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Topic: Agency Securities

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Ministry of Finance-Securities Market Act (ZTVP-1) Securities referred to in the first paragraph of Article 51 may be traded on the organised securities market if the issuer, either at the time of the issue or later, obtains the authorisation for organised training to be granted by the Agency. The issuer of securities shall be obliged to previously notify the Agency of any intended issue of securities referred to in the third paragraph of Article 15 or non-public offering referred to in the first paragraph of Article 18 herein and to submit to the Agency the decision on the issue of securities. A public offering of securities shall be a published invitation addressed to an undefined circle of persons to subscribe for securities in the event of an initial offering or to buy securities in the event of secondary offerings. www.a-tvp.si /ZTVP-1angl.htm

U.S. Treasury - FAQs: Economy The term “agency securities” is sometimes used by brokers, dealers and investment advisors to refer to securities issued or guaranteed by a variety of entities other than the U.S. Treasury. Agency securities are not the same as U.S. Treasury securities. In contrast, the securities of government sponsored enterprises (or GSEs) are not obligations of, nor are they guaranteed by, the U.S. government and these GSE issuers are required by law to disclose this fact in their securities issuances. www.ustreas.gov /education/faq/markets/fixedfederal.shtml

deal.txt Figures cover financing involving U.S. government, federal agency, government sponsored enterprise, mortgage-backed and corporate securities. TIIS that are used as pledged securities are reported at par value, which is the value of the security at original issuance (unadjusted for inflation). Financing transactions for Treasury inflation index securities (TIIS) are reported in actual funds paid or received, except for pledged securities. www.ny.frb.org /markets/statistics/deal.txt

03appC.txt Securities eligible for investment under this subdivision shall be issued by an issuer having an "A" or higher rating for the issuer's debt as provided by a nationally recognized rating service and rated in a rating category of "AA" or its equivalent or better by a nationally recognized rating service. Securities eligible for investment under this paragraph shall be issued by an issuer having an "A" or higher rating from the issuer's debt as provided by a nationally recognized rating service and rated in a rating category of "AA" or its equivalent or better by a national recognized rating. It shall release securities only upon presentation by the depository of the most reasonably current statement of the total deposits subject to this article held by the depository, such statement to be verified and countersigned by two duly authorized officers, other than those who ordered the withdrawal of securities. www.treasurer.ca.gov /cdiac/LAIG/03appC.txt

cccmt1.txt Request The Agency believes that the only practical alternative to fund a cost effective defeasance escrow for the Prior Bonds is to utilize SLGs with maturities in excess of thirty years, and the Agency hereby requests that those securities be made available. However, those securities are not defeasance securities and the Agency has been advised by bond counsel that those securities raise issues regarding "market pricing" under Section 148 o f the Internal Revenue Code. The Agency has also determined that it is impractical to assume that "float contracts" or obligations of the Resolution Funding Corporation would be available to fund the Agency's escrow because of its term to maturity. www.publicdebt.treas.gov /cc/cccmt1.txt

BondSchool.com The interest income on U.S. agency securities is subject to federal income tax with exemption from state and local taxes varying by agency and state. GSE debt securities are considered to carry greater risk than securities issued by the U.S. Treasury and certain government agencies (e.g., Ginnie Mae) whose securities have the full faith and credit guarantee of the U.S. government. Government agencies such as Government National Mortgage Association are divisions of the government whose securities are backed by the full faith and credit of the United States government. www.bondschool.com /index.cfm?fuseaction=tutAgencies.print

---- <<< Beatnik >>>> ---- Technically, a corporation is required to register the sale of shares with the federal Securities and Exchange Commission (SEC) and its state securities agency before granting stock to the initial corporate owners (shareholders).Registration takes time and typically involves extra legal and accounting fees. If your ownership interests are considered securities, you must get an exemption from the state and federal securities laws before the initial owners of your LLC invest their money. For example, SEC rules exempt the private sale of securities if all owners reside in one state and all sales are made within the state; this is called the "intrastate offering" exemption. www.beatnikinfotech.com /faq.htm

