• Illegal Insider Trading
    445 words
    Insider Trading " Insider trading' is a term that most investors have heard and usually associate with illegal conduct. But the term actually includes both legal and illegal conduct. The legal version is when corporate insiders-officers, directors, and employees-buy and sell stock in their own companies. When corporate insiders trade in their own securities, they must report their trades to the SEC. For more information about this type of insider trading and the reports insiders must file, plea...
  • Insider Trading Stock Information Securities
    1,346 words
    The Stock Market is an organized market for the trading of stocks and bonds. In Europe a stock exchange is often called a bourse. Stock exchanges exist in all-important financial centers of the world. Members of an exchange buy and sell for themselves or for others, charging commissions. A stock may be traded only if it is listed on an exchange after having met certain requirements. The New York Stock Exchange (founded 1790) is the largest in the U. S. , handling more than 70% (in market value)...
  • Road Securities System Profits
    2,641 words
    A Practical Proposal for Privatizing the Highways Let us suppose that our national highway system is a"natural monopoly," as economists use the phrase. How could it be privatized In particular, how could it be privatized in a way which would: (a) create private enterprises' usual incentives to keep prices and costs low and quality high (b) create incentives for innovation (c) keep the low transactions costs of free public provision (d) eliminate any need for continued regulation typical of " con...
  • Overall Basis Monthly Expense
    1,243 words
    On an overall basis, total assets increased from a projected balance of $115 MM on January 1, 2002 to $159 MM on December 31, 2002. The investment securities portfolio is anticipated to be $19 MM as of December 31, 2002. Projected loan volume increase during 2002 is from $92 MM to $127 MM. Cash and Cash Equivalents Due From Banks - With the loan portfolio increasing by nearly $35 MM and total deposits projected to increase by $27 MM, a larger cash letter is anticipated. Due From Banks - Int Bear...
  • Investment Banking Firms Salaries 000
    331 words
    Investment banks help companies issue securities, help investors purchase securities, manage financial assets, trade securities and provide finical advice. The leading investment banks including Merrill Lynch, Salomon Smith Barney, Morgan Stanley Dean Witter and Goldman Sachs are said to be in the bulge bracket. Other investment banks are regionally oriented or situated in the middle market (e. g. Piper Jaffray). Others are small, specified firms called boutiques, which might be oriented toward...
  • Insider Trading Nonpublic Information
    835 words
    Preliminary Note to Rule 10 b 5-1: This provision defines when a purchase or sale constitutes trading 'on the basis of' material nonpublic information in insider trading cases brought under Section 10 (b) of the Act and Rule 10 b-5 thereunder. The law of insider trading is otherwise defined by judicial opinions construing Rule 10 b-5, and Rule 10 b 5-1 does not modify the scope of insider trading law in any other respect. a. General. The 'manipulative and deceptive devices' prohibited by Sectio...
  • The Securities And Exchange Commission
    2,179 words
    Morgan Bennett Mr. Harris History Honors- Per 5 April 2001 The Securities and Exchange Commission In 1934 the Securities Exchange Act created the SEC (Securities and Exchange Commission) in response to the stock market crash of 1929 and the Great Depression of the 1930 s. It was created to protect U. S. investors against malpractice in securities and financial markets. The purpose of the SEC was and still is to carry out the mandates of the Securities Act of 1933: To protect investors and maint...
  • Technology Primus Securities
    1,652 words
    Summary The use of technology will be very important in the projected growth of Primus Securities. With a multitude of technologies available, choosing the correct ones that maximize capability with future expansion will be a priority. Primus Securities, much like its industry brethren, E-trade Securities and Charles Schwab, is attempting to provide successful online investing via their website. Using technology, Primus has at their disposal many online products, tools, and services to choose fr...
  • Sarbanes Oxley Act Of 2004
    1,738 words
    The Sarbanes-Oxley Act of 2002 was signed into law on July 30, 2002 by President Bush. The new law came after major corporate scandals involving Enron, Arthur Anderson, World Com. Its goals are to protect investors by improving accuracy of and reliability of corporate disclosures and to restore investor confidence. The law is considered the most important change in securities and corporate law since the New Deal. The act is named after Senator Paul Sarbanes of Maryland and Representative Michael...
  • Securities And Exchange Commission Accounting Financial Standards
    1,199 words
    Introduction The Accounting profession has been established since the early 1900 s. The profession has continued to develop in response to the needs of users of financial statements for financial information to support decisions and informed judgments. This paper will discuss the various accounting standards and their relationships, accounting theories, and evaluate the role of ethics in accounting. Financial Accounting Standards Board The Financial Accounting Standards Board (FASB) was organize...
