They did not recognize that mortgages and related securities were a distinct asset class.
Mortgages and particularly mortgage securities could not be sold if there were no buyers.
In January 2004 he pleaded guilty to two counts of wire and securities fraud.
Traders use stock loan desks to access securities to buy or to borrow to sell short.
The ratio is typically more than twice as many bids as there are securities available.
Securities industry rules forbid your old brokerage firm to drag its feet in transferring your account.
The SEC contends that it has been monitoring the situation, as have state securities administrators.
You could buy similar, but not identical securities and sell them after 30 days.
The only agencies not represented are the Securities and Exchange Commission and the Office of Thrift Supervision.
The agreement is a result of roughly five months of negotiations between the firms and securities regulators.
Wall Street securities analysts and investors around the world have damned Motorola because its growth has slowed.
The Chicago Mercantile Exchange floated stock in 2002, and the International Securities Exchange went public earlier this year.
The Securities and Exchange Commission (SEC) is one of the principal culprits in the financial panic of 2008.
On Wednesday, the U.S. attorney in New York charged former CEO Phillip Bennett with securities fraud.
He formed Lens Governance Advisors as the exclusive "governance" adviser to feared securities lawyer William Lerach.
The Securities and Exchange Commission filed civil charges against Collins as well on Tuesday.
The Fed creates bank reserves by buying assets, generally Treasury securities, via open market operations.
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Treasury Inflation Protected Securities, TIPS, are another top choice, but are also well known.
Not so for real estate investment trusts, which hold portfolios of buildings rather than securities.
But go the extra mile: Ask your state's securities department to check into the company's principals.
On July 27 ETF Securities promised to maintain its lowball pricing for at least another year.
Gary Aguirre, a former investigator for the U.S. Securities and Exchange Commission, was the star witness.
Higgins, an analyst with Soleil Securities, thinks Continental is headed for even better returns.
Many U.S. securities and a few sectors are missing, while foreign bonds are added.
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Some of these funds appear to have used asset-backed securities to boost the yield.
In the case of EGPT, it would be basket of securities with exposure to Egypt.
They picked up the Singapore trading and corporate finance arms of bankrupt Peregrine Securities in April.
Top investing experts name names when it comes to securities to avoid this year.
Has the Securities and Exchange Commission ever really been effective in protecting investors from fraud?
It didn't make sense that this yield differential would persist in these very similar securities.
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