Education Agencies that issue structured notes that are direct obligations, such as step-up notes from a Federal Home Loan Bank, may have greater risk than other agency securities. Agency securities as a whole are not as liquid as U.S. Treasury securities, but liquidity varies widely within the agency market depending on the issuer and the specific debt obligation. Agency securities are deemed suitable investments for banks, and they are frequently purchased by banks and held in their investment portfolios. www.bondtrac.com /zions/docs/agency.edu

FRB: Z.1 Release--L.210--Agency- and GSE-backed Securities--June 9, 2005 Agency- and GSE-backed securities include: issues of federal budget agencies (line 2) such as those for the TVA; issues of government sponsored enterprises (line 3) such as FNMA and FHLB; and agency- and GSE-backed mortgage pool securities issued by GNMA, FNMA, FHLMC, and the Farmers Home Administration (line 4). Agency-and GSE-backed mortgage pools total mortgages (total financial assets and net increase in pool securities) asset www.federalreserve.gov /releases/Z1/Current/accessible/l210.htm

securities.htm The Alabama Securities Commission is made up of the Attorney General of Alabama, the State Superintendent of Banks, the State Insurance Commissioner, two attorneys, and two certified public accountants appointed by the governor with the advice and consent of the Senate. Their purpose is to educate the public about securities laws and to alert the state's citizens to the possibility of securities fraud. If the agency chooses to maintain permanent records solely in electronic format, it is committed to funding any system upgrades and migration strategies necessary to ensure the records' permanent preservation and accessibility. www.archives.state.al.us /officials/rdas/securities.htm

Investment banking in global financial markets - Dresdner Kleinwort Wasserstein Agency Securities Lending is an asset and liability management process; it extracts additional value out of assets through the repo and money markets and is applicable to both debt and equity products. The Agency Securities Lending business is client driven, low risk and profitable and will facilitate better usage of the Allianz Group asset pool, creating further yield enhancement for the respective asset holders within the Allianz Group and for external third-party clients. He joins DrKW after six years at Deutsche Bank where he was responsible for developing the agency securities lending business as well as client relationships in Europe. www.drkw.com /eng/press/324_780.php

Merrill Lynch - Products & Planning - /publish/marketing_centers/products/inv014_AgencySecurities/0,,,00.html Agency securities are actively traded in the secondary market, thereby providing investors with liquidity in the event that they need to sell their agency securities prior to maturity. Agency securities are highly creditworthy debt obligations, issued by a U.S. agency or government-sponsored enterprise. An agency security represents a loan to the issuing agency, which then is obligated to repay the investors the principal amount of the loan, plus interest, in a certain amount of time. askmerrill.ml.com /publish/marketing_centers/products/inv014_AgencySecurities

Ontario Ministry of Finance, Agencies The Ontario Securities Commission maintains a list of reporting issuers and records filings of insider trading, proxy solicitation material, financial statements and take-over bids for the benefit of investors. The Ontario Financing Authority is an agency of the Province of Ontario created under the Capital Investment Plan Act, 1993, and reporting to the Minister of Finance. Ontario Financing Authority, an agency of the Province of Ontario provides various services to OEFC: arranging, coordinating and managing borrowing, investment of funds and financial risk management, cash management, banking and accounting services. www.fin.gov.on.ca /english/agencies.html   (746 words)

ICI President Stevens Testifies on Credit Rating Agency Legislation, November 2005 It is therefore necessary for many issuers to have their securities rated by an entity designated as an NRSRO (as opposed to a rating agency without such a designation), to avoid losing access to a substantial pool of investment capital. The rating assigned to securities by a rating agency may influence the valuation determinations of pricing services and ultimately the calculation of the net asset value of mutual funds that hold such securities. I commend the Committee for holding this hearing on H.R. 2990, the "Credit Rating Agency Duopoly Relief Act of 2005," which is intended to improve the quality of credit ratings by fostering competition, transparency and accountability in the credit rating industry and to address concerns regarding the current "NRSRO" designation process. www.ici.org /issues/mrkt/arc-leg/05_house_nrsro_tmny.html   (3145 words)

