This PDF is a selection from an out-of-print volume from... Bureau of Economic Research
... to find. Because the exchange's clearinghouse is the counterparty to each contract, and because positions are usually well collateralized through margin requirements, evaluation of creditworthiness is less of an issue on organized exchanges than in the OTC market.4 The most actively traded financial ...
... to find. Because the exchange's clearinghouse is the counterparty to each contract, and because positions are usually well collateralized through margin requirements, evaluation of creditworthiness is less of an issue on organized exchanges than in the OTC market.4 The most actively traded financial ...
Real Estate and Unconventional Securities under the Arkansas
... The promoter could retain control with his contribution accounting for only a small portion of the entire venture. The risk of loss in case of whole or partial failure of the venture would fall squarely on the investors. As can be seen in each of these illustrations, the investors are risking their ...
... The promoter could retain control with his contribution accounting for only a small portion of the entire venture. The risk of loss in case of whole or partial failure of the venture would fall squarely on the investors. As can be seen in each of these illustrations, the investors are risking their ...
Meeting Financial Goals—Rate of Return
... asset. Instruct the groups to add the 10 rates and then divide by 10 to determine their average rate of return. Ask some groups to report their average. (While the values will vary, they will all be near 9 percent. Optional: Average all of the groups’ averages to get an overall class average, which ...
... asset. Instruct the groups to add the 10 rates and then divide by 10 to determine their average rate of return. Ask some groups to report their average. (While the values will vary, they will all be near 9 percent. Optional: Average all of the groups’ averages to get an overall class average, which ...
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 ...
Fraud Created the Market: Presuming Reliance in Rule 10(b)
... 6. See 1 THOMAS LEE HAZEN, TREATISE ON THE LAW OF SECURITIES REGULATION § 1.1[4] (5th ed. 2009). 7. See id. 8. See id. 9. 485 U.S. 224 (1988). 10. See infra Part I.A.6.a. 11. See Ross v. Bank S., N.A., 885 F.2d 723 (11th Cir. 1989); T.J. Raney & Sons, Inc. v. Fort Cobb, Okl. Irrigation Fuel Auth., 7 ...
... 6. See 1 THOMAS LEE HAZEN, TREATISE ON THE LAW OF SECURITIES REGULATION § 1.1[4] (5th ed. 2009). 7. See id. 8. See id. 9. 485 U.S. 224 (1988). 10. See infra Part I.A.6.a. 11. See Ross v. Bank S., N.A., 885 F.2d 723 (11th Cir. 1989); T.J. Raney & Sons, Inc. v. Fort Cobb, Okl. Irrigation Fuel Auth., 7 ...
Borrowed securities - Bank for International Settlements
... domestic, current data collection would show only the position of the foreign Investor C. The negative position of any foreign Investor B would still be ignored. As a result, a net liability to foreigners would be shown, even though foreigners, on balance, have a net neutral position in the security ...
... domestic, current data collection would show only the position of the foreign Investor C. The negative position of any foreign Investor B would still be ignored. As a result, a net liability to foreigners would be shown, even though foreigners, on balance, have a net neutral position in the security ...
Result of Tender Offer for Bonds Pareto Securities AS
... which such offer, solicitation or sale would be unlawful. The Tender Offer is made solely pursuant to the terms thereof as reflected herein and in the Bondholders Offer Form dated 22 June 2016. This announcement must be read in conjunction with the Bondholder Offer Form. This announcement and the Bo ...
... which such offer, solicitation or sale would be unlawful. The Tender Offer is made solely pursuant to the terms thereof as reflected herein and in the Bondholders Offer Form dated 22 June 2016. This announcement must be read in conjunction with the Bondholder Offer Form. This announcement and the Bo ...
index of defined terms
... by Regulation (EU) No. 513/2011 (the "CRA Regulation"). In general, European regulated investors are restricted from using a rating for regulatory purposes if such rating is not either (1) issued or validly endorsed by a credit rating agency established in the European Union (an "EU CRA") and regist ...
... by Regulation (EU) No. 513/2011 (the "CRA Regulation"). In general, European regulated investors are restricted from using a rating for regulatory purposes if such rating is not either (1) issued or validly endorsed by a credit rating agency established in the European Union (an "EU CRA") and regist ...
