investment in registered securities

инвестиции в именные ценные бумаги

Ценные бумаги. Англо-русский словарь. . 2013.

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  • Undertakings For The Collective Investment Of Transferable Securities - UCITS — A public limited company that coordinates the distribution and management of unit trusts amongst countries within the European Union. These funds can be marketed within all countries that are a part of the European Union, provided that the fund… …   Investment dictionary

  • Undertakings for Collective Investment in Transferable Securities — Also known as UCITS. Dresdner Kleinwort Wasserstein financial glossary unit trusts which can be marketed throughout Europe provided they are registered with their domestic regulator as such. Dresdner Kleinwort Wasserstein financial glossary See… …   Financial and business terms

  • Registered Investment Advisor — Investment Advisor (IA) is a non formal designation describing a person or firm in the United States who has registered with the U.S. Securities and Exchange Commission or state regulatory agency (where the primary business is situated or… …   Wikipedia

  • Investment Advisor — As defined by the Investment Advisors Act of 1940, any person or group that makes investment recommendations or conducts securities analysis in return for a fee, whether through direct management of client assets or via written publications. An… …   Investment dictionary

  • Registered Representative - RR — A person who works for a brokerage company that is licensed by the Securities and Exchange Commission (SEC) and acts as an account executive for clients trading investment products such as stocks, bonds and mutual funds. Also known as an account… …   Investment dictionary

  • Registered Principal — A licensed securities dealer who is also empowered to oversee operational, compliance, trading and sales operations and the personnel who staff them. Registered principals must have all the basic securities licenses required for the operation… …   Investment dictionary

  • Investment Company — A corporation or trust engaged in the business of investing the pooled capital of investors in financial securities. This is most often done either through a closed end fund or an open end fund (also referred to as a mutual fund). In the U.S.,… …   Investment dictionary

  • Registered Security — 1. The name given to securities whereby ownership is registered with the issuing company or their agent. 2. Securities that are unavailable for sale due to restrictions placed upon them at the time of issue. 1. This is the common method for… …   Investment dictionary

  • Registered Investment Advisor - RIA — An advisor, registered with the Securities and Exchange Commission, who manages the investments of others. This registration doesn t mean that the person is recommended by the SEC, it simply means that they are regulated by the SEC. In general,… …   Investment dictionary

  • Securities And Exchange Commission - SEC — A government commission created by Congress to regulate the securities markets and protect investors. In addition to regulation and protection, it also monitors the corporate takeovers in the U.S. The SEC is composed of five commissioners… …   Investment dictionary

  • Securities Investor Protection Corporation - SIPC — A nonprofit corporation created by an act of Congress to protect the clients of brokerage firms that are forced into bankruptcy. Members to the SIPC include all brokers and dealers registered under the Securities Exchange Act of 1934, all members …   Investment dictionary


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