Enron Scandals Spur Proposed Credit Rating Legislation Demand for certain agency services is statutorily guaranteed -- no less than dozens of federal, state and foreign government statutes, including securities, banking, higher education finance and housing and community development statutes, mandate creditworthiness ratings by credit rating agencies that qualify as a "nationally recognized statistical rating organization" (NRSRO). Under this process, a credit rating agency requests the SEC staff conduct an informal inquiry to determine whether the agency is qualified. For example, Rule 436(g)(1) under the Securities Act of 1933 provides that an NRSRO's credit rating appearing in registration statement is not considered part of the statement for purposes of, among others, Section 11 of the Securities Act, a strict liability provision applicable to experts who participate in preparing a security's registration statement. www.law.com /jsp/ihc/PubArticleIHC.jsp?id=1127811912540   (1697 words)

Bestsellers. FinMath.com @ Chicago Financial Mathematics, Financial Engineering and Risk Management. PRISMAN Pricing Derivative Securities: An Interactive, Dynamic Environment with Maple V and Matlab New Results and Tools for Interest Sensitive Securities. 2 Risks Associated with Investing in Fixed Income Securities 20 www.finmath.com /Bestsellers.html   (1697 words)

SRO Rulemaking: SR-DTC-00-10 - Depository Trust Company; Notice The Commission has stated that matching is a clearing agency function that requires an entity that performs matching to register as a clearing agency or obtain an exemption from registration as a clearing agency. Securities Exchange Act Release No. 43540 (November 9, 2000), [File No. 600-32]. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act"), www.sec.gov /rules/sro/dt0010n.htm   (1749 words)

FICC:  About the Government Securities Division Government securities no longer are exempted securities for the purpose of Section 17A of the Securities Exchange Act, which makes it unlawful for any clearing agency, unless registered with the SEC, to perform the functions of a clearing agency with respect to any non-exempted security. The Government Securities Division is an industry service organization, designed to operate on a not-for-profit basis, whose primary purpose is to ensure orderly settlement in the Government securities marketplace. The Government Securities Division's automated system is designed to provide real-time interactive communication facilities for the clearance and settlement of Government debt products. www.ficc.com /gov/gov.about.jsp?NS-query=   (1749 words)

Cititrade Research Bonds U.S. Agencies Callable Agency Securities - Many of the new issue Agency debentures are now being offered with call features that allow the issuers to call the bonds away from the bondholders after a specified time period and typically at specified intervals thereafter prior to maturity. Securities transactions are through Citicorp Investment Services (CIS), member NASD/SIPC, and an affiliate of Citibank. Government National Mortgage Association (GNMA), also known as Ginnie Mae - GNMA is a wholly owned corporate agency operating within the U.S. Department of Housing and Urban Development (HUD). www.mycititrade.com /research/bonds/bonds_usagencies.html   (1749 words)

beSpacific: Securities Law Archives This Securities and Exchange Commission press release states that the agency filed suit in the U.S. District Court for the Eastern District of New York against Samuel Aaron Meltzer ("Meltzer"), referred to as a "professional Internet spammer," for committing securities fraud via the Web (SEC v. We are adopting rule and form amendments to mandate the electronic filing, and website posting by issuers with corporate websites, of beneficial ownership reports filed by officers, directors and principal security holders under Section 16(a) of the Securities Exchange Act of 1934, generally as required by Section 403 of the Sarbanes-Oxley Act of 2002. This SEC press release concerns the agency's joint action (along with the NYSE and NASD) against 5 high profile broker-dealers for violations of e-mail communications retention requirements. www.bespacific.com /mt/archives/cat_securities_law.html   (1749 words)

Redwood Securities Group, Inc. - U. S. Agency Securities Redwood Securities Group, Inc. - U. Agency Securities As an official member of the Selling Group for Fannie Mae Redwood can offer its clients discount notes, debentures, and various mortgage-backed securities. © Redwood Securities Group, Inc. All rights reserved. www.redsec.com /usagencies.html   (1749 words)

Speakers He is also a director of Instinet Corporation, the electronic agency securities broker, which is majority-owned by Reuters. She led the government.s effort to examine privacy issues in the information age, resulting in congressional and agency hearings, proposed industry standards and increased government enforcement of laws protecting privacy. Josh specializes in mergers and acquisitions, securities and transactional work, primarily for private equity funds and their portfolio companies. www.siia.net /iis/2004/speakers.asp   (1749 words)

