securities
111Securities Act of 1933 — First law designed to regulate securities markets, requiring registration of securities and disclosure. Bloomberg Financial Dictionary …
112Securities Applicant — A Securities Applicant is a Client which has applied for the admission of a security by the CSD. The Securities Applicant may but does not have to be the issuer of the relevant security. Euroclear Clearing and Settlement glossary …
113Securities Applicant Form — In the ESES context, the form to be signed by the Securities Applicant for a specific security upon the admission of such security by the CSD including the annexes to such form or any other documents that may be required by the CSD as part of the …
114securities only account holder — In the ESES context, any Party that holds one or more Securities Accounts and is able to transfer securities using free of payment instructions only. Euroclear Clearing and Settlement glossary …
115securities trading — Investment banks offer securities trading by maintaining broker dealer operations. Many investment banks also provide market making for securities. London Stock Exchange Glossary …
116Securities obtained — Lending or borrowing of securities which are immediately paid for but where there is an agreement that, after a fixed delivered under period or not, the same number of securities of the same kind redelivery shall be returned and offset against… …
117Securities Applicant — A Securities Applicant is a Client which has applied for the admission of a security by the CSD. The Securities Applicant may but does not have to be the issuer of the relevant security …
118Securities Applicant Form — In the ESES context, the form to be signed by the Securities Applicant for a specific security upon the admission of such security by the CSD including the annexes to such form or any other documents that may be required by the CSD as part of the …
119securities only account holder — In the ESES context, any Party that holds one or more Securities Accounts and is able to transfer securities using free of payment instructions only …
120Securities and Exchange Commission — SEC A US government agency established in 1934 to protect investors by regulating behaviour in the securities markets. Each year the SEC brings between 400–500 civil enforcement actions against individuals and companies that break the securities… …
