As a result of these securities transactions, Google and Comcast each hold approximately 7.7% of ARRIS' currently outstanding shares.
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This tax, which has been proposed by the International Monetary Fund staff, is levied only on net proceeds of securities transactions.
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Cross-border securities transactions are probably the biggest source of cross-border cashflow today.
So, the culpability for the financial meltdown lies more with those who were making these mortgage backed securities transactions happen than with the Fed.
That activity not only altered his role at GPH but may well have constituted engaging in private securities transactions, for which separate approval is required.
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This isn't the first time a company has locked horns with the DTCC, the brokerage-owned private company that handles the bulk of the clearing and settlement in U.S. securities transactions.
The pre-eminent statutory authority for civil and criminal liability exposure for failure to disclose in securities transactions is Section 10(b) of the 1934 Act and its regulatory offspring Rule 10b-5.
Other initiatives under active consideration include global taxes on: gasoline, multinational corporations, carbon dioxide emissions, "securities transactions" and "portfolio investments, " use of air corridors and maritime shipping and currency transactions.
In addition to Mr. Hogan, the company said it is nominating as directors a Japanese life-insurance executive and the head of a company in charge of clearing and settling securities transactions.
Was Whittington authorized to engage in some private securities transactions but not the specific Oxford sales or was he prohibited from engaging in any private securities transactions through his outside business?
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"It was or at the very least, should have been obvious to Mark that the massive gains reflected in his customer account statements did not reflect actual securities transactions or market conditions, " the suit said.
Those concerns are growing amid mounting accusations that the banks and brokerages which handle their securities transactions have been over-charging corporations and public entities for various services, including securities lending and foreign exchange conversions.
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The American Depositary Receipt, or ADR, was first invented in 1927, to give American investors an opportunity to purchase foreign stock without concern for settlement delays and other vagaries associated with overseas securities transactions.
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If adopted, the levy would be applied from January 2014: all securities transactions involving an EU-based financial institution would be taxed at 0.1% and all over-the-counter derivatives deals at 0.01% of the notional principal amount.
Extension of a private right of action under U.S. law would supersede the policy choices of other sovereign nations by effectively regulating securities transactions in those nations and thereby interfering with the jurisdiction of their regulatory authorities.
As I have often written concerning private securities transactions and outside business activities, the onset of the Great Recession placed tremendous strain upon many stockbrokers and prompted them to seek additional sources of income to replace or supplement their reduced commissions and fees.
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Combine these delays with the phenomenon we have seen the last few years of Treasury granting delays to financial institutions for delivery of Forms 1099 reporting interest, dividends and securities transactions to mid-February or later (then followed by corrected versions of those same documents for several months).
Weighing heavily on such a consideration is whether the proposed class truly contains similarly situated members which becomes exponentially more difficult to cleanly resolve when such members are sophisticated, have extensive prior history with complicated securities and transactions, and the ultimate issue in the case may well hinge on whether information conveyed to purchasers was materially misleading.
Lehman labeled those transactions as securities sales instead of loans, which led investors to believe the firm was financially healthier than it really was.
But under U.S. law, a banker can't advertise securities products or take orders on transactions from U.S. clients without being registered with the Securities and Exchange Commission.
All transactions in corporate securities by top managers and directors should be disclosed within two business days.
For example, the "Big Bang" financial deregulations include liberalizing foreign-exchange transactions, lowering securities trading costs and opening securities underwriting and investment-trust management to new players.
Mark Zuckerberg has not adopted a Rule 10b5-1 Plan and has informed us that he has no intention to conduct any sale transactions in our securities for at least 12 months.
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An ECN can provide automatic transactions and quotations for securities, including those listed on the exchanges.
Impose a 0.03% financial transactions tax on transfers of securities, with an offsetting credit for transfers within tax-preferred savings accounts.
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Auditor Access: A broker-dealer that maintains custody of customer securities and cash or clears transactions would have to allow SEC and SRO examiners to access the work papers of the registered public accounting firm that audits the broker-dealer and discuss any findings with the personnel of the registered public accounting firm.
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Among the things that they collected was a bunch of balance sheets, income statements, transactions from the dealer market for government securities.
In its latest 10Q, the company did disclose that it's received a subpoena from the Securities And Exchange Commission relating to its stock and transactions.
Virtually every time money moves, whenever money managers or securities in a portfolio turnover, a brokerage facilitates the transactions and gets paid a commission.
These transactions were very complex internally, but externally one can see quite simply that these select few constructed a money machine that took mortgages, a large percentage of which were junk, as input and put out mortgage backed securities that were rated AAA. Plus, these money machines insured the transactions as though the mortgages were top rated (a 2% default rate, as I recall).
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