China's XinHua News Agency Deploys National News Network Using VideoTele.com's M2 Video Edge Devices Safe Harbor Statement under the Private Securities Litigation Reform Act of 1995 for Tut Systems, Inc.: This press release contains certain "forward-looking" statements within the meaning of the Private Securities Litigation Reform Act of 1995. Specifically, statements regarding M2's ability to meet the performance requirements of the XinHua News Agency are forward-looking statements within the meaning of the Safe Harbor. Issuers of news releases and not PR Newswire are solely responsible for the accuracy of the content. www.prnewswire.com /cgi-bin/stories.pl?ACCT=104&STORY=/www/story/02-10-2003/0001887907&EDATE=   (506 words)

SB 38 adopt the Uniform Securities Act, to repeal... A security for which a registration statement has been filed under the Securities Act of 1933 in connection with the same offering may be registered by coordination under this section. A reference in this Act to an agency or department of the United States is also a reference to a successor agency or department. A record filed under this Act or the predecessor act within five years preceding the filing of a registration statement may be incorporated by reference in the registration statement to the extent that the record is currently accurate. legis.state.sd.us /sessions/2004/bills/SB38enr.htm   (8364 words)

Securities and Exchange Commission Definition The primary federal regulatory agency for the securities industry, whose responsibility is to promote full disclosure and to protect investors against fraudulent and manipulative practices in the securities markets. The securities and Exchange Commission is an independent, quasi-judiciary agency. And the Division of Enforcement enforces the securities legislation and investigates possible violations. www.investorwords.com /4439/SEC.html   (8364 words)

China Securities Regulatory Comission The China Securities Regulatory Commission ("CSRC") has been established with the approval of the State Council of the People's Republic of China as the executive agency of the Securities Policy Committee of the State Council in the supervision and regulation of the national securities and futures markets in China. The purpose of this MoU is to promote investor protection and the integrity of the securities and futures markets by providing a framework for cooperation, including channels for communication, increased mutual understanding and the exchange of regulatory and technical information. The Treasury and the SIB on one hand, and the CSRC on the other, recognising the increasing international activities in the securities and futures markets and the corresponding need for mutual cooperation between the relevant national authorities have, after friendly consultation, reached the following understanding. www.hm-treasury.gov.uk /documents/financial_services/securities_and_investments/fin_sec_china.cfm   (1173 words)

NASAA • Ask NASAA • NASAA History • Role of State Securities Regulators • NASAA Board of Directors • CRD & IARD • Directory of Securities Laws & Regulations • Uniform Forms www.nasaa.org   (1173 words)

Tuke Insurance Agency - Financial Services The aforementioned material is a product and service listing and is not intended to be an offer for the sale of securities. Tower Square is not affiliated with the Charles H. Tuke Agency, Inc. Thomas G. Tuke, CPCU, is licensed in New York and New Jersey for the sale of securities products. www.tukeagency.com /financial.html   (1173 words)

Church Participation in Business Zions Securities Corporation manages properties owned by the Church, primarily in the downtown area of Salt Lake City, including the ZCMI Mall, the Eagle Gate Plaza office tower, the Eagle Gate Apartments, the Gateway Condominiums, several other apartment buildings, and a number of parking facilities. Deseret News Publishing Company publishes Salt Lake City's afternoon daily, the Deseret News, and is a partner in the Newspaper Agency Corporation, which handles printing, advertising, and circulation for the two Salt Lake City dailies. At the beginning of 1990, major commercial businesses owned by the Church included Beneficial Development Company, Beneficial Life Insurance Company, Bonneville International Corporation, Deseret Book Company, Deseret News Publishing Company, Deseret Trust Company, Farm Management Company, Temple Square Hotel Corporation, Utah Home Fire Insurance Company, and Zions Securities Corporation. www.lightplanet.com /mormons/daily/business/Church_EOM.htm   (1173 words)

Section 15C -- Government Securities Brokers and Dealers When such a government securities broker or government securities dealer ceases to act as such it shall file with the appropriate regulatory agency a written notice that it is no longer acting as a government securities broker or government securities dealer. If the Commission finds that any registered government securities broker or registered government securities dealer is no longer in existence or has ceased to do business as a government securities broker or government securities dealer, the Commission, by order, shall cancel the registration of such government securities broker or government securities dealer. No government securities broker or government securities dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any government security in contravention of any rule under this section. www.law.uc.edu /CCL/34Act/sec15C.html   (1173 words)

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