Accredited Investors are individuals or entities that meet specific financial criteria set by securities regulators, enabling them to invest in certain high-risk ventures such as private equity, hedge funds, and startups.
Active stocks refer to securities that experience high trading volumes on a stock exchange over a given period.
Involves brokers facilitating trades on behalf of clients, contrasting with principal trading where brokers trade for their own inventory.
A comprehensive guide to understanding All-or-None (AON) Offering, its mechanisms, criteria, and implications in securities sales.
An in-depth exploration of American Depositary Receipts (ADRs), their historical context, types, advantages, and impact on international investing.
An in-depth look at analyst ratings, a crucial measure in evaluating securities. Learn about the different types, special considerations, examples, historical context, and more.
A comprehensive examination of the process by which a company applies to a stock exchange for its securities to be traded, including requirements, benefits, and related terms.
An in-depth look at Asset-Backed Securities (ABS), covering their historical context, types, key events, mathematical models, significance, and practical applications.
An Asset-Backed Security (ABS) is a type of financial security backed by a pool of assets such as loans or receivables, excluding real estate. These instruments provide liquidity to the asset holders by converting illiquid assets into tradeable financial instruments.
Understanding the Concept of Securities Issued or Traded at Their Par Value
A comprehensive guide to Bearer Instruments, their features, types, historical context, and practical applications in finance.
A standard against which the performance of a security, mutual fund, or investment manager can be measured.
Best Effort Underwriting is a securities underwriting process where the underwriter agrees to sell as much of the issue as possible without guaranteeing the sale of the entire issue.
A detailed explanation of best-efforts offering, where underwriters sell as many shares as they can without guaranteeing the sale of all the shares.
An in-depth exploration of the Blank Transfer mechanism in financial markets, its history, usage, and implications.
Comprehensive guide to block trades, their historical context, types, key events, detailed explanations, and real-world applications.
A comprehensive look at bonds, their history, types, functions, and relevance in the financial market.
A Bond Prospectus is a document designed to inform potential investors about the bond and the issuing entity, offering detailed information to help investment decisions.
Bourses are physical or electronic marketplaces where securities are traded. The term is primarily used in Europe, referring to stock exchanges such as Euronext and the Paris Bourse.
A comprehensive definition and explanation of a brokerage account, its types, key features, and its role in the financial market.
A comprehensive guide on Brokerage Firms, their definitions, roles, types, historical context, and related terms.
Brokers act as intermediaries who facilitate the buying and selling of securities for clients. Learn about their role, types, historical context, and more.
Comprehensive guide to callable bonds, including historical context, key events, mathematical models, and practical considerations.
Comprehensive explanation of Capital Gains Distribution, its mechanisms in mutual funds and ETFs, types, tax implications, and examples.
Explore the intricacies of Capital Markets, institutions facilitating the trade of securities with an expected maturity of a year or more. Understand their impact on economic development, key events, models, and much more.
An in-depth look into capital markets where long-term debt or equity-backed securities are bought and sold, facilitating the raising of capital through equity and debt instruments.
An organization responsible for maintaining electronic records of securities, facilitating the efficient settlement of trades, and ensuring safekeeping and ownership transfer.
A Central Securities Depository (CSD) is a financial institution that centralizes the storage and management of securities such as stocks and bonds, enhancing the efficiency and security of the securities trading process.
Clearing refers to the financial process where intermediaries such as banks reconcile purchases and sales of securities, ensuring the transfer of funds and updating trading party accounts.
A comprehensive overview of Clearing Corporations and their crucial role in ensuring the integrity and efficiency of financial markets by providing clearing and settlement services.
The process of reconciling purchase and sales transactions in financial markets.
Client Account refers to an account that contains the client’s securities and funds for trading purposes under client authorization.
A comprehensive guide to understanding collateralized loans, their types, uses, and importance in finance.
A comprehensive guide on Competitive Bought Deals, including historical context, types, key events, detailed explanations, importance, and applicability in the financial markets.
A detailed exploration of 'Consideration' in legal and financial contexts, including historical context, types, key events, and applications.
