Securities. An arrangement that (1) takes the form of an individually negotiated contract, agreement, or option to buy, sell, lend, swap, or repurchase, or other similar individually negotiated transaction commonly entered into by participants in the financial markets; (2) involves securities, commodities, currencies, interest or other rates, other measures of value, or any other financial […]
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exempt securities 〈美〉豁免证券；自由证券 指免于依1933年《证券法》〔Securities Act〕进行注册登记，且不受1934年《证券交易法》〔Securities Exchange Act〕有关保证金〔margin〕要求约束的证券。(→exempted securities)
investment contract. 1. A contract in which money is invested in a common enterprise with profits to come solely from the efforts of others; an agreement or transaction in which a party invests money in expectation of profits derived from the efforts of a promoter or other third party. 2. A transaction in which an
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Investment Company Act. A 1940 federal statute enacted to curb financial malpractices and abuses by regulating investment-company activities and transactions — specifically, by requiring registration of investment companies and prohibiting transactions by unregistered companies; by making certain persons ineligible as affiliated persons or underwriters; by regulating affiliations of directors, officers, and employees; by barring changes
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leverage contract. An agreement for the purchase or sale of a contract for the future delivery of a specified commodity, usu. silver, gold, or another precious metal, in a standard unit and quantity, for a particular price, with no right to a particular lot of the commodity. • A leverage contract operates much like a
Securities. An annuity whose payments vary according to how well the fund (usu. made up of common stocks) that backs it is performing. SEC Rule 0-1(e)(1) (17 CFR § 270.0-1(e)(1)). See variable annuity under ANNUITY.
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Glass–Steagall Act. A federal statute that protects bank depositors by restricting the securities-related business of commercial banks, specif. by prohibiting banks from owning brokerage firms or engaging in the brokerage business. 12 USCA § 378. — Also termed Banking Act of 1933.
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Williams Act. A federal statute, enacted in 1968, that amended the Securities Exchange Act of 1934 by requiring investors who own more than 5% of a company’s stock to furnish certain information to the SEC and to comply with certain requirements when making a tender offer. [Cases: Securities Regulation 52.10–52.50. C.J.S. Securities Regulation §§ 121–141.]
Investment Advisors Act 〈美〉《投资顾问法》 对投资顾问进行管理的联邦法律。目的在于保护公众和投资者免受投资顾问失职行为的危害。该法由证券交易委员会〔Securities and Exchange Commission〕执行并要求所有的投资顾问必须在该委员会注册。
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exempt transaction. A sale that falls outside the scope of a certain statute, such as the Securities Act of 1933 or the Securities Exchange Act of 1934. [Cases: Securities Regulation 18.10–18.30. C.J.S. Securities Regulation §§ 62–69, 73.]
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