investment securities
31securities account control agreement — USA The agreement in which a debtor (known as the entitlement holder), secured party and securities intermediary maintaining the securities account have agreed that the securities intermediary will comply with instructions (known as entitlement… …
32securities trading — Investment banks offer securities trading by maintaining broker dealer operations. Many investment banks also provide market making for securities. London Stock Exchange Glossary …
33Securities and Investment Board — (SIB) The former regulatory authority for investment business under the Financial Services Act 1986. The Financial Services Authority (FSA) replaced the SIB. FSA website …
34Investment Advisers Act of 1940 — (Advisers Act) USA The federal statute administered by the SEC that regulates the registration, conduct and reporting requirements of investment advisers. Investment advisers are required to register with the SEC, unless subject to an exemption… …
35Securities and Exchange Commission — ( SEC) The Federal agency with responsibility for regulating financial exchanges for cash instruments. American Banker Glossary ( SEC) A federal agency that regulates the US financial markets. The SEC also oversees the securities industry and… …
36securities intermediary — USA Defined in the UCC as: • A clearing corporation. • A person, including a bank or broker, that in the ordinary course of its business maintains securities accounts for others and is acting in that capacity. (UCC §8 102(14).) …
37investment risk — UK US noun [C or U] FINANCE ► the chance of losing money from a particular investment: »These securities carry the smallest degree of investment risk. »It is sensible to spread the investment risk …
38investment property — USA Defined in the UCC as a security, whether certificated or uncertificated, security entitlement, securities account, commodity contract, or commodity account (UCC §9 102(a)(49)). Investment property is an asset type over which an entity can… …
39investment company — or investment trust n. a company or trust that invests in diverse securities with funds obtained through the sale of its own shares: see also CLOSED END, OPEN END (sense 1) …
40Securities and Investments Board — Securities and In|vest|ments Board, the the SIB a British organization that makes sure ↑investment businesses in the UK work fairly and are not involved in dishonest business methods …
