securities transaction
41Net Interest Margin Securities - NIMS — A type of security that allows holders to access excess cash flows resulting from securitized mortgage loan pools. Excess cash flows from the securitized mortgage loan pools are transferred to a trust account through a NIMS transaction. From this …
42Open-Market Transaction — An order placed by an insider, after all appropriate documentation has been filed, to buy or sell restricted securities openly on an exchange. This is simply an order placed by an insider to buy or sell shares according to the rules and… …
43Structured arbitrage transaction — A self funding, self hedged series of transactions that usually utilize mortgage securities as the primary assets. The New York Times Financial Glossary …
44net sales transaction — Refers to over the counter trading. securities deal in which the quoted prices include commissions ( i.e., OTC); looked at another way, the buyer and seller do not pay fees or commissions in addition to the print or quotation prices. Bloomberg… …
45portfolio transaction costs — The expenses associated with buying and selling securities, including commissions, purchase and redemption fees , exchange fees, and other miscellaneous costs. In a mutual fund prospectus, these expenses are listed separately from the fund s… …
46Skort-Swing Transaction — Any purchase and sale, or sale and purchase, of the issuer s equity securities by an insider within a period of less than six months, See: Section 16(b)}} above. Bloomberg Financial Dictionary …
47International Securities Market Association — Operates the Automated Transaction Exchange System (TRAX) …
48boiler-room transaction — High pressure selling of stocks, precious metals, commodities, and other investments of doubtful value, usually over the telephone. Sometimes associated with sales of hot issue securities …
49boiler-room transaction — High pressure selling of stocks, precious metals, commodities, and other investments of doubtful value, usually over the telephone. Sometimes associated with sales of hot issue securities …
50cross — securities transaction in which the same broker acts as agent for both sides of the trade; a legal practice only if the broker first offers the securities publicly at a price higher than the bid. Bloomberg Financial Dictionary The transaction was …
