adjusted market cap of the Underlying Index. In seeking to achieve its objective as an index fund, the Fund will invest at least 80% of its net assets (excluding any collateral held f ...
Deterrence - Investor Voice, Securities Regulation in Canada
... abnormal changes in market price and volume before announcements of material events. These methods, however, are not sufficiently refined to do more than identify an apparent order of magnitude of trading on inside information, including for example speculative trading that derives from the leakage ...
... abnormal changes in market price and volume before announcements of material events. These methods, however, are not sufficiently refined to do more than identify an apparent order of magnitude of trading on inside information, including for example speculative trading that derives from the leakage ...
Saudi Capital Market Overview
... Capital Market which would contribute to market stability and reduce high volatility in prices through attracting the expertise of specialized foreign investors, with long term investment goals in the local market. 2. Transfer the knowledge and expertise to the local investors and financial institut ...
... Capital Market which would contribute to market stability and reduce high volatility in prices through attracting the expertise of specialized foreign investors, with long term investment goals in the local market. 2. Transfer the knowledge and expertise to the local investors and financial institut ...
Dreyfus Variable Investment Fund: International Value Portfolio
... businesses, investments or sales outside the United States. The fund may invest in companies of any size. The fund invests principally in common stocks, but its stock investments also may include preferred stocks and convertible securities, including those purchased in initial public offerings (IPOs ...
... businesses, investments or sales outside the United States. The fund may invest in companies of any size. The fund invests principally in common stocks, but its stock investments also may include preferred stocks and convertible securities, including those purchased in initial public offerings (IPOs ...
issue price: 101%
... to be admitted to trading and listed on Eurolist by Euronext Amsterdam. References in this Prospectus to the Securities being “listed” (and all related references) shall mean that application will be made for the Securities to be admitted to trading on Euronext Amsterdam. Euronext Amsterdam is a reg ...
... to be admitted to trading and listed on Eurolist by Euronext Amsterdam. References in this Prospectus to the Securities being “listed” (and all related references) shall mean that application will be made for the Securities to be admitted to trading on Euronext Amsterdam. Euronext Amsterdam is a reg ...
CONFIDENTIAL PRIVATE PLACEMENT MEMORANDUM
... ($100,000,000), to qualified investors who meet the Investor Suitability Requirements set forth herein (see “INVESTOR SUITABILITY REQUIREMENTS”). Each Investor must agree to purchase the Notes, as a lender to the Company, for investment purposes only, and execute a Subscription Agreement in the form ...
... ($100,000,000), to qualified investors who meet the Investor Suitability Requirements set forth herein (see “INVESTOR SUITABILITY REQUIREMENTS”). Each Investor must agree to purchase the Notes, as a lender to the Company, for investment purposes only, and execute a Subscription Agreement in the form ...
LCH.Clearnet Limited
... Member or Non-Member Participant to the Clearing House or its agent or contractor containing data constituting particulars of a Bond Trade, Repo Trade, EquityClear ATP Match, or Turquoise Derivatives Orderbook Match submitted to LCH for registration in accordance with the Regulations shall be irrevo ...
... Member or Non-Member Participant to the Clearing House or its agent or contractor containing data constituting particulars of a Bond Trade, Repo Trade, EquityClear ATP Match, or Turquoise Derivatives Orderbook Match submitted to LCH for registration in accordance with the Regulations shall be irrevo ...
Private Placement Financing - Informa Financial Intelligence
... numbers are in line with November 2015 and reveal the preferred financing methods for the PIPE market. One standout when comparing 2015 to 2016 is the prevalence of CMPOs, the month of November 2015 had only 3 CMPO transactions while the month of November 2016 had 12. Deal count in November for 2015 ...
... numbers are in line with November 2015 and reveal the preferred financing methods for the PIPE market. One standout when comparing 2015 to 2016 is the prevalence of CMPOs, the month of November 2015 had only 3 CMPO transactions while the month of November 2016 had 12. Deal count in November for 2015 ...
Capital-Market Effects of Securities Regulation: Prior Conditions
... sample of E.U. firms over a 10-year window around the two directives. The identification of the regulatory effects comes solely from within-E.U. variation in the effective dates of the two directives. To tighten identification further, we also estimate regressions adding country-specific linear and ...
... sample of E.U. firms over a 10-year window around the two directives. The identification of the regulatory effects comes solely from within-E.U. variation in the effective dates of the two directives. To tighten identification further, we also estimate regressions adding country-specific linear and ...
Opening and Closing the Market
... while the algorithm runs. When the matching exercise is finished, trading moves into the continuous trading mode. Any remaining unexecuted orders are left on the book for execution during the normal trading period. Once the uncrossing process for each security is complete, continuous automated execu ...
... while the algorithm runs. When the matching exercise is finished, trading moves into the continuous trading mode. Any remaining unexecuted orders are left on the book for execution during the normal trading period. Once the uncrossing process for each security is complete, continuous automated execu ...