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  • Prospectus liability
    Call the [[mediocre lawyer|attorneys]]! The [[Securities and Exchange Act|Securities and Exchange Act of 1933]] is lurking somewhere nearby. THIS IS NOT A DRILL {{c2|Securities|US Regulation}}
    232 bytes (33 words) - 10:17, 4 September 2017
  • Securities and Exchange Commission
    ...s industry, the nation's stock and options exchanges, and other electronic securities markets in the United States.
    349 bytes (53 words) - 15:41, 28 January 2021
  • SEC Rule 15c2-1
    ...ies Exchange Act of 1934]] that deals with [[rehypothecation]] of clients’ securities. See especially Rule 15c2-1(a)(1). *Rule [[15c3]] of the [[Securities Exchange Act of 1934]]
    424 bytes (64 words) - 18:44, 6 January 2021
  • Regulation M
    [[Regulation M]] promulgated under the [[Securities Exchange Act of 1934]] is where you will find [[Rule 105]], about [[short s {{c|US Securities Regulation}}
    185 bytes (25 words) - 13:54, 28 September 2017
  • SEC
    #redirect[[Securities and Exchange Commission]]
    47 bytes (5 words) - 15:20, 14 November 2016
  • Exchange Act
    #redirect[[Securities Exchange Act of 1934]]
    44 bytes (5 words) - 13:01, 7 May 2019
  • 28 - Securities Exchange Act Provision
    #REDIRECT [[28(e) - Securities Exchange Act Provision]]
    55 bytes (7 words) - 09:22, 14 September 2017
  • Commodity Exchange Act of 1936
    *{{t|US Securities Regulation}}
    478 bytes (68 words) - 11:36, 18 January 2020
  • Exchange
    ...ised [[venue]] which brings together bids and offers in certain types of [[securities]] and doesn’t look like an [[over-the-counter]] transaction. In the {{tag
    687 bytes (101 words) - 09:38, 15 March 2019
  • Aggregation and allocation of orders - COBS Provision
    *(a) Client A for 100 securities; *(b) Client B for 80 Securities;
    2 KB (281 words) - 14:31, 5 February 2015
  • 15c3
    ...’s vaunted Rule [[15c3]], “[[Customer protection - reserves and custody of securities]]” was enacted in 1972 with the intention to protect client accounts at ...ires [[broker-dealer]]s to [[segregate]] a portion of their [[cash]] and [[securities]] and keep them in protected accounts from which clients can withdraw their
    1 KB (182 words) - 13:25, 15 April 2019
  • Exchange Delivery Settlement Price
    ...he Index value created by the intra-day auction in each of the constituent securities which is run specifically for that purpose by the London Stock Exchange.
    968 bytes (145 words) - 01:01, 2 August 2016
  • United States of America
    ...vestment Advisers Act]], the [[Securities and Exchange Commission]], the [[Securities Act of 1933]], and [[US dollars]].
    619 bytes (87 words) - 16:55, 12 January 2020
  • 28(e) - Securities Exchange Act Provision
    *[[Securities Exchange Act of 1934]]
    149 bytes (15 words) - 11:36, 18 January 2020
  • Venue
    ...where they might play [[Pop songs which use legal concepts|pop songs]]. In securities and derivatives brokerage, it is a place where willing partipants can buy a
    871 bytes (128 words) - 08:42, 15 June 2022
  • Broker-dealer
    The term {{tag|broker-dealer}} is used in US securities regulation (and in ISDA {{tag|netting}}) parlance to describe stock brokera ..., at Ellis Island and have not subsequently been registered with the {{tag|Securities and Exchange Commission}}. A [[registered broker-dealer]] denotes one of th
    3 KB (418 words) - 18:45, 6 January 2021
  • Clearinghouse - CCP
    ...transactions. These transactions may be executed on a futures exchange or securities exchange, as well as off-exchange in the over-the-counter (OTC) market. A c
    2 KB (264 words) - 13:59, 8 September 2016
  • Alternative trading system
    ...nder federal securities laws but is not required to register as a national securities exchange as long as it operates under the exemption provided under Exchange
    1 KB (174 words) - 15:29, 12 February 2019
  • Delivery versus payment
    ...{{tag|securities}}. The process involves the simultaneous exchange of the securities (or the documents necessary to transfer them) with the agreed cash consider
    1 KB (199 words) - 18:56, 16 March 2020
  • Regulation X
    ...the Federal Reserve Board regulation that implements Section 7(f) of the [[Securities Exchange Act of 1934]], governs credit limits and extends the margin rules ...y United States securities or to credit obtained by any US borrower to buy securities of an issuer organised outside the US and whose principal place of business
    920 bytes (143 words) - 10:05, 31 March 2021
  • OTC
    *{{tag|Securities lending}} and {{tag|repo}} transactions
    1 KB (158 words) - 15:06, 18 January 2021
  • 10(a)(ix) - GMRA Provision
    ...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