  • Careers In Investment Banking
    1,129 words
    Careers in Investment Banking A career in the securities industry can offer exciting work if you enjoy working in a competitive and demanding atmosphere. Investment bankers, stockbrokers, and stock traders all make up the securities industry providing services to each other, as well as the general public. All of people involved in this field deal with stocks, bonds, and other financial material in some way or another, but they all have their own specific objectives and duties. The primary differ...
  • Nasdaq Vs Nyse Martha Stewart
    1,322 words
    The National Association of Securities Dealers Automated Quotations - once an electronic quotation for OTC stocks and expressed by its acronym, NASDAQ, the stock exchange known today as NASDAQ or the NASDAQ Stock Market operates as both a stock quotes service and a stock exchange permitting dealers to trade its listed securities. NASDAQ Stock Market is owned and operated by the National Association of Securities Dealers (NASD) (TodaysMoneyNews. com). Established in 1792, the New York Stock Excha...
  • Trust Preferred Securities Parent Bhc
    411 words
    Trust Preferred Securities Trust Preferred Securities are cumulative preferred stock issued by a business trust that is wholly owned by a bank holding company (BHC) to increase the company's capital. When originally created in 1993, this security could be classified as debt or equity, as needed, by the issuing company. However, in 2003, the Financial Accounting Standards Board issued Statement No. 150 to standardize classification of Trust Preferred Securities (TPS). A Trust Subsidiary would iss...
  • Comparison Of Panama Ipo Market To Us Market
    5,508 words
    INTRODUCTION This paper has the purpose of presenting the reader with a brief overview of an Initial Public Offering (IPO) performed in the republic of Panama. The Initial Public Offering process is complex and has significant consequences for a publicly held company. We will focus in describing the processes of registration and issuance of IPO's and all the parties involved in the process. Unfortunately, the securities market in Panama is in a developing phase, evolving towards a more dynamic s...
  • Efficient Market Hypothesis Information Price Securities
    4,623 words
    Eugene Fama was an undergraduate student at Tufts University when he first began to develop an interest for economic theory (Tuft's E. Newz). Mr. Fama worked for a professor who was trying to develop a "buy - sell" formula for the securities market based on price momentum (News-School). The phenomena accompanied with his study, plus the skills that he acquired while evaluating stock market data, drew Mr. Fama to the University of Chicago where he would finally develop what is known today as the...
  • Financial Management Standard Deviation
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    Q. 1. (a) Distinguish between a negotiable certificate of deposit and the certificates of deposit discussed in the section "Non-marketable securities." Ans. NEGOTIABLE CERTIFICATE OF DEPOSIT (CD) Basically Negotiable Certificate of Deposits are marketable receipts for large deposits held by a bank for a specified time period and interest rate. For example ABC Bank sells a $ 100, 000 CD for 6 months at 8. 5%. The holder can resell the CD any time prior to 6 months. Banks use CDs to gather funds ...
  • Money Supply Central Bank
    730 words
    Monetary Policy is important tool used by the government and economists in order to manipulate the current economic situation as much as possible. For example since 1993, monetary policy in the UK has been used primarily to keep inflation below a rate set by the government. Monetary policy is the use of interest rates and the level of the money supply to manage the economy. Interest rates were always used to be set by the government, but the nowadays the control over interest rates has been pass...
  • Organized And Over The Counter Securities
    987 words
    Organized and over-the-counter securities exchanges are similar in that they both deal with the trading of securities such as stocks and bonds. However, they are different in many ways. An organized securities exchange is defined as "A securities marketplace where purchasers and sellers regularly gather to trade securities according to the formal rules adopted by the exchange." (web) On the other hand, a security is traded over-the-counter (OTC) if it trades in some context other than a organize...
  • Regulation Of Financial Markets
    445 words
    There have been significant changes in the regulation of financial markets in Australia. Financial markets consist of the buying and selling of financial securities. The key markets within the financial sector are the primary market, which is concerned with the first issue of the securities and the secondary market, which is concerned with the buying and selling of the securities after the initial issue. The key changes in the regulation of the financial market occurred in 1983. Prior to 1983, f...
  • Are Students Safe Current
    244 words
    Current Event Are students safe in school anymore? Today two more lives are lost in a school shooting. This time it happened in Arkansas University. It is all under investigation right now, but it appears to be a murder-suicide situation. They still have not given any information on the shooter, but the victims apparently were a professor at the university and a graduate student. How many more lives need to be lost and how many more lives will be lost until the government or someone decides to d...