These funds generally invest in publically listed securities and derivative instruments based on such securities.
The retail demand for gold through listed securities is already beginning to diminish.
The Equus Total Return ( EQS) trades at a -58.48 discount, but invests in non-listed securities so the net asset value is open to interpretation.
However, Arca wouldn't be able to trade NYSE-listed securities, taking one of the 13 U.S. stock exchanges out of the loop for brokers, according to persons familiar with the plan's working.
That move would mean Arca could trade securities listed on its own market as normal.
Equity crowdfunding calls for the general public to be able to invest in the securities of small businesses and startups listed on the crowdfunding platforms (provided they meet certain financial requirements), but for now these securities are only available to accredited investors.
An ECN can provide automatic transactions and quotations for securities, including those listed on the exchanges.
Private equity funds are unregulated investment vehicles formed to facilitate investments in listed and unlisted shares and other securities.
Company pension funds and mutual funds put money into the securities of states and listed firms and hoped that they did well.
Recent major issues resolved by the Special Committee on Governance of the NYSE concern disclosure of executive and director compensation, NYSE officer service on listed company boards and the influence of securities industry directors who serve on the 27-person NYSE board.
That legislation, passed by a 422 to 2 margin, includes a provision introduced by Rep. Spencer Bachus, Alabama Republican, that would bar access to the U.S. capital markets to foreign oil firms involved in Sudan, as well as trading of the securities of those firms already listed on U.S. exchanges.
Officers or employees of certain entities whose equity is listed on a U.S. national securities exchange.
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Founded in 1997, it also has stakes in five domestic and overseas listed businesses, the state-run Shanghai Securities News said.
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The elder Mr. Buttaccio, 58, worked in the oil industry, according to a securities filing by a company that listed him as treasurer.
The Hong Kong Exchange is fighting a similar move to strip it of authority to approve new listings and regulate listed companies and give that power to the securities regulator instead.
Of the stock listed above, we are invested in all of the above mentioned securities, either in the GMG Defensive Beta Fund or in separately managed accounts for our clients.
While a handful of smaller U.S. exchanges exist today, they tend to specialize in options, and, notably in the case of the American Stock Exchange, exchange-traded funds. (See story, p. 47.) A quirk in a 1975 U.S. securities law has allowed the regional markets to trade shares listed on the New York and American exchanges in a way that is attractive to big brokerage houses, keeping the smaller bourses alive on life support.
The National Development and Reform Commission, the top economic planning agency, is in charge of long-maturity bonds typically issued by major state-run enterprises, while the securities regulator runs a separate exchange-based bond market for listed firms.
Listed companies must satisfy not only the Department of Justice, but also the Securities and Exchange Commission, which enforces the FCPA provisions requiring accurate records of all business dealings (to deter or detect illicit payments).
He claims that two private equity firms, Texas Pacific Group and Apax Partners, committed securities fraud by driving down the stock price of a Greek company listed on Nasdaq that his fund had a stake in and hiding a potentially higher takeover offer.
"Investors were burned when Digitel was listed, " says Conrad Andres, vice-president for research of DBP Daiwa Securities.
Founded in 2006, Xero listed on the New Zealand Stock Exchange (XRO) in 2007 and the Australian Securities Exchange (XRO) in November 2012.
Then this week, the Chinese securities regulator approved the country's first gold fund designed to invest in overseas-listed gold ETFs, a move analysts interpreted as another bullish sign for gold.
The report named names, and the Securities and Exchange Commission obtained warrants of arrest against 32 people in seven brokerage firms and eight listed companies.
Consider for example the recent decision of the Securities and Futures Commission of Hong Kong to allow shares of the United Company RUSAL to be listed on the Hong Kong Stock Exchange.
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Most portfolio investments consist of investment in securities in the primary and secondary markets, including shares, debentures and warrants of companies listed or to be listed on a recognized stock exchange in India.
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