Soon she was working as a corporate securities paralegal, and followed up by becoming a stockbroker.
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All transactions in corporate securities by top managers and directors should be disclosed within two business days.
However, over the last several months investors have moved cash from risky European government and corporate securities to U.S. bonds.
Such activity could even be coupled with purchases of bundles of securitized consumer loans, credit card receivables and even corporate securities.
At the end of fiscal year 2011, the FBI had more than 2, 500 active corporate and securities fraud investigations representing a 47% increase since 2008.
Pitt was a founding trustee and the first president of the SEC Historical Society and participated in a wide variety of bar and continuing legal education activities to further public consideration of significant corporate and securities law issues.
They priced portfolios of mortgage-backed bonds, corporate loans and securities backed by commercial real estate, and provided more liquidity to debt markets.
The 1970s brought insurance, corporate finance and securities margin-lending within its remit.
The majority of these investments are in fixed income securities like government and corporate bonds and the remainder in equity securities, mortgage loans, policy loans and other investment securities.
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Bankers who are advising corporate customers on a securities transaction consult their market-making colleagues.
Some market makers, called authorized participants (APs), are allowed to interchange ETF shares for their underlying securities, corporate bonds in this case.
In exchange for their lucrative franchises, insurers have done the bidding of the Finance Ministry, not investing to benefit policyholders but sticking largely to government bonds, domestic securities and corporate loans.
"The CAD (current account deficit) can be financed only through foreign inflows and that is why I'm happy to announce a major rationalization in government securities and corporate bonds, " Finance Minister P.
Since corporate tax laws and securities regulations make no sense, executives do not bother to learn the details, leaving interpretation of the cabalistic codes to highly paid experts with many years of training and specialized degrees.
The Tokyo Stock Exchange has agreed to use the new standard for corporate actions with the Japan Securities Depository Center (JASDEC) beginning in the spring of 2014.
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Through Citicorp and Citi Holdings, Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services and wealth management.
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For years Mr Tose has been telling anybody who cared to listen that the future of investment banking in Asia lay not, as in the past, with equities, but rather, with the issuing and trading of debt securities for Asian corporate customers.
It also recommends that the landmark Sarbanes-Oxley corporate governance act of 2002 be incorporated into the Securities Exchange Act of 1934, giving regulators more authority over corporate issues.
Corporate plans: The Department of Labor, the agency charged with regulating corporate pensions, generally lacks knowledge of the money management and securities industries, has offered little meaningful guidance to corporate sponsors on these issues and has been even less effective in investigating wrongdoing and enforcing the laws.
They picked up the Singapore trading and corporate finance arms of bankrupt Peregrine Securities in April.
The SEC plays an important role in public securities offerings and in corporate disclosure.
In addition, many money market funds and corporate treasuries held Auction Rate Preferred Securities (ARPS).
In theory, insider trading involves the buying or selling of securities based on material corporate information still unknown to the public.
Their American counterparts, for instance, rely far less on American government bonds, and are much more willing to hold long-dated corporate bonds and mortgage-backed securities.
The takeover of Alcon is further complicated because the firm is based in Switzerland but its shares trade in America, leaving it with neither the protections afforded by American corporate law nor those of Swiss securities laws, both of which would have been more favourable to Alcon's minority shareholders.
Click here for recommended preferreds, MLPs, Canadian trusts and corporate bonds in Forbes-Lehmann Income Securities Investor.
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Joslin is tapping on the brakes, going for a riskless deflation hedge in the form of U.S. Treasury securities and high-quality corporate bonds.
At present, a commission set up by Italy's treasury is writing a new law covering securities dealing, markets and corporate governance, which is supposed to come into force in February.
They will miss the comfortable refuge from default risk, the wealth of noncallable issues, the exemption from state income tax and the dependable benchmark that corporate bond issuers use to price their securities.
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