That has pushed managers into more exotic instruments, such as credit default swaps, bank loans, and mortgage-backed securities. |
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It later repurchased the securities, and in doing so, tried to classify the sale and repurchase as a simple repurchase. |
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He practices commercial and securities litigation at a large downtown law firm in Toronto. |
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Probably a lot of bucket shop operators had the same reaction to states which passed blue sky laws requiring securities disclosure. |
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Investors should be aware of the risks involved and remember that the value of securities held may go down as well as up. |
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For corporates, that means quality investment-grade debt, and maybe asset-backed securities. |
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Things like shares are effectively like undated securities, because they have no redemption date. |
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Even officially negotiated treaties were rather the preparatives for disputes than securities for peace. |
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The rule at my firm is that any money you need in the next 10 years needs to be invested in high-quality, fixed-income securities. |
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It operates in 40 securities markets throughout the world, including stock exchanges in Frankfurt, London, Paris and Tokyo. |
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Unlike property, they are securities and hence are easy to buy and sell on stock exchanges. |
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That is right, and given the context where it is listed on the stock exchange, its securities are traded. |
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The creditor could sue the debtor, sell the mortgage securities or sue the surety. |
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The Government is poised for the redemption of securities maturing during the next few months. |
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One need look no further than the daily newspaper to see that securities fraud is the scam du jour. |
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The securities commission was institutionally too weak, and legal authority too dispersed, to inhibit questionable activities. |
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We remain in the heart of a major disintermediation out of low-yielding money fund deposits and into securities. |
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Thirdly, if a bank agrees to underwrite an issue of securities, it commits itself to take them up in the event that the issue is undersubscribed. |
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In such a case the securities are retained by the bank as a bailee, and not in the ordinary course of its banking business. |
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That sort of bait-and-switch is likely to be more difficult if the new securities law that came into force last year has the desired impact. |
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Businesses save in the form of undistributed profits, which go into bank accounts or get invested in securities. |
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Demand for the loans necessary to create the marketable securities simply could not be satisfied. |
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Companies should consult with counsel about the application of corporate and securities laws to the issuance of new stock. |
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The Legislature had in mind such transactions as the transfer and sale and issue of securities. |
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The fair market value of securities held by a hedge fund is the basis for calculating its performance. |
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The new rules also make donating mutual funds, stocks, bonds and other securities more attractive. |
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These are pooled investment funds which give access to a wide spread of shares and other securities such as bonds. |
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Junk bonds or high yield bonds are securities issued by companies that aren't in the best of health. |
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As we mentioned earlier convertible bonds are rather complex securities for a few reasons. |
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For those with an interest in individual securities, there are stocks and bonds to meet every need. |
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It is not unitised and therefore investors own the underlying securities directly. |
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Options securities give their holders the right to buy or sell the asset, at an agreed price at a specified period of time. |
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When the data is processed and submitted to the Central Depository, the missing securities will be traded on the exchange. |
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Investors who bought securities backed by subprime loans apparently did not understand the risks either. |
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They should refrain from overinvesting in the doubtful securities that proliferate in this country. |
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Until recently, Mexico's pension funds were required to invest two-thirds of their holdings in government securities. |
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Critics often cite the potential for these funds to trade at a share price that is not aligned with the value of the underlying securities. |
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In line with this process, 19 out of 31 securities issued during 2002-03 were reissues. |
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If disaster strikes the debtor and the mortgaged securities but the surety remains capable of repaying the debt then the creditor loses nothing. |
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This then becomes a major issue if the market looks askance at the company's asset-backed securities. |
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Banks falling under the securities laws are obviously subject to both banking and securities regulation. |
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A typical money market fund will invest in fixed deposits, other high income earning securities and to a lesser extent in bonds. |
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In 2001, a few newspapers carried stories on local securities firms swindling money from investors but soon all fell silent. |
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Their main grouse was the 0.15 per cent securities transaction tax on share transactions. |
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Thus, the bank instructed simply to buy or sell securities has fewer fiduciary duties than if it is the manager of a discretionary fund. |
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Issuers who are unwilling to pay the price to sell these long securities can instead sell shorter maturities. |
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The businesses of securities brokerage and trading had already been revolutionized by online brokers and electronic communication networks. |
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With this strategy, you chose securities that pay a high level of dividends or coupon payments. |