An in-depth look at Consols, or Consolidated Fund Annuities, a type of undated UK government security.
A 9-character alphanumeric code used primarily in the United States for the identification of securities. Example: '17275R102' for Cisco Systems Inc.
A nine-character alphanumeric code that uniquely identifies securities in the United States and Canada.
An overview of custodial services - the specialized financial services offered by institutions to hold and safeguard customers' assets.
A custodian fee is a charge levied by financial institutions for holding and safeguarding an investor's securities and assets.
A detailed article about custody fees, including their importance, types, calculations, historical context, examples, related terms, and FAQs.
Custody Services involve the safekeeping of securities by financial institutions on behalf of clients. These services include the management and safeguarding of financial assets, ensuring secure and efficient handling of customer investments.
A Dark Pool is a private financial market where traders can exchange large blocks of securities without public knowledge.
Day trading involves buying and selling financial instruments within the same trading day based on short-term trends, requiring rapid decision-making and thorough analysis.
A comprehensive look at debentures as a financial instrument, including their historical context, types, key events, explanations, mathematical models, charts, importance, applicability, examples, considerations, and related terms.
An agreement specifying the rights of debenture holders, such as the power to appoint a receiver in specified circumstances of default by a company.
Dematerialization is the process of converting physical certificates of financial instruments, such as stocks and bonds, into electronic book-entry form.
The Direct Registration System (DRS) is an electronic method of recording securities ownership without physical certificates, often used alongside Deposit/Withdrawal At Custodian (DWAC).
The Direct Registration System (DRS) allows securities to be held in electronic form directly on the books of the issuing company, facilitating a more streamlined and secure way of managing securities ownership.
A comprehensive guide to the Depository Trust Company (DTC) and its role in the financial industry, including its infrastructure for the DWAC system.
In finance, an Eastern Account is an underwriting agreement wherein all participating underwriters share collective responsibility for the total issuance.
The process of finalizing securities transactions electronically, as opposed to physical delivery of share certificates.
Eligible Paper encompasses Treasury bills, short-dated gilts, and other top-tier securities accepted by banks for rediscounting or as security for loans, reinforcing central banks' roles as lenders of last resort.
Securities considered suitable for rediscounting by a central bank.
An in-depth exploration of equity securities, their types, role in finance, historical context, and key considerations for investors.
An in-depth exploration of the methods and principles used to determine the fair market value of equity securities.
An in-depth exploration of Eurobonds, their types, historical context, key events, importance, applicability, related terms, and much more.
The prefix 'EX-' is used to exclude specified benefits when a security is quoted, commonly in contexts like ex-dividend and ex-rights.
Exchange-Traded refers to securities that are listed and traded on formal exchanges, offering higher liquidity and transparency. This comprehensive entry delves into the definition, types, benefits, historical context, and related terminologies.
An in-depth exploration of Exchange-Traded Markets, where securities are listed and traded on formal exchanges, including historical context, types, key events, mathematical models, charts, examples, related terms, and more.
Expensive refers to securities or assets that are priced higher than their perceived intrinsic value. It highlights the potential overvaluation of investments in financial markets.
Exploring the concept of face value, its historical context, types, key events, detailed explanations, and its importance in various fields.
The nominal value of a bond or other financial instrument as stated by the issuer, excluding interest.
Explore the comprehensive world of financial assets, including types, historical context, mathematical models, key events, and their critical importance in economics and finance.
Comprehensive overview of Financial Data, including prices, trading volumes, market metrics, financial securities, market transactions, and economic indicators.
An in-depth look at FINRA, its role, responsibilities, historical context, key events, regulations, and its impact on the financial industry.
A comprehensive guide to Firm Commitment Offering, its historical context, types, key events, detailed explanations, mathematical models, importance, applicability, examples, related terms, and much more.
Firm Commitment Underwriting is a method in the financial markets where investment bankers purchase the entire securities offering directly from the issuer, assuming full financial risk in the process.
