The number of registered securities salespeople, down sharply after the 1987 crash, is back up near a record.

The same is true if the company makes a tender offer for its own Exchange Act registered securities.

A transfer of registered securities is effected by amending the register.

The lawyers note that the investment took the form of limited partnership interests that were not publicly registered securities.

But he agreed that the information did not meet the standards for registered securities - "which they're not," he said.

The legal impact of dematerialisation differs in relation to bearer and registered securities respectively.

He was Noel Hervey, a registered securities and exchange slyster.

In that time, over 800 foreign companies have registered securities with the SEC for the first time.

There are 24 securities brokers and there are no registered securities agents.

The new S.E.C. rules would apply to any foreign company that has registered securities in the United States.

In the case of registered securities, certificates bearing the name of the holder are issued, but these merely represent the securities.

The S.E.C. has the permanent legal authority to collect a fee equal to one-50th of the value of registered securities.

Four HealthSouth offerings between 2000 and 2002 are at issue in the Alabama litigation; they were sold privately first, then exchanged for registered securities.

Regulators say that such projections, which would not be allowed for registered securities, should put investors on their guard about many technology partnerships being pitched to smaller investors.

James M. McConnell, the S.E.C.'s executive director, said companies registered securities at five times the pace of an average day.

A year later, the N.A.S.D., a self-regulatory body that oversees the practices of registered securities dealers, started Nasdaq.

But unlike swaps, structured notes are registered securities and are not as liquid, which is why Rydex had to discourage short-term trading, Mr. King said.

The Capital Markets segment primarily operates as a registered securities broker dealer, a residential mortgage loan manager and a commercial mortgage loan originator.

A company with Exchange Act registered securities must comply with the SEC's proxy rules whenever it seeks a shareholder vote on corporate matters.

If the registered securities are to be offered in connection with the writing of call options traded (or to be traded) on an exchange, such transactions must be described.

Bearer and Registered Securities (PDF) - gives the balance of bearer and registered securities for the last month.

Under Philippine laws, GS are classified as securities which are exempt per se from SEC registration and automatically classified as registered securities upon issuance.

Domestic bonds traditionally are registered securities, usually issued in the form of debentures; they are listed on the London Stock Exchange and they pay interest net of UK income tax.

Because of the language of the Federal Bankruptcy Code, a registered securities firm cannot file for Chapter 11 bankruptcy, which is intended to give companies an opportunity to put their fiscal house in order.

New Rule Called Cosmetic Among the changes announced is a new rule that will allow any registered securities broker-dealer to bid on behalf of customers at auctions rather than just through primary dealers.