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I also counsel clients with respect to securities regulatory issues, including listing and delisting on the Nasdaq Stock Market. |
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He was convicted of securities fraud, conspiracy and seven counts of filing false reports with regulators. |
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Agricultural commodity exchanges, for instance, are not subjected to the same insider trading legislation as securities. |
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The warrants can be purchased through Irish stockbrokers and are traded as listed securities on the Irish Stock Exchange. |
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With dollar liquidity flooding the global financial system, foreign holders are accumulating amazing quantities of U.S. securities. |
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The fixed income arbitrageur aims to profit from price anomalies between related interest rate securities. |
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Hedge fund managers also invest in derivatives, options, futures and other exotic or sophisticated securities. |
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When hostilities began, people piled out of shares and invested in bonds on the grounds that government-backed securities offered a safe haven. |
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Unlike other investors, he can establish either long or short positions in securities. |
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The territory's top securities regulator said liquidity, transaction costs and managerial skills in Hong Kong remained among the best in Asia. |
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Shares feature prominently alongside a mixture of securities and property investments in the holdings of the superannuation funds. |
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A surety who pays off the debt owed by the principal debtor is subrogated to any securities given by the debtor as security for the debt. |
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The extension of this model to securities pricing has created a widely accepted but perverse understanding of financial markets. |
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And if this wonderful alchemy of converting risky loans into securities palatable to risk conscious investors falters, the music stops. |
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You can't get any return on riskless securities, so the government is incenting you to go out and buy stocks. |
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The yields on preferred securities, typically higher than other fixed-income investments, are paid every quarter. |
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And lower interest rates and fears of a bond market bubble have made fixed-income securities less attractive to some investors. |
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Securitization is the creation of fixed-income securities backed by mortgage and auto loans, credit-card receivables, and the like. |
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The firm collapsed as a result of the biggest securities fraud in the history of the state. |
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In addition, the amount of money available exerts a considerable influence on the number of securities in a portfolio. |
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A landmark securities law that would criminalize insider trading in Hong Kong has languished for a year. |
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Federal government securities are widely viewed as a safe haven in times of crisis. |
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We also want to see more transparency with regard to securities, derivative transactions, investment, and guarantees. |
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The company had been on a securities watch list for losing money between 2000 and 2002, and was a candidate for de-listing. |
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Purchasing securities from a primary dealer and paying for them with cash adds liquidity to the banking system. |
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This would allow market-makers to adjust prices for other securities effectively as demand and supply conditions change. |
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And, did it become popular to borrow in Euros to speculate in higher-yielding Mexican or Brazilian securities? |
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The securities trade like stocks when the price of common shares moves above the conversion price. |
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The Fed uses this cash to purchase securities from primary government bond dealers. |
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Most of the respondents had experience in investing in the stock market and other securities. |
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In distributing an issuer's securities, a bank can obviously incur legal liability through its own conduct. |
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An adviser executive sells mutual funds, bonds and other related securities to customers. |
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Already we have seen how important are the securities and derivatives activities of modern banks. |
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The duration of gilts, bonds and interest bearing securities will not exceed 2 years. |
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Generally, you shouldn't have more securities in your portfolio than you can keep track of effectively. |
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A mutual fund firm invests in a broad range of stocks or other securities on behalf of a large number of individual clients. |
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It was mainly leverage created by borrowing to finance securities purchases back then. |
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But before you go and register all your securities into joint ownership, there is a catch. |
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Instead, I propose to levy a small tax on transactions in securities on stock exchanges. |
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One should remember that most of the option theory was developed for financial securities. |
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Most securities that trade this way are penny stocks or are from very small companies. |
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The segmented market hypothesis explains the yield curve's shape in terms of relative supply and demand for securities at different maturities. |
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The securities laws now provide that a firm must segregate its customers' moneys and hold them in a separate client account. |
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Remember, these thinly capitalized companies' insurance buttress truly enormous quantities of securities. |
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In the United States a law against mob racketeers has been misapplied in all sorts of spheres, including throughout the securities industry. |
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The obliger is currently not in default under any of its outstanding securities for which United States Trust Company of New York is Trustee. |
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Many foreign securities firms have been investing in China by means of technical support and consultancy. |
