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Journal articles on the topic 'Securities transactions'

Author: Grafiati

Published: 28 May 2022

Last updated: 30 July 2025

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1

Hamijaya J, I. Wayan Surya. "Reconstruction of Over-the-Counter Transaction Settings Based on Legal Certainty." Jurnal Dinamika Hukum 19, no. 3 (2020): 710. http://dx.doi.org/10.20884/1.jdh.2019.19.3.2718.

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OTC (Over-the-Counter) Transaction has become one of the alternative choices that greatly benefits to the parties. Problems then arise when the law has been formed by the competent authority, but it creates legal uncertainty due to the regulations that regulate the same things but different contents. The OTC Transactions are regulated in Financial Services Authority Regulation Number 22 / POJK.04 / 2019 on Securities Transactions. It is stated that the OTC are included in securities transactions, of which transactions can be done both in the primary and secondary markets. However, the Regulati

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2

Lee, Hyung-Seok, and Ji-Sun Chung. "Researching income taxation of cryptocurrency." KOREAN SOCIETY OF TAX LAW 8, no. 2 (2023): 157–98. http://dx.doi.org/10.37733/tkjt.2023.8.2.157.

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Looking at the legal status of virtual assets in Korea, the Tax Act defines “virtual asset” as an electronic certificate that has economic value and can be transacted or transferred electronically. The Tax Act defines “virtual asset” as an electronic certificate (including any rights related to it) that has economic value and can be transacted or transferred electronically. ) that can be transacted or transferred electronically as a thing with economic value, and whether it falls under the civil law is divided into positive and negative theories. The Supreme Court The Supreme Court considers i

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Wijaya, Debora Kezia, and Christine S. T. Kansil. "EFEKTIVITAS PERATURAN OTORITAS JASA KEUANGAN NOMOR 9/ POJK.04/2015 TAHUN 2015 TENTANG PEDOMAN TRANSAKSI REPURCHASE AGREEMENT BAGI LEMBAGA JASA KEUANGAN (STUDI KASUS TRANSAKSI REPO SAHAM BENNY TJOKROSAPUTRO TAHUN 2016)." Jurnal Hukum Adigama 2, no. 1 (2019): 432. http://dx.doi.org/10.24912/adigama.v2i1.5247.

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Effectiveness is a situation that shows how the achievement of something with both time and good result. Effectiveness of government regulation means that the regulators have succeed implementing and applying the regulation in society. The effectiveness of government regulation is also apparent from whether the objective of the regulation is sufficient or not. The Financial Services Authority has made the Repurchase Agreement Transaction Regulation in 2015, which known as Financial Services Authority Regulation Num. 9/POJK.04/2015 Concerning Guideline of Repurchase Agreement Transaction for Fi

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4

Van Houtte, H. "Arbitration Involving Securities Transactions." Arbitration International 12, no. 4 (1996): 405–14. http://dx.doi.org/10.1093/arbitration/12.4.405.

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5

Попов and Alexey Popov. "Tax Accounting of Securities Transactions: Features, Problems and Solutions." Economics 4, no. 3 (2016): 21–24. http://dx.doi.org/10.12737/18959.

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The article is devoted to the peculiarities of the recognition and measurement of income and expenses from operations with securities in order to form the tax base for income tax. Regulatory concept and types of securities are considered. The general provisions of the formation of financial results from operations with securities for tax purposes are formulated. The features of the valuation of securities at their initial recognition the acquisition cost is expressed in rubles and foreign currency. Principles of income and cost estimates for listed and

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6

DERZAEVA, Guzel’ G. "Foreign practices of generating information on transactions with sukuk securities." International Accounting 28, no. 4 (2025): 81–96. https://doi.org/10.24891/ia.28.4.81.