XPP-PDF Support Utility
... are exempt from registration under the Securities Act of 19333 and the Investment Company Act of 1940.4 To fall within applicable exemptions, as a general matter, such private investment funds permit only those investors who are ‘‘accredited investors’’ (as defined in the 1933 Act) and ‘‘qualified p ...
... are exempt from registration under the Securities Act of 19333 and the Investment Company Act of 1940.4 To fall within applicable exemptions, as a general matter, such private investment funds permit only those investors who are ‘‘accredited investors’’ (as defined in the 1933 Act) and ‘‘qualified p ...
standards for the use of eu securities settlement systems in escb
... which will be increased even further once the euro is introduced, will undoubtedly lead to an increase in the efficiency of operators, including SSSs. It may also add to the level of risk accepted by operators as they seek to improve their competitive position. In this context, the definition by the ...
... which will be increased even further once the euro is introduced, will undoubtedly lead to an increase in the efficiency of operators, including SSSs. It may also add to the level of risk accepted by operators as they seek to improve their competitive position. In this context, the definition by the ...
Core High Yield Fund - John Hancock Investments
... The manager uses a fundamentally driven research process that focuses on current income and capital appreciation, with the aim of managing for the potential loss of capital. The manager may take into account the credit quality, country of issue, interest rate, liquidity, maturity, and yield of a sec ...
... The manager uses a fundamentally driven research process that focuses on current income and capital appreciation, with the aim of managing for the potential loss of capital. The manager may take into account the credit quality, country of issue, interest rate, liquidity, maturity, and yield of a sec ...
Insights into Evaluating Exchange Traded Funds
... Note: This is a general description of the ETF product landscape. Individual products may vary by local jurisdictions and provider policies. ...
... Note: This is a general description of the ETF product landscape. Individual products may vary by local jurisdictions and provider policies. ...
The Effect of Capital Controls on Interest Rate Differentials
... the presence of RER targets). All these goals can be summarized as having larger international interest rate differentials, especially at short-run maturities, without generating capital inflows. The policy design often takes the form of an inflow tax, or some kind of entry fee, and it is usually in ...
... the presence of RER targets). All these goals can be summarized as having larger international interest rate differentials, especially at short-run maturities, without generating capital inflows. The policy design often takes the form of an inflow tax, or some kind of entry fee, and it is usually in ...
Rajiv Gandhi Equity Savings Scheme
... (b) any individual who has opened a demat account before the notification of the Scheme but has not made any transactions in the equity segment or the derivative segment till the date of notification of the Scheme, and any individual who is not the first account holder of an existing joint demat acc ...
... (b) any individual who has opened a demat account before the notification of the Scheme but has not made any transactions in the equity segment or the derivative segment till the date of notification of the Scheme, and any individual who is not the first account holder of an existing joint demat acc ...
Internationalization of Stock Markets: Potential Problems for United
... It is not surprising that little attention has been paid to the potential problems faced by United States shareholders as a result of foreign listings and stock offerings by their corporations. This is a consequence of the market-oriented paradigm in which many in the United States view the securiti ...
... It is not surprising that little attention has been paid to the potential problems faced by United States shareholders as a result of foreign listings and stock offerings by their corporations. This is a consequence of the market-oriented paradigm in which many in the United States view the securiti ...
Truth in Savings - UVA Community Credit Union
... Upon opening a money market investment account you are required to maintain this minimum balance to accrue daily dividends. In addition, an account, which continuously remains under this $2,500 minimum for some time, will be subject to closure by the credit union and the funds will be placed into a ...
... Upon opening a money market investment account you are required to maintain this minimum balance to accrue daily dividends. In addition, an account, which continuously remains under this $2,500 minimum for some time, will be subject to closure by the credit union and the funds will be placed into a ...
SSF - oneam
... For 1-year performance, Siam Select Fund : SSF posted a negative return of 15.88%, compared with a negative return of 15.43% of the benchmark calculated from the average return of SET Index (Details in Fund Performance Table) In 2014, Thailand GDP went up barely 0.7% YoY, household consumption up 0. ...
