Securities

Accredited Investors: Definition and Criteria
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: Definition and Significance
Active stocks refer to securities that experience high trading volumes on a stock exchange over a given period.
Agency Trading: An Overview of Facilitated Client Trades
Involves brokers facilitating trades on behalf of clients, contrasting with principal trading where brokers trade for their own inventory.
American Depositary Receipt: Investing in Foreign Companies Made Easy
An in-depth exploration of American Depositary Receipts (ADRs), their historical context, types, advantages, and impact on international investing.
Analyst Ratings: Detailed Evaluations of Securities by Financial Analysts
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.
Asset-Backed Securities (ABS): A Comprehensive Overview
An in-depth look at Asset-Backed Securities (ABS), covering their historical context, types, key events, mathematical models, significance, and practical applications.
Asset-Backed Security (ABS): Financial Security Backed by a Pool of Assets
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.
AT PAR: Par Value
Understanding the Concept of Securities Issued or Traded at Their Par Value
Bearer Instrument: Definition and Practical Uses
A comprehensive guide to Bearer Instruments, their features, types, historical context, and practical applications in finance.
Best Effort Underwriting: Flexible Commitment in Securities Issuance
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.
Bond Prospectus: Informative Document for Potential Investors
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: European Stock Exchanges
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.
Brokerage Account: An Account for Trading Securities
A comprehensive definition and explanation of a brokerage account, its types, key features, and its role in the financial market.
Brokerage Firm: Facilitating Securities Trading
A comprehensive guide on Brokerage Firms, their definitions, roles, types, historical context, and related terms.
Brokers: Intermediaries in Securities Trading
Brokers act as intermediaries who facilitate the buying and selling of securities for clients. Learn about their role, types, historical context, and more.
Capital Market: A Comprehensive Overview
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.
Capital Markets: Financial Markets for Raising Capital
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.
Central Depository: The Backbone of Modern Securities Markets
An organization responsible for maintaining electronic records of securities, facilitating the efficient settlement of trades, and ensuring safekeeping and ownership transfer.
Central Securities Depository: Institution for Centralizing Securities
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: Financial Intermediary Processes
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.
Clearing Corporation: Financial Stability through Clearing and Settlement
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.
Client Account: Account for Client's Securities and Funds
Client Account refers to an account that contains the client’s securities and funds for trading purposes under client authorization.
Collateralized Loan: Definition and Insights
A comprehensive guide to understanding collateralized loans, their types, uses, and importance in finance.
Competitive Bought Deal: A Strategic Underwriting Agreement
A comprehensive guide on Competitive Bought Deals, including historical context, types, key events, detailed explanations, importance, and applicability in the financial markets.
Consideration: Legal and Financial Relevance
A detailed exploration of 'Consideration' in legal and financial contexts, including historical context, types, key events, and applications.
CUSIP: Committee on Uniform Securities Identification Procedures
A 9-character alphanumeric code used primarily in the United States for the identification of securities. Example: '17275R102' for Cisco Systems Inc.
CUSIP Number: Identifying Securities
A nine-character alphanumeric code that uniquely identifies securities in the United States and Canada.
Custody Fee: Comprehensive Guide to Fees for Safekeeping Securities
A detailed article about custody fees, including their importance, types, calculations, historical context, examples, related terms, and FAQs.
Custody Services: Safekeeping of Securities by Financial Institutions
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.
Dark Pool: Private Financial Markets
A Dark Pool is a private financial market where traders can exchange large blocks of securities without public knowledge.
Debenture: A Secured Loan Instrument
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.
Debenture Trust Deed: Agreement Specifying Rights of Debenture Holders
An agreement specifying the rights of debenture holders, such as the power to appoint a receiver in specified circumstances of default by a company.
Direct Registration System: Electronic Holding of Securities
The Direct Registration System (DRS) is an electronic method of recording securities ownership without physical certificates, often used alongside Deposit/Withdrawal At Custodian (DWAC).
Direct Registration System (DRS): A System for Holding Securities
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.
DTC (Depository Trust Company): What Is It?
A comprehensive guide to the Depository Trust Company (DTC) and its role in the financial industry, including its infrastructure for the DWAC system.
