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*{{tag|Securities lending}} and {{tag|repo}} transactions

...d to be transferred to a trustee by a regulatory authority pursuant to any securities regulating legislation and the {{gmraprov|Defaulting Party}} serves a {{gmr

...PRU {{bipruprov|13.3}} than it does for [[Securities financing transaction|securities financing transactions]] (BIPRU {{bipruprov|13.8}}) ...ated by [[MiFID]] and not [[SFTR]], and [[Securities financing transaction|securities financing transactions]] are regulated by [[SFTR]] and not [[MiFID]]

...r “[[ADR]]”, is a way of getting [[Synthetic trade|synthetic]] exposure to securities in hard-to-access markets. They were introduced in 1927<ref>Fun fact: The f ...ting principles (GAAP), which means less information is available on these securities, and it's more difficult to compare their financial metrics to those of U.S

...the [[Securities and Exchange Commission]] (we think this is ''under the [[Securities Act of 1933]]'') ([[SEC]]) as: ...director, executive officer, or general partner of the company selling the securities;

...people from manipulating the price of secondary offerings by shorting the securities being offered shortly before the secondary offering is priced. ...g it illegal to buy [[shares]] in the offering if the buyer has sold the [[securities]] short during the shorter of either:

:(iv) a collateralized debt obligation of asset-backed securities; ...rent company or a company controlled by the parent company, if none of the securities issued by the finance subsidiary are held by an entity that is not controll

...nd certificates — “Debentures”, which we ''take'' to mean negotiable debt securities, though there is some doubt about this as the term isn’t defined and clea

...dities]]'''” include include interest rates, exchange rates or currencies, securities, security indices, credit risk or measure, debt or equity instrument, certa

...rney]]. Even the ''same'' [[U.S. Attorney]], when holding different {{t|US Securities Regulation}}s in contemplation, or otherwise meditating on the golden mean. ==Regulation S of the Securities Act of 1933==

...’t for [[retail]] investors, at least beyond the regulatory reach of the [[Securities and Exchange Commission]]. In America, as Matt Levine is fond of saying, “everything is securities fraud”, and big boy letters may well not work. (But [[you would say that]

...he eligible collateral covers a broad set of securities, such as sovereign securities, covered bonds, specific securitisations, corporate bonds, gold and equitie

*1995 [[Overseas Securities Lenders’ Agreement]]

...[financial futures]] the underlying asset or item can be [[currencies]], [[securities]] or [[financial instruments]] and intangible assets or referenced items su

...ence to operation of commercial banks, the settlement of foreign exchange, securities markets, the principal financial centre, local business days, delivery days

...ubject to regulation as a Consolidated Supervised Entity (“CSE”) by the US Securities and Exchange Commission; <br>

...a total return on an [[underlying security]] or {{eqderivprov|basket}} of securities. All returns, such as [[dividends]] and the results of [[corporate actions *[[securities]], [[currency|currencies]], [[interest rate]]s or [[yield]]s, or other [[de

...tery at the thought of subjugating itself to the law of the [[:Category:US Securities Regulation|Americans]]. That this might happen takes some [[U.S. Attorney|A

...isn’t of “[[security-based swap]]” from the Rules and Regulations of the [[Securities Exchange Act of 1934]]. ...d on or references a qualifying foreign futures contract ... on the [[debt securities]] of any one or more of the foreign governments ... provided that such agre

Questions you might want to ask yourself before blithely placing repackaged securities into the US market. '''’34 Act liability''': Securities liability for sale: Issuer risks “10b-5 liability” for misstatement in