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Subject. This article examines foreign practices in generating information on transactions with Islamic sukuk securities by Islamic financial organizations. Objectives. The article aims to identify the possibilities of using foreign practices of generating information on transactions with sukuk securities for Russian partner financing organizations. Methods. For the study, I used analysis and synthesis, comparison, as well as logical and systems approaches. The article analyzes the financial statements of a number of Islamic financial organizations disclosing information on transactions with s

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Vinner, E. R. "Criminal Liability for Illegal Securities Transactions." Actual Problems of Russian Law 16, no. 1 (2021): 181–88. http://dx.doi.org/10.17803/1994-1471.2021.122.1.181-188.

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The paper analyzes the most common typical forms of infringements and the main aspects of liability for illegal securities transactions provided for by the criminal legislation of the Russian Federation and foreign countries. The author refers to such typical infringements as counterfeit of securities; counterfeit securities usage (regardless of their issuers); issue (emission) of securities carried out in prohibited ways or in violation of the requirements established by law; introduction of illegally issued securities into circulation; violation of the established order of circulation (illeg

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8

Wibowo, Andisa Sekarani, and Henni Wijayanti. "Transfer of Shares to Third Parties as an Event of Failure of Repo Transactions According to Pojk Number 9/Pojk.04/2015." Journal of Social Research 2, no. 3 (2023): 616–31. http://dx.doi.org/10.55324/josr.v2i3.704.

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According to Article 1 number 1 of POJK No. 9/POJK.04/2015, the Repurchase Agreement Transaction hereinafter referred to as the Repo Transaction, is a contract to sell or buy securities with the promise of buying or selling again at a predetermined time and price. The essence of a repo transaction, that is, the Seller can buy back the securities he has sold to the Buyer at the price and at the specified time. However, such securities have often been sold by the Buyer to a Third Party before the expiration of the repurchase period. In this journal research, the author uses a case approach with

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Lukov, V. "The Device of the World Exchange Infrastructure. New Challenges for the Russian Market." Scientific Research and Development. Economics of the Firm 11, no. 2 (2022): 39–45. http://dx.doi.org/10.12737/2306-627x-2022-11-2-39-45.

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The article is devoted to the problems of mutual settlements with the international central depository, which provides liquidity to the vast majority of foreign securities held by private and institutional investors, residents of the Russian Federation. The paper gives a description of the modern design of the exchange infrastructure of the Russian market. Methodical research tools: analysis of normative legal acts and resolutions, methodological instructions of the national settlement depository. As the study showed, the interests of Russian investors who make transactions with foreign securi

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K.V., Kazhaev, and Zalavskaya O.M. "LEGAL ASPECTS OF THE SPECIFICITY OF TRANSACTIONS WITH SECURITIES IN THE RUSSIAN FEDERATION." ИННОВАЦИОННЫЕ НАУЧНЫЕ ИССЛЕДОВАНИЯ 2022. 12-4(24) (January 4, 2023): 117–25. https://doi.org/10.5281/zenodo.7503271.

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In this article, the author analyzes the special scientific literature and current regulations devoted to the study of the nature of the right to all types of securities, paying special attention to the moment of the emergence of the right to securities, as well as the order of the emergence of the right to securities in accordance with current Russian legislation governing all civil law relations related to securities. A brief analysis of legislative and theoretical and legal provisions is carried out. As well as the law enforcement practice of the judiciary, the publication discusses the leg

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Vinner, Eleonora Romanovna. "The Concept and Types of Crimes that form Illegal Transactions with Securities." Юридические исследования, no. 3 (March 2023): 40–50. http://dx.doi.org/10.25136/2409-7136.2023.3.40379.

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The author examines in detail such aspects of the topic as crimes that constitute illegal transactions with securities (Articles 185, 1851,1853, 1856 of the Criminal Code of the Russian Federation). The article substantiates the position according to which market manipulation and the misuse of insider information are only partially included in the system of crimes under consideration, since they relate to polyobject elements of crime, where various social relations (independent, non-subordinate) are combined into one norm of the law on criminal liability. A comparative analysis of the securiti

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Jordans, Roman. "Section 37h of the German Securities Trading Act and its Non–compliance with European Law." Journal of International Arbitration 25, Issue 5 (2008): 583–94. http://dx.doi.org/10.54648/joia2008045.