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Now, a major new worry is the fate of securities based on the receivables of subprime lenders. |
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Portfolio investment also includes deposits in banks and financial investment in government or private securities. |
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If the hedge funds shun European junk, that dramatic shift could drive up rates on these securities even further. |
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Foreigners will be less willing to own securities denominated in that currency if the risk of default is great. |
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This is because English law treats both share certificates to bearer and bearer debt securities as negotiable instruments. |
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The coexistence of state and federal securities regulators has often been criticized by the industry as inefficient and burdensome. |
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The bank can offer a full range of products, including trade finance, securities trading and foreign exchange. |
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The biggest securities firms, for example, continued to pay their reps more for selling proprietary products than outside ones. |
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A successful reinflation effort, from these low rates, would be hugely negative for unpegged fixed-income debt securities. |
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I witnessed how these institutions, Wall Street securities firms, and other non-banks took up the slack from an impaired banking system. |
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The yield curve for U.S. Treasury securities implies a forecast for future federal funds rates. |
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Why not take full advantage of a steep yield curve by leveraging mortgage securities. |
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In England it is possible to pledge bearer securities by handing over the certificates themselves. |
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Higher rates also have a strong depressing effect on securities prices, as we have seen in the past year. |
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Still, an experienced securities lawyer should be retained to advise on deal terms. |
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Baby boomers nearing retirement are spurring demand for fixed-income securities. |
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It is never a bad idea to keep a portion of your invested assets in cash, or short-term money-market securities. |
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Ten percent of it must be in the form of Singapore government securities, with the rest in the form of cash or other liquid assets. |
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The most likely outcome is for the worst brokerages to be hived off to asset management firms or handed to larger, better-run securities firms. |
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Finally, you can gift shares and other financial securities to charity and get tax relief on their market value. |
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In the context of asset-backed securities, this figure is about one-half of public and private U.S issuance. |
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Sales of government assets and asset-backed securities would also improve the fiscal position. |
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The capital markets have also played a key role, with the proliferation of mortgage and asset-backed securities. |
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Meanwhile, investment bankers salivate at the mountain of asset-backed securities created. |
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We are today forced to wait for the protracted boom in mortgage finance and asset-backed securities to run its course. |
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How much marketplace leverage is there in agencies, mortgage-backs and asset-backed securities? |
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The SEC charging Goldman with securities fraud is like the Vatican charging a priest with venial sin. |
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Mortgage securities are being issued in record quantities, home prices are rising smartly, and the pricing of underlying credit risk is again being severely underpriced. |
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At the same time, several securities brokers are offering discounts on commission charged for online trades, which is attractive to those who trade frequently. |
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His expertise is valuation of businesses, companies, quoted and unquoted securities, intellectual property and intangible assets generally, both in the UK and abroad. |
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Otherwise, e-money issuers would hold securities or time deposits. |
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An underwriting bank can enter sub-underwriting agreements with others, under which the latter agree to underwrite a certain amount of the securities. |
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No longer will investment banks that underwrote securities for companies that ended up in bankruptcy be barred from offering advice to the same companies. |
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Most of these securities were financed by British and Dutch investors. |
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On April 19, securities brokerage Cash Financial Group reported that a fake website with its company logo and name was arranging a bogus lucky draw for customers. |
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So some two decades later he set out to transform the securities industry with a report that he hoped would expose its mountebankery and lead to a miraculous transformation. |
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Today, we see that investors and speculators are increasingly willing to hold risky junk bonds, asset-backed securities, mortgage-backs, agency debt, and even corporate bonds. |
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And Christie, it should be noted, is himself a securities and appellate lawyer. |
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The U.S. has laws restricting bucket shop practices by limiting the ability of brokerage houses to create and trade certain types of over-the-counter securities. |
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In a world of fiat money and a growing mountain of marketable securities, credit is virtually money, and certainly money is little more than credit. |
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One, deregulate everything so that banks can start placing bets agaist their own securities. |
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And there was no crime, just allegations by the securities and Exchange Commission about a 16-year-old kid. |
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In truth, the securities were ones that Goldman already owned but which were proving iffy at best. |
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Salem personally selected 40 percent of the securities from the Goldman inventory. |
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The successful issuers of currency would be the organizations with reputations strong enough to maintain the market values of their securities at exact par. |
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Because the securities are subdivided into tranches, priced according to their riskiness, potential investors have a wide range of yields to choose from. |