... For 1-year performance, Siam Select Fund : SSF posted a negative return of 15.88%, compared with a negative return of 15.43% of the benchmark calculated from the average return of SET Index (Details in Fund Performance Table) In 2014, Thailand GDP went up barely 0.7% YoY, household consumption up 0. ...
LCH.Clearnet Limited
... The SF Directive seeks to reduce the risks associated with participation in payment and securities settlement systems by minimizing the disruption caused by insolvency proceedings brought against a participant in such a system. The protection provided by the SF Regulations is given to any system whi ...
... The SF Directive seeks to reduce the risks associated with participation in payment and securities settlement systems by minimizing the disruption caused by insolvency proceedings brought against a participant in such a system. The protection provided by the SF Regulations is given to any system whi ...
CHAPTER 11: INVESTING IN STOCKS AND BONDS
... – Investors trade directly with securities dealers. – Larger, actively traded issues make up NASDAQ, while smaller, thinly traded issues are listed on "pink sheets." Copyright 2002 by Harcourt, Inc. All rights reserved. ...
... – Investors trade directly with securities dealers. – Larger, actively traded issues make up NASDAQ, while smaller, thinly traded issues are listed on "pink sheets." Copyright 2002 by Harcourt, Inc. All rights reserved. ...
under Fixed Price Method
... small savers to enable them benefit from Bangladesh's economic growth. The capital market can provide avenues for investment opportunities that encourage a thrift culture critical to increase domestic savings and investment ratios that are essential for rapid industrialization. ...
... small savers to enable them benefit from Bangladesh's economic growth. The capital market can provide avenues for investment opportunities that encourage a thrift culture critical to increase domestic savings and investment ratios that are essential for rapid industrialization. ...
Does Liquidity Affect Securities Market Efficiency?
... one point ($0.10) for most securities. This implies arbitrageurs have an incentive to push prices back towards fundamental values if they stray by even one point. Following conventions in other studies of financial markets, I eliminate observations from the least active markets on the TradeSports e ...
... one point ($0.10) for most securities. This implies arbitrageurs have an incentive to push prices back towards fundamental values if they stray by even one point. Following conventions in other studies of financial markets, I eliminate observations from the least active markets on the TradeSports e ...
Stock Exchange Ordinance
... Securities, rights not represented by a certificate and derivatives with the same structure and denomination which are publicly offered or placed with more than 20 clients are considered as standardised and suitable for mass trading, provided that they are not created specially for individual counte ...
... Securities, rights not represented by a certificate and derivatives with the same structure and denomination which are publicly offered or placed with more than 20 clients are considered as standardised and suitable for mass trading, provided that they are not created specially for individual counte ...
Stock Exchange Ordinance SESTO unofficial translation
... Securities, rights not represented by a certificate and derivatives with the same structure and denomination which are publicly offered or placed with more than 20 clients are considered as standardised and suitable for mass trading, provided that they are not created specially for individual counte ...
... Securities, rights not represented by a certificate and derivatives with the same structure and denomination which are publicly offered or placed with more than 20 clients are considered as standardised and suitable for mass trading, provided that they are not created specially for individual counte ...
MUNICIPAL DEBT AND MARGINAL TAX RATES: IS
... VRDOs are long-term tax-exempt floating-rate notes issued by municipalities. Typically, the floating rate on the notes is reset at a weekly frequency, although both shorter and longer frequencies occur in the markets. Although the maturities of VRDOs are often 30 to 40 years, they are effectively shor ...
... VRDOs are long-term tax-exempt floating-rate notes issued by municipalities. Typically, the floating rate on the notes is reset at a weekly frequency, although both shorter and longer frequencies occur in the markets. Although the maturities of VRDOs are often 30 to 40 years, they are effectively shor ...
Evidence from when-issued transactions
... the role of the depth of the when-issued market as represented by the size and frequency of trades. The depth of the market also allows us to examine the presence of strategic behavior in the Treasury auctions more precisely than in previous studies. Much emphasis has been placed by previous work on ...
... the role of the depth of the when-issued market as represented by the size and frequency of trades. The depth of the market also allows us to examine the presence of strategic behavior in the Treasury auctions more precisely than in previous studies. Much emphasis has been placed by previous work on ...