Tag: securities

Business Law & Regulations, Finance

Short (Short Position) Definition

September 12, 2022

Via: Investopedia

A short, or a short position, is created when a trader sells a security first with the intention of repurchasing it or covering it later at a lower price. A trader may decide to short a security when she believes […]

Business Law & Regulations, Finance

Paying Agent Definition

August 2, 2022

Via: Investopedia

What Is a Paying Agent? A paying agent—also known as a “disbursing agent”—is one who accepts payments from the issuer of a security and then distributes the funds to holders of the security. Paying Agent Explained Paying agents are usually […]

Business Law & Regulations, Finance

Securities Law Implications of Lummis-Gillibrand Bill

June 17, 2022

Via: LexBlog

On June 7, 2022, Senator Cynthia Lummis (R-WY) and Senator Kirsten Gillibrand (D-NY) introduced the Responsible Financial Innovation Act (RFIA), which seeks to create a complete regulatory framework for digital assets. This is the second in a series of blogs […]

Business Law & Regulations, Finance

Liquidity Gap Definition

October 6, 2021

Via: Investopedia

Liquidity gap is a term used in several types of financial situations to describe a discrepancy or mismatch in the supply or demand for a security or the maturity dates of securities. Banks deal with liquidity risks and potential liquidity […]

Business Law & Regulations, Finance

Supreme Court to review rules for shareholders alleging securities fraud

December 15, 2020

Via: Jurist

The US Supreme Court agreed on Friday to review the issue of whether shareholders can bring class action lawsuits that allege securities fraud. In Goldman Sachs Group, Inc. v. Arkansas Teacher Retirement, the questions the court has agreed to address […]

Tax Code, Regulations and Guidance

What Is Conversion Value?

July 24, 2020

Via: Investopedia

What Is Conversion Value? The term conversion value refers to the financial worth of the securities obtained by exchanging a convertible security for its underlying assets. Convertibles are a category of financial instruments, such as convertible bonds and preferred shares, […]