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The company's fortunes, however, changed dramatically with the introduction and rapid growth of a market for high yielding auto asset-backed securities. |
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The solution was to provide legislatively for rights equivalent to co-ownership by customers of fungible securities held by the settlement systems. |
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Before the crisis, most of the Mexican government's debt took the form of cetes or short-term peso-denominated securities similar to U.S. Treasury bills. |
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If Ivar was a shining beacon of confidence, his securities would maintain their value, even if the rest of the market crashed. |
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Disclosure of material nonpublic information on a publicly traded company's blog could be deemed a prohibited selective disclosure under federal securities laws. |
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To avoid heavy losses, the banks had their captive securities firms package the loans and sell them as securities to the proverbial widows and orphans. |
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As a result, most of them are undercapitalized, in the same way that a firm is undercapitalized when it issues fewer securities than its income and assets would justify. |
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He was a securities and appellate lawyer with no experience in criminal law. |
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Once both parties are found, the exchange records the transaction on its ticker tape, and an exchange of money and securities between the parties occurs on settlement. |
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These totals, it's important to note, also include filings to deregister shares bought out in mergers, plus bonds and other redeemable securities. |
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The securities and antitrust laws must be rigorously enforced. |
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It is unclear, however, if the listed entity has any resources to foot the bill as its last two filings to the American securities regulator showed cash balances of zero. |
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Taxable funds mainly invest in U.S. Treasury securities, government agency securities, repurchase agreements, CDs, commercial paper and bankers' acceptances. |
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The position differs where the security given by the debtor comprises marketable securities, such as bearer bonds, share warrants, scrip, or exchequer bills. |
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Thus the market-maker in securities can finance its inventory, and the fund manager can also raise short-term moneys, without disturbing its underlying, portfolio. |
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Such securities are open-ended, as the chattels or assets covered by them continue to change and, basically, are unaffected by the security unless the debtor is in default. |
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And the reality is, if the subprime securities are truly trash, most of the big banks are troubled and some are insolvent. |
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This definition excludes all securities, which are subject to risk of capital loss, and time deposits, which carry penalties for early withdrawal. |
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The Securities Commission Malaysia today released an updated list of Shariah-compliant securities approved by its Shariah Advisory Council. |
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A day trader is an individual who buys and sells securities all day for a living. |
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In the role, Taha will be responsible for activities covering both loans and high-yield securities for private equity and corporate clients. |
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The chart below shows the Federal Reserve's holdings of agency securities along with the agency securities used as collateral in tri-party repos. |
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Financial institutions bid for securities worth Rs 31 Billion on the central bank s new bout of reverse repo. |
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In pursuing their investment objectives, SBI and MMU invested mainly in investment grade municipal securities. |
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Holders of such securities are anxious to hedge, diversify or monetize a part of this wealth without creating a taxable or sale event. |
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Of the many types of computer-assisted securities trading, program trading may be the most misunderstood. |
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Meanwhile, CCR officials said in a statement yesterday that the firm is working with securities officials to resolve the matter. |
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Last autumn's severe disruption in the commercial mortgage-backed securities market is just a memory now. |
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Others are firms that focus tightly on underwriting issues in such areas as regionally based public finance or mortgage-backed securities. |
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In 1987, he co-founded The Davco Group, a hedge fund arbitraging opportunities in global securities and commodities markets. |
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In the first segment, securities of VVIP'S including President, Prime Minister, Chief Ministers and Provincial Governors are to be rechecked. |
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Treasury securities are extensively rehypothecated and therefore should be viewed as money. |
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Nonetheless, it is still inferior to contributing appreciated securities, which results in far more final, spendable wealth. |
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Other investment avenues include reverse repo against government securities and placements with financial institutions under various modes. |
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The launch of the Baltic indexes marks another milestone in the creation of a truly integrated Nordic and Baltic securities market. |
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Minnesota-based securities brokerage and investment banking company. |
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Trub AG, in business since 1859, made its name printing securities and billboards. |
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Mortality securities, with only a limited number issued in financial markets, are not liquidly traded. |
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A Vietnamese government crackdown on investors' borrowing to buy securities prompted a sharp selloff in April. |
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Singapore Exchange Limited is Asia-Pacific's first demutualised and integrated securities and derivatives exchange. |
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Daytraders will normally make many trades in the very same security or group of securities in a single trading day. |
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The corporation's false statements may influence traders in the secondary market and cause them to misvalue the corporation's securities. |
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The MPF Program issues securities guaranteed by Ginnie Mae backed by these government mortgages. |