    1 KB (189 words) - 10:18, 29 November 2018
  • Financial derivative instrument
    ...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]]
    2 KB (295 words) - 17:41, 31 July 2020
  • Depositary receipt
    ...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
    4 KB (571 words) - 17:00, 21 April 2022
  • Accredited investor
    ...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;
    3 KB (470 words) - 08:42, 15 September 2017
  • Rule 105
    ...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:
    3 KB (409 words) - 13:53, 28 September 2017
  • Asset-backed security
    :(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
    3 KB (451 words) - 14:50, 11 May 2023
  • Designated investment - FCA Rulebook Term
    ...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
    1 KB (144 words) - 11:04, 10 May 2023
  • Excluded Commodities
    ...dities]]'''” include include interest rates, exchange rates or currencies, securities, security indices, credit risk or measure, debt or equity instrument, certa
    1 KB (186 words) - 10:00, 20 July 2012
  • US Person
    ...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==
    6 KB (899 words) - 11:18, 5 March 2024
  • Big-boy letter
    ...’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]
    1 KB (202 words) - 14:42, 12 November 2022
  • Risk-mitigation techniques for OTC derivative contracts not cleared by a CCP - EMIR Provision
    ...he eligible collateral covers a broad set of securities, such as sovereign securities, covered bonds, specific securitisations, corporate bonds, gold and equitie
    3 KB (367 words) - 11:33, 31 August 2017
  • Fossil record
    *1995 [[Overseas Securities Lenders’ Agreement]]
    663 bytes (92 words) - 15:11, 8 May 2023
  • Futures contract
    ...[financial futures]] the underlying asset or item can be [[currencies]], [[securities]] or [[financial instruments]] and intangible assets or referenced items su
    4 KB (576 words) - 15:51, 8 September 2016
  • Business day
    ...ence to operation of commercial banks, the settlement of foreign exchange, securities markets, the principal financial centre, local business days, delivery days
    911 bytes (141 words) - 08:54, 26 June 2020
  • UCITS eligibility criteria for derivative counterparties
    ...ubject to regulation as a Consolidated Supervised Entity (“CSE”) by the US Securities and Exchange Commission; <br>
    3 KB (475 words) - 10:36, 12 February 2015
  • Total return swap
    ...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
    2 KB (221 words) - 17:20, 1 November 2017
  • Eligible Contract Participant
    ...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
    3 KB (477 words) - 11:27, 14 December 2018
  • Definisn’t
    ...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
    7 KB (1,151 words) - 13:50, 27 February 2023
  • US private placement
    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
    6 KB (922 words) - 01:11, 5 August 2023
  • Selling restrictions
    ...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
    5 KB (730 words) - 13:49, 29 November 2022
  • Financial instrument
    ==“[[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
    9 KB (1,356 words) - 08:46, 4 July 2023
  • SEC Rule 15a-6
    {{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;
    9 KB (1,219 words) - 18:44, 6 January 2021
  • Industry association
    *'''[[ISLA]]''': [[International Securities Lending Association]]. Publisher of the {{gmsla}}, {{pgmsla}} and the Ameri
    3 KB (418 words) - 17:01, 13 October 2020
  • SPAC
    7 KB (1,209 words) - 09:01, 29 September 2023
  • Investment services and activities
    ...ated services such as cash/collateral management and excluding maintaining securities accounts at the top tier level; (1) [[Transferable securities]];
    4 KB (572 words) - 09:03, 16 June 2022
  • Cross-Product Master Agreement
    ...International Swaps and Derivatives Association ({{tag|ISDA}}), the Japan Securities Dealers Association ({{tag|JSDA}}) and the London Investment Banking Associ
    11 KB (1,712 words) - 15:56, 1 September 2020
  • SFTR
    ...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
    6 KB (869 words) - 12:24, 13 July 2020
  • Central counterparty clearing house
    ..., with the [[Commodities Futures Trading Commission]] ({{tag|CFTC}}) and [[Securities and Exchange Commission]] ({{tag|SEC}}) in charge of rule making.
    2 KB (347 words) - 08:37, 30 April 2019
  • Capital requirements for bank exposures to central counterparties
    ...[[exchange-traded derivatives|exchange-traded derivative]] transactions, [[Securities finance transaction|SFT]]s and long-settlement transactions. Where the [[cl
    5 KB (830 words) - 11:36, 18 January 2020
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