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Well, we want to make sure there's not securities fraud.
In the United States, securities markets are much more developed than they are in Europe.
My parents worked as brokers at Oppenheimer securities. They managed to finagle me a job.
Securities fraud generally and insider trading in particular should be eminently deterrable crimes.
I keep my stuff updated all the time. Being in the security industry, I keep up to date with securities.
There's a tendency to look at investments in isolation. Investors focus on the risk of individual securities.
Turning cash flows from contracts of professional athletes into securities is now possible through the power of blockchain.
I think my securities far outweigh my insecurities. I am not nearly as afraid of myself and my imagination as I used to be.
Get-educated-quick schemes are usually about as sound as subprime mortgage-backed securities: Enticing but basically fraudulent.
I still like TIPS (Treasury inflation-protected securities), and I think a big opportunity is coming in the municipal bond market.
One of the big problems we had during the financial crisis was the intermingling of banks and holding companies and complex securities.
I think most of the ICOs you're seeing are not real token use cases. They're really securities, so I think the SEC should regulate that.
To ensure financial stability, we expect the provision of U.S. government securities settlement services to be robust in nearly all contingencies.
If nobody can sell mortgage-backed securities based on trillions of dollars of unpayable instruments, there's a lot less risk in the overall system.
In some industries, we refer to risk taking as 'research and development.' At financial institutions, we often take risk by investing in securities.
By purchasing and holding large amounts of Treasury securities and MBS, we put additional downward pressure on term premiums and so on long-term rates.
Why should the court impose a judgment in a case in which the SEC alleges a serious securities fraud, but the defendant neither admits nor denies wrongdoing?
It is incumbent on us to facilitate the development of a market structure that best assures that these changes benefit the U.S. securities markets as a whole.
I've got a huge, huge position in mortgage-backed securities. I started accumulating them in 2009, when the market was really down and things were really scary.
If we get to a world of digital securities, then there isn't a need for DTC and Cede & Co. anymore. It's a really huge step in returning to clean capital markets.
Although the Internet makes it seem as if you have a direct connection to the securities market, you don't. Lines may clog; systems may break; orders may back-up.
The Treasury Department would use the interest from these securities to hire U.S. companies to build Saudi Arabia - new cities, new infrastructure - which we've done.
Today, the forces of competition, technology, and globalization have converged to spur innovation and to transform the way business is done in the securities industry.
Trump wants a wall between Mexico and the U.S. as well as a temporary ban on all Muslims, especially those coming from terrorist countries, among other tightened securities.
There are two ways to approach the market. You can guess which direction prices will go in next, or you can figure out what businesses and their securities are really worth.
Blockchain technology isn't just a more efficient way to settle securities. It will fundamentally change market structures, and maybe even the architecture of the Internet itself.
The securities laws of the 1930s were so important because it forced companies to file registration statements and issue prospectuses, and it remedied the imbalance of information.
In the US, banking and finance are regulated on the federal and state level, there are multiple federal bank regulators, and there are separate securities and commodities regulators.
We have new rules that give shareholders the ability to vote on executive compensation. We have new rules for asset-backed securities. We have new rules around credit rating agencies.
Benefits are rarely made public in filings with the Securities and Exchange Commission, where companies must report the pay and options that their five highest-paid executives receive.
My career in academic research has not been involved with active management of securities. I've tried to understand risk-and-return relationships; also the pricing of derivative securities.
I've had a terrific life, from building one company to be the second largest company in the securities industry and merging that into American Express, and becoming president of that company.
My research interests since then have shifted strongly towards the economic and regulatory problems of the financial services industry, and especially of the securities and options exchanges.
No one but John Oliver is going to be able to figure out the code of making a 20-minute monologue on futures, securities, and currency speculation interesting, funny, and poignant politically.
Auctions create greater price discovery and liquidity, resulting in a very meaningful final auction price. If you were building a securities exchange today, an auction would be a core feature.
Entire populations of market strategists, fund managers, and economists are employed to try and intuit for clients which securities to bet on for the best possible return each year - or quarter.
The Government Securities Act gave the Treasury Department some rulemaking authority over all government securities brokers and dealers. But the act also required these firms to register with the SEC.
We're going after the possibilities of tax fraud, insurance fraud, securities fraud. We're going to look at this stuff very closely. We have the jurisdiction, we have the resources, and we have the will.
Our forefathers increased and decreased the influx of peoples because America was building a melting pot and because certain ethnicities often brought with them certain securities and degrees of productivity.
If you're trading individual securities, you're almost certainly making a mistake. Because most professional managers can't outperform their benchmarks, and there's little reason to think that individuals can.
While markets are supposed to ensure transparency by showing orders to everyone simultaneously, flash orders are currently allowed because of a loophole in securities regulations that allows for immediate trades.
Conspiracy theories feed on opacity, and that's a longtime problem with short selling. Large long positions must be reported to the Securities and Exchange Commission in public filings, but not large short positions.
We don't understand the equity market well, and so we deploy funds in fixed-income securities, and like any other securities, investment in those securities also need to follow the mark-to-market accounting principle.
I found that options traders - the Amex was mainly an options exchange - routinely conspired to keep as wide as possible the spreads between the prices investors paid and the prices floor traders paid for the same securities.
For Randy Neugebauer, the Texas Republican who chairs the investigations subcommittee, the top sources of funding for his 2012 reelection campaign are from the insurance, banking, finance, securities and real estate industries.
What turned me on then, and turns me on even today - and when the time comes from me to retire from management I think I'd still be interested in it - is that everything that happens in the world affects the price of securities.
In June 2005, mortgage rates were at 40-year lows, and risk premiums on mortgage securities were at all-time lows. Once the banks migrated to the subprime area, there was little else that could be done to send housing prices higher.
The right and the physical power of the people to resist injustice, are really the only securities that any people ever can have for their liberties. Practically no government knows any limit to its power but the endurance of the people.
ICOs are obviously a new and interesting form of funding for blockchain-based protocols, but it's not clear that all of them comply with U.S. securities laws or that all of them are companies that have good native use cases for new coins.
From coast to coast, the FBI and Securities and Exchange Commission have ensnared people not only at hedge funds, but at technology and pharmaceutical companies, consulting and law firms, government agencies, and even a major stock exchange.