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The risk transfers carried out through the commercial mortgage-backed securities market, however, have been very limited. |
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The capital structure of a company with potentially dilutive convertible securities, stock options, warrants or other rights. |
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The acquired securities are held in a suspense account under the ESOP's trust. |
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The 3 securities that reported the highest oversold positions by foreign investors during the week of Aug. |
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Pais, a New York Life Insurance and securities agent, is the group's vice president. |
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The aim is to encourage corporations to dematerialise existing physical securities and to newly issue securities in dematerialised form. |
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One holdout juror led to an 11-1 vote of guilt on three securities fraud counts against each defendant. |
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Such an allocation preestablishes the division of losses between the corporation and the insurer in a securities claim. |
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Huszar joins TKD's corporate and securities and cooperative and condominium practice groups. |
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In an IMA, all securities are purchased specifically for the client portfolio. |
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The complaint charges Fluor and certain of its officers and directors with violations of the federal securities laws. |
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Strong investor demand has opened a wide window of opportunity for would-be issuers of asset-backed securities. |
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In a liquidity crisis, some securities lose their claim to being cash instruments. |
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When made up in dribblets, as they could, their best securities were at an interest of twelve per cent. |
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Agricultural life afforded securities that pastoral life could not, and sedentary farming populations grew faster than nomadic. |
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Have there not been hundreds and thousands of people injured in the depression in value of railroad securities? |
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These are the earliest evidence of organised trading in marketable securities in London. |
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This now had a set entrance fee, through which traders could enter the stock room and trade securities. |
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There are currently 2,000 securities, across 19 countries that are on Turquoise. |
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By the 1620s, the company was expanding its securities issuance with the first use of corporate bonds. |
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Adding an ISIN code helps to distinctly identify securities and the ISIN system is used worldwide by funds, companies, and governments. |
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Conversely, selling of securities by the central bank reduces the money supply. |
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For example, a central bank may regulate margin lending, whereby individuals or companies may borrow against pledged securities. |
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The margin requirement establishes a minimum ratio of the value of the securities to the amount borrowed. |
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However, any surplus in the funds is invested in government securities, and so is effectively lent to the government at low rates of interest. |
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IndyMac was taking new measures to preserve capital, such as deferring interest payments on some preferred securities. |
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Governments usually borrow by issuing securities such as government bonds and bills. |
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Governments often borrow money in a currency in which the demand for debt securities is strong. |
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Moody's Investors Service rates debt securities in several market segments related to public and commercial securities in the bond market. |
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All three operate worldwide, maintaining offices on six continents, and rating tens of trillions of dollars in securities. |
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The value of these securities held by financial firms declined, and the market for new subprime securitizations dried up. |
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A credit rating facilitates the trading of securities on a secondary market. |
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Critics maintain that this rating, outlooking, and watching of securities has not worked nearly as smoothly as agencies suggest. |
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Credit ratings for structured finance instruments may be distinguished from ratings for other debt securities in several important ways. |
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In subsequent years, the ratings were applied to securities backed by other types of assets. |
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The sources of the revenue are generally the issuer of the securities or the investor. |
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Securities are kept in the form of electronic records of securities held in custody accounts. |
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The Securities Act of 1933 comprehensively regulated the securities industry. |
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Each one of his parkings of securities was a separate count on the indictment. |
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The London Royal Exchange established in 1565 first developed as a securities market, though by 1801 it had become a stock exchange. |
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In 1934, Brandeis had another legal confrontation with The House of Morgan, this one relating to securities regulation bills. |
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Illegal insider trading is believed to raise the cost of capital for securities issuers, thus decreasing overall economic growth. |
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The purpose of a stock exchange is to facilitate the exchange of securities between buyers and sellers, thus providing a marketplace. |
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Direct participation occurs when any of the above entities buys or sells securities on its own behalf on an exchange. |
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In the middle of the 13th century, Venetian bankers began to trade in government securities. |
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Bankers in Pisa, Verona, Genoa and Florence also began trading in government securities during the 14th century. |
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The liquidity that an exchange affords the investors enables their holders to quickly and easily sell securities. |
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A second transformation is the move to electronic trading to replace human trading of listed securities. |
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Liquidity is a crucial aspect of securities that are traded in secondary markets. |
