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Securities

• Investment instruments such as stocks or bonds issued by corporations, governmental units, or other entities that offer investors ownership shares or creditor relationships.

 
 

Follow this link for all the terms related to securities.

 
 Embedded terms in definition
 Creditor
Instruments
Offer
Shares
 
 Referenced Terms
 Abandon: Refers to the decision not to exercise an option or, sometimes, a clause. It may also refer to the intentional or unintentional lack of use, maintenance or affirmation process about assets. These assets may include Securities, bank accounts, refunds, trademarks and so on. In such cases the property can go to a jurisdiction such as a state or federal government.

 Abs: See Asset Backed Securities.

 Account executive: Is the party who acts as an agent for his customer. The broker receives a commission as compensation. This person may also participate in spreads or other fees which generate revenue for the firm. This person is also known as an Associated Person (AP), Investment Executive (IE), Registered Representative (RR), Registered Customer Support Person or Securities Salesman. Brokers are required to be licensed according to product lines and states when required.

 Adjustable rate or floating rate preferred share arps: Preferred share whose dividend rate is tied to interest rates on specific government Securities.

 Advanced refunding: Is the technique of replacing one bond issue by another. This typically occurs when a municipality can borrow at more favorable terms than the outstanding issue. The new issue's proceeds are used to purchase government obligations which are held in escrow. The income and/or appreciation of these government Securities is then used to service the outstanding debt. The escrow may be held until the first call date or maturity of the initial bond issue. If the escrowed funds retire the original issue at the first call date then the issue is pre-refunded. This retirement and replacement process of debt is also known as defeasance.

 
 Related Terms
 

<< Secured short term financing Securities act of 1933 >>

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