You have closed end funds, trade as a security listed on the stock exchange, but what they do is own other securities.
假如你持有封闭式基金,这种基金在证券交易所作为一种债券进行交易,但是实际上它们做的是持有其他债券。
The Federal Reserve has a list which you can find on their website of dealers who are eligible to participate in Treasury security auctions.
美联储有一个交易商的名单,你可以在他们网站上找到,其中的交易商有资格,参与国库证券的竞标。
The Securities and Exchange Commission, from the beginning, had it as its mission to make financial markets work properly; that is a wonderful story.
从成立那天起,证券交易委员会,就肩负着确保金融市场良好运作的使命,这是个利民的机构
They want to merge the Securities and Exchange Commission and the Commodity Futures Trading Commission.
他们还想要合并证券交易委员会,和期货商品交易委员会。
So, he was going after himself, finding out all the companies that were backdating options, trying to beat the SEC and the regulatory authorities to the conclusion.
所以他自己一路研究下去,找出了所有用倒签期权欺诈的公司,然后试图用这个结论,与证券交易委员会和监管机构抗衡
The Securities and Exchange Commission is the principal government regulator for securities.
证券交易委员会是,政府对证券的主要监管机构。
There has been, over the years a lot of turf battles between the SEC and the CFTC because it's sometimes unclear whether something is a security or a futures.
历年来,证券交易委员会和期货交易委员会的领域战争层出不穷,因为有时候很难说,一个东西究竟是证券还是期货。
There was a hostile attitude between business and the original SEC.
早期的证券交易委员会与商界,势不两立
The SEC was very controversial at first because it was seen as interfering with business and the U.S. Has been built on principles of individual freedom; this seemed like unnecessary government intrusion.
起初,证券交易委员会引起了许多争议,因为人们认为它会干扰商业运作,个人自由是美国的立国之本,政府的干预似乎并非必要
It's one of the most rapidly changing, hard to keep up with areas because someone can set up an electronic exchange overnight and suddenly become a base for trading trillions of dollars of securities.
经纪业是一个变化最快的行业之一,人们很难跟上它的步伐,因为人们可以在头一天晚上,设置一个电子交易,一夜之间,他就能在证券市场赚到千亿美金
Basically, what it did was it made it feel that people wouldn't get cheated; the SEC was a strong regulator and it really did restore confidence in the financial markets in this country.
证券交易委员会的辛勤付出,使人们感到不会受骗,证券交易委员会是一个强大的监管机构,它也重塑了,这个国家对金融市场的信心
According to the research of Ulrike Malmendier at Stanford, she thinks that the stock market in ancient Rome was done on the street-- on the Roman Forum--and she can tell you where.
根据斯坦福大学乌尔丽克克·马尔门迪尔的研究,她认为在古罗马,证券交易就在街边,或城市广场上促成,她能告诉你在哪
Our foreign exposure is not limited to the marketable security exposure, which I cited as being 15% of the fund, but there's foreign exposure in real estate, there's foreign exposure in leverage buyouts, there's foreign exposure in venture capital.
我们的境外投资,并不限于可交易证券类,那只占总资产的15%,也有境外不动产投资,境外杠杆收购,以及境外风险投资
In 2006--I mentioned this before -in 2006, the SEC proposed raising the definition to make it harder to be an accredited investor, but they haven't done that yet; so, it remains at one million dollars to do it.
我之前讲过,2006年美国证券交易委员会曾提议,抬高可信投资者的门槛,但他们仍未付诸实施,所以现在的门槛仍为一百万美元
These mortgages were given out to people that couldn't afford them and today you have what you call subprime mortgages--subprime paper They issued against this paper stuff called mortgage-backed security. They securitized them and these things are all floating around now.
我们发放这些抵押贷款给那些买不起房子的人,所以现在你们看到了一种你们叫做,次级抵押贷款的金融工具--次贷票据,他们把这种票据叫做,有抵押证券,他们把有抵押证券证券化,这些证券现在在市场上被多次交易,广为流通。
The definition is in Regulation D, which defines an accredited investor.
这是条例D里,条例D,美国证券交易委员会制定的一部法规 对可信投资者作出的定义
That's not a way that we really think about it, but I do believe that the risk level of the University's portfolio is really quite low in statistical terms -much lower than the risk level that you'd have if you had a traditional portfolio dominated by marketable securities.
这一般不是我们考虑的关键,但我相信,耶鲁投资组合的风险水平,在统计数字上是非常低的,远远低于,持有一个传统的可交易证券主导的,投资组合的beta系数
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