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With inflationary pressures easing and economic concerns mounting, shell-shocked investors are seeking the protection of government securities. |
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The case was filed on behalf of shareholders who purchased AAC securities between October 2, 2014 and August 3, 2015 inclusive. |
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Among the activities that are listed as haram are certain interest-related, fixed-income securities such as mortgages, credit card debt and loans. |
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Under terms of the agreement, MetWest Securities will share profits from the newly acquired securities lending operations with New York-based Cantor Fitzgerald for two years. |
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The office of Attorney General Ken Paxton says he is recusing himself from some of his professional responsibilities as he fights an indictment on securities fraud charges. |
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If you are a shareholder who purchased Galena securities during the Class Period, you have until May 5, 2014 to ask the Court to appoint you as Lead Plaintiff for the class. |
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If you purchased NPS securities during the Class Period, you may, no later than September 11, 2006, move to be appointed as a Lead Plaintiff in this class action. |
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All securities in the Global Investable Market Indices are classified into Value or Growth segments using the current MSCI Global Value and Growth methodology. |
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She demystifies stock markets and mutual funds, and provides valuable advice on researching securities, conducting technical and fundamental analysis, and investing online. |
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The Service argued that, in determining whether the securities were debt or equity, it was important how the securities were treated for nonbook purposes. |
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Before joining LCM, Riefler was a co-founder and partner of Sonas Partners in London, an independent brokerage focused on trading fixed-income securities. |
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The securities obtained by the dealer in this process can then be rehypothecated in other repo transactions, if the collateral provider allows it. |
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Thus, a cash offer preempts competitors better than securities. |
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Changes in capital requirements, intended to keep US banks competitive with their European counterparts, allowed lower risk weightings for AAA securities. |
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Jefferies, a global investment bank and institutional securities firm, has served growing and mid-sized companies and their investors for 40 years. |
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In particular, international investors interest in euro area securities, which are mostly denominated in euro, grew markedly over the course of the year. |
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Governments create debt by issuing securities, government bonds and bills. |
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Stock market participation refers to the number of agents who buy and sell equity backed securities either directly or indirectly in a financial exchange. |
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The European Central Bank and The Bank of Japan whose economies are in or close to deflation, continue quantitative easing buying securities to encourage more lending. |
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A second, 300-million cedi bond sold in March was also oversubscribed, while 87 percent of the 250 million cedis of three-year securities offered at a June 3 sale were sold. |
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In Moody's Investors Service's ratings system securities are assigned a rating from Aaa to C, with Aaa being the highest quality and C the lowest quality. |
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Monolines cover the risk of defaults on bonds and other securities. |
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The global financial crisis of the late 2000s brought increased scrutiny to credit rating agencies' assessments of complex structured finance securities. |
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The securities transactions will allow AEL to ladder maturities, potentially buy back company debt at favorable market rates and allow additional financial flexibility. |
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The market is supported by a quote-driven trading platform with competing two-way prices at all times, and it is the price formation venue for these securities. |
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The value of credit ratings for securities has been widely questioned. |
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For the first time, public securities were rated using a system borrowed from the mercantile credit rating agencies, using letters to indicate their creditworthiness. |
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More debt securities meant more business for the Big Three agencies, which many investors depended on to judge the securities of the capital market. |
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Most state securities acts provide for rescissory damages when a sale involves fraud, deceit, or a material misrepresentation or omission of fact. |
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Secondary markets allow investors to buy and sell existing securities. |
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The discussion begins with a description of repos and reverses, the difference between on-the-run and older securities, and the ways dealers use repos to finance and hedge. |
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All of the large securities firms have internal fixed income analysts who offer information about the risk and volatility of securities to their clients. |
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Recognizing an opportunity, Wall Street developed catastrophe bonds, including cat-linked securities, as a capital market alternative to traditional catastrophe reinsurance. |
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The constant increase of overseas business meant eventually the dealing in foreign securities had to be allowed within all of the Exchange's premises. |
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In Cornfeld, the plaintiff was a Luxembourg trust fund holding a portfolio of securities investments in which several thousand fundholders participated. |
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After the company failed, the plaintiffs pursued this class action, which alleged numerous securities law violations against various defendants, including Ernst. |
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The airline recorded a pre-tax loss of USD49m in the quarter, including a special non-cash charge of USD53m related to the valuation of its auction rate securities. |
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Under the bill Ginnie Mae would be able to guarantee securities backed by conventional mortgages that carry primary, extended and supplemental mortgage insurance. |
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Similarly, a survey conducted in late 1992 by Ernst and Young indicated that FASB 115 would lead banks to shorten the naturity of their securities holdings. |
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