Eastern Account: Underwriter Shared Responsibility
In finance, an Eastern Account is an underwriting agreement wherein all participating underwriters share collective responsibility for the total issuance.
Eligible Paper: Treasury Bills and First-Class Securities
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.
Equity Securities: Direct Ownership in Individual Companies
An in-depth exploration of equity securities, their types, role in finance, historical context, and key considerations for investors.
EX-: Understanding Its Implications in Finance
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: Securities Listed on Formal Exchanges
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.
Exchange-Traded Market: A Structured Arena for Securities Trading
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: Definition and Context in Finance
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.
Face Value: A Fundamental Concept in Finance and Economics
Exploring the concept of face value, its historical context, types, key events, detailed explanations, and its importance in various fields.
Financial Assets: An Overview of Money and Claims
Explore the comprehensive world of financial assets, including types, historical context, mathematical models, key events, and their critical importance in economics and finance.
Financial Data: Information Pertaining to Financial Markets
Comprehensive overview of Financial Data, including prices, trading volumes, market metrics, financial securities, market transactions, and economic indicators.
FINRA: Financial Industry Regulatory Authority
An in-depth look at FINRA, its role, responsibilities, historical context, key events, regulations, and its impact on the financial industry.
Firm Commitment Offering: Comprehensive Guide
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: An In-Depth Look
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.
Firm Order: Understanding a Firm Commitment in Trading
An in-depth exploration of firm orders, their implications in financial trading, historical context, examples, related terms, and important considerations for traders.
Fixed Income Trust: Definition and Overview
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.
Fixed-Interest Securities: Investments Offering Fixed 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.
Fixed-Price Offering: A Comprehensive Overview
An in-depth look at fixed-price offerings, a method where securities are offered at a predetermined price set by the issuer.
Floor Broker: Exchange Member Role
A floor broker is an exchange member who executes orders to buy or sell securities on the exchange floor.
Form D: A Notice of an Exempt Offering of Securities
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: An Introduction to Initial Registration for IPOs
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: A More Simplified Form of Registration Statement
Form S-3 is a simplified Registration Statement used by companies that meet specific criteria, allowing them to raise capital more efficiently.
Funded Pension Scheme: An Overview of Invested Pension Funds
A comprehensive overview of funded pension schemes, including their structure, historical context, benefits, and comparison to pay-as-you-go systems.
Fungible Issue: Understanding Interchangeable Financial Securities
A comprehensive guide on fungible issues, their types, historical context, key events, mathematical models, importance, applicability, and more.
Geisha Bond: International Bonds Issued in Japan
Geisha Bonds, also known as Shogun Bonds, are yen-denominated bonds issued by non-Japanese entities in the Japanese financial market.
Gilt Repo Market: An Insight into Gilt-Edged Securities
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: Comprehensive Overview and Importance
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.
Goldman Sachs: Investment Banking Firm
Comprehensive overview of Goldman Sachs, a leading global investment banking, securities, and investment management firm.
Government Bonds: Securities Issued by the Government to Finance Public Expenditures
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.
Granny Bond: State-Guaranteed Securities
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.
Index-Linked: Economic Variables and Financial Instruments
An in-depth exploration of index-linked variables, securities, and incomes that adjust based on various indices to protect against inflation and economic volatility.
Initial Public Offering: Transition from Private to Public
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.
Institutional Investor: An Overview
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.
Institutional Investors: Large-Scale Trading Organizations
An exhaustive look into the role of Institutional Investors, including their operations, types, historical context, and impact on financial markets.
Introduction: Method of Issuing New Securities
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.
Investment Services Directive: A Comprehensive Regulatory Framework for Securities
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.
Investment Trust: A Comprehensive Overview
An in-depth look into Investment Trusts, their history, types, key events, advantages, and applications in financial management.
Investment Trust: A Comprehensive Overview
An investment trust is a company that invests its shareholders' funds in a portfolio of securities, providing diversification and professional management to investors.
IOSCO: International Organization for Securities Commissions
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.
Issuance Cost: An Overview of Costs Associated with Issuing New Securities
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: Overview and Analysis
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.

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