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...erminable intercessory prayer offered by an arranger that, by reciting the securities regulations of divers jurisdictions, its syndicate will therefore behave th ...urities Act of 1933|securities laws]], regulations, rules and associated [[Securities Exchange Act of 1934|apocrypha]]; inscrutable alphanumeric codes referencin

==“[[Derivatives]]”, “[[transferable securities]]”, “[[securitised derivatives]]”, “[[structured finance products]] ...eather, this leaves the question of [[Asset-backed security|asset-backed]] securities unaddressed. Could something that at first glance falls ''outside'' the sco

{{a|brokerage|}}[[Rule 15a-6]] under the {{t|Securities Exchange Act of 1934}} provides conditional exemptions from [[broker-dealer *Effecting [[Reverse solicitation|unsolicited]] securities transactions;

*'''[[ISLA]]''': [[International Securities Lending Association]]. Publisher of the {{gmsla}}, {{pgmsla}} and the Ameri

...ated services such as cash/collateral management and excluding maintaining securities accounts at the top tier level; (1) [[Transferable securities]];

...International Swaps and Derivatives Association ({{tag|ISDA}}), the Japan Securities Dealers Association ({{tag|JSDA}}) and the London Investment Banking Associ

...ransactions and of Reuse]] ({{eureg|2015|2365|EC}}) — to its friends the [[securities financing transactions regulation]] and around the kitchen table {{tag|SFTR SFTR requires transaction reporting of [[securities financing]] arrangements. SFTR transaction reporting is different from [[EM

..., with the [[Commodities Futures Trading Commission]] ({{tag|CFTC}}) and [[Securities and Exchange Commission]] ({{tag|SEC}}) in charge of rule making.

...[[exchange-traded derivatives|exchange-traded derivative]] transactions, [[Securities finance transaction|SFT]]s and long-settlement transactions. Where the [[cl

...the volume of derivatives a counterparty enters into, [[ESMA]] ([[European Securities and Markets Authority]]) has defined a set of clearing thresholds for each

*'''For securities''': CASS {{cassprov|6.1.12}}, but see also {{cassprov|6.1.4}} for an import #'''As [[custody]] [[agent]]''': [[client]] pre-delivers securities to broker and instructs it to sell them; broker executes in its own name in

...e 2001 Law''', being the law dated 1 August 2001 regarding the transfer of securities and other fungible instruments, [[As amended from time to time|as amended]] ...This is where the frustrated author inside every [[Mediocre lawyer|modern securities lawyer]] really lets {{sex|her}} figurative imagination run wild.

...polos.pdf|Harry Markopolos’ 18 page submission to the SEC]]</ref> to the [[Securities and Exchange Commission]] about five times over the course of a decade.

...ded commodities” include financial instruments, such as rates, currencies, securities and indices.

...o exchange ''large'' — like, ''really'' large — amounts of [[money]], or [[Securities|money-like things]], having readily realisable value, and the performance o '''Debt securities''': These are loans in the form of tradable securities: [[Debt security|Bond]]s, notes, or [[Certificate of deposit|certificates o

Likewise, securities trading. portfolio investing If you are a football striker, a well-timed v ...eing'' punched down. Client mode is attack; adviser mode is defence. The [[Securities and Exchange Commission|SEC]], when investigating [[Bernie Madoff|Madoff]],

...gning [[confidentiality agreement]]s that violated Rule 21F-17(a) of the [[Securities Exchange Act of 1934]]. ...the [[Securities and Exchange Commission|SEC]] information about possible securities law violations. Where this leads to conviction, whistle-blowers stand to be

...ance against those (for example by using them as [[collateral]] under a [[securities financing]] programme) it can improve its [[balance sheet]] position, repay {{voting rehypothecated securities}}

...ied by article 78 of the Regulated Activities Order (government and public securities) which are issued by a single issuer; or <li>