investment securities
11Securities fraud — Securities fraud, also known as stock fraud and investment fraud, is a practice in which investors make purchase or sale decisions on the basis of false information, frequently resulting in losses, in violation of the securities laws. [… …
12Securities and Exchange Commission — n. A federal agency that oversees the sale and issuing of corporate stocks and bonds and corporate takeovers. abbrv. SEC The Essential Law Dictionary. Sphinx Publishing, An imprint of Sourcebooks, Inc. Amy Hackney Blackwell. 2008. Securities and… …
13investment bank — USA Investment banks assist companies in raising money by issuing and selling equity and debt securities in the capital markets. In addition to new securities offerings, investment banks facilitate the distribution of blocks of previously issued… …
14investment — in·vest·ment 1 n: investiture (1) investment 2 n 1: the outlay of money usu. for income or profit: capital outlay; also: the sum invested or the property purchased 2: the commitment of funds with a view to minimizing risk and safeguarding capital …
15Securities regulation in the United States — is the field of U.S. law that covers various aspects of transactions and other dealings with securities. It includes both Federal and state level regulation by purely governmental regulatory agencies, most notably the Federal level United States… …
16investment bank — investment banker. investment banking. a financial institution that deals chiefly in the underwriting of new securities. [1920 25] * * * Firm that originates, underwrites, and distributes new security issues of corporations and government… …
17investment adviser — USA Any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities or… …
18Securities and exchange commission — Sceau de la Securities and Exchange Commission La Securities and Exchange Commission (SEC) est l organisme fédéral américain de réglementation et de contrôle des marchés financiers. C est en quelque sorte le « gendarme de la B …
19Investment Company Act of 1940 — Investment Company Act of 1940, as amended (ICA) USA The Investment Company Act of 1940 (15 U.S.C. §§ 80a 1 − 80a 64) regulates mutual funds and other companies that engage primarily in investing, reinvesting, and trading in securities, and whose …
20Investment Company Act of 1940, as amended — (ICA) USA The Investment Company Act of 1940 (15 U.S.C. §§ 80a 1 − 80a 64) regulates mutual funds and other companies that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the… …