An in-depth exploration of firm orders, their implications in financial trading, historical context, examples, related terms, and important considerations for traders.
A fixed income trust is an investment vehicle that focuses on investments in fixed-income securities such as bonds. This form of trust aims to provide regular income to investors through periodic interest payments.
A comprehensive look into Fixed-Interest Securities, investments that provide regular fixed interest payments, including types, historical context, key events, mathematical models, importance, and examples.
An in-depth look at fixed-price offerings, a method where securities are offered at a predetermined price set by the issuer.
A floor broker is an exchange member who executes orders to buy or sell securities on the exchange floor.
Form D is a notice filed with the SEC and state securities regulators to report an exempt offering of securities. Typically utilized by companies to raise capital without the need to register the securities with the SEC.
Form S-1 is the initial registration statement required by the SEC for companies planning to go public. It provides an in-depth overview of the company's business, finances, and risk factors.
Form S-3 is a simplified Registration Statement used by companies that meet specific criteria, allowing them to raise capital more efficiently.
A comprehensive overview of funded pension schemes, including their structure, historical context, benefits, and comparison to pay-as-you-go systems.
A comprehensive guide on fungible issues, their types, historical context, key events, mathematical models, importance, applicability, and more.
Geisha Bonds, also known as Shogun Bonds, are yen-denominated bonds issued by non-Japanese entities in the Japanese financial market.
Comprehensive coverage of the Gilt Repo Market, established by the Bank of England in 1996, and its significance in monetary policy and banking system liquidity.
Global Custody involves safekeeping and managing securities held on behalf of clients across multiple markets and countries. It encompasses valuation, reporting, trade settlement, tax accounting, and more.
Comprehensive overview of Goldman Sachs, a leading global investment banking, securities, and investment management firm.
Government Bonds are debt securities issued by a government to support public spending, generally regarded as low-risk investments. They help fund various governmental activities and projects.
A Granny Bond is a security with state guarantees on both the interest to be paid and the redemption price. It is considered a suitable asset for savers with small total wealth and limited financial sophistication.
An in-depth exploration of index-linked variables, securities, and incomes that adjust based on various indices to protect against inflation and economic volatility.
An Initial Public Offering (IPO) is the first sale of stock by a private company to the public, marking the transition to public trading and ownership.
An in-depth exploration of insider dealing, its legal implications, key events, and broader economic impact.
Institutional investors are organizations that trade in large volumes of securities and dominate stock exchanges globally. This article covers their history, types, key events, models, and impact on financial markets.
An exhaustive look into the role of Institutional Investors, including their operations, types, historical context, and impact on financial markets.
A method of issuing new securities in which a broker or issuing house takes small quantities of the company's shares and issues them to clients at opportune moments. It is also used by existing public companies that wish to issue additional shares.
A comprehensive guide to the role of Investment Analysts, their techniques, historical context, and significance in finance.
The Investment Services Directive (ISD), an EU directive established in 1993, provided a regulatory framework for securities dealing across Europe. It ensured that securities firms approved by their domestic regulators could operate at a European level. The ISD was superseded by the Markets in Financial Instruments Directive (MiFID) in 2007, enhancing the single market for financial services.
An in-depth look into Investment Trusts, their history, types, key events, advantages, and applications in financial management.
An investment trust is a company that invests its shareholders' funds in a portfolio of securities, providing diversification and professional management to investors.
IOSCO, or the International Organization for Securities Commissions, plays a crucial role in developing and promoting global securities regulation standards to protect investors and ensure fair markets.
Explore the role, history, structure, and significance of IOSCO, the International Organization of Securities Commissions, which unites global securities regulators.
A 12-character alphanumeric code that uniquely identifies a security internationally.
A comprehensive guide to understanding the various costs involved in the process of issuing new securities, encompassing flotation costs and other related expenses.
Issue by tender, also known as sale by tender, is a method where investors bid for new securities and the highest bidders are allocated shares. It typically specifies a minimum acceptable price.
An in-depth analysis of issue costs, covering both direct expenses of issuing securities and third-party fees.
