• 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。

    耶鲁公开课 - 金融市场课程节选

  • 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。

    耶鲁公开课 - 金融市场课程节选

  • 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

    耶鲁公开课 - 金融市场课程节选

  • 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。

    耶鲁公开课 - 金融市场课程节选

  • 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

    耶鲁公开课 - 金融市场课程节选

  • 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。

    耶鲁公开课 - 金融市场课程节选

  • 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。

    耶鲁公开课 - 金融市场课程节选

  • 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

    耶鲁公开课 - 金融市场课程节选

  • 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

    耶鲁公开课 - 金融市场课程节选

  • 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

    耶鲁公开课 - 金融市场课程节选

  • 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

    耶鲁公开课 - 金融市场课程节选

  • 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

    耶鲁公开课 - 金融市场课程节选

  • 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

    耶鲁公开课 - 金融市场课程节选

  • 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

    耶鲁公开课 - 金融市场课程节选

  • 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。

    耶鲁公开课 - 金融市场课程节选

  • 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

    耶鲁公开课 - 金融市场课程节选

  • 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

    耶鲁公开课 - 金融市场课程节选

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