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German law pertaining to arbitration agreements with consumers, in particular in securities/futures transactions, has changed its approach several times over the last twenty years. Until a reform of the law in 1989, private investors could not participate at all in futures transactions. Following this law reform, German case law slowly accepted arbitration as an alternate method of dispute settlement in such transactions. However, in 2002, the German law on securities transactions was amended again and the legislature decided to restrain securities arbitration heavily by introducing section 37

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13

Bielecka-Dobroczek, Aleksandra. "MECHANIZM TRANSAKCJI PAPIERAMI WARTOŚCIOWYMI NA RYNKU REGULOWANYM." Zeszyty Prawnicze 5, no. 2 (2017): 117. http://dx.doi.org/10.21697/zp.2005.5.2.06.

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The Mechanism of Securities’ Transactions on the Regulated MarketSummaryThe article presents the variety of categories of securities and financial instruments in public trading, especially rich after the recent legal changes. The author attempts to analyze the mechanisms of securities’ transfer and transactions in public trading (stock exchange transactions) and their realization stressing their specific features. All contracts are built according to a certain standard, concluded through specialized broker agent on the different, they depend on the construction of the transferred instruments r

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14

Finnerty, John D., Jie Jiao, and An Yan. "Convertible securities in merger transactions." Journal of Banking & Finance 36, no. 1 (2012): 275–89. http://dx.doi.org/10.1016/j.jbankfin.2011.07.003.

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15

Holub, Dušan, and Ildikó Némethová. "Theoretical and Legal Reflections on Securities Dispositions." Studia Commercialia Bratislavensia 8, no. 31 (2015): 353–61. http://dx.doi.org/10.1515/stcb-2015-0034.

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Abstract Decreasing the number of materialised securities for the benefit of electronic securities has led to distinctions between commercial and legal opinions on securities transactions. Contemporary financial markets only trade electronic securities held in securities accounts. Securities law enhances adjustments to economic realities and not to legal principles. Discrepancies between economic realities and securities regulation should be resolved in order to find a balance between successfully functioning transactions of electronic securities and legal schemes which are based on transfers

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16

Egorova, I. "Some Issues of the Audit of Securities Transactions." Auditor 6, no. 7 (2020): 3–16. http://dx.doi.org/10.12737/1998-0701-2020-3-16.

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The article discusses the features of the audit of operations with securities, provides an overview of legal acts regulating the identification of securities and their accounting. Separate issues of audit of operations with securities for professional and non-professional participants of the securities market are considered, taking into account the application of the MOPA 1000 "Features of audit of financial instruments".

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17

Rizky Zainul Alam, Noraini Noraini, and Sumriyah Sumriyah. "Peran Surat Berharga Dalam Pengembangan Pasar Keuangan Dan Persiapan Investasi." Jurnal Relasi Publik 1, no. 2 (2023): 216–25. https://doi.org/10.59581/jrp-widyakarya.v1i2.364.

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This research is motivated by the effect of securities on financial market development and investment preparation. Securities have a role to determine how to develop financial markets. Talking about securities cannot be separated from trade transactions, because the birth of securities is intended to improve, facilitate and secure transactions in the world of commerce. Based on these problems, the authors conducted research on how securities can be used in developing financial markets and preparing for investment. This research method through the collection of case studies and data from previo

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18

Vygovskyy, Oleksandr. "Conflict of laws issues related to securities transactions." Informatologia 52, no. 1-2 (2019): 45–54. http://dx.doi.org/10.32914/i.52.1-2.5.

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In this article we examine the conflict of laws issues of cross-border securities transactions. It deals with the problems of attributing lex situs to securities held under direct holding system and conflict of laws problems related to intermediated securities. We analyze possible variants of the conflict of laws rule for the securities and formulate our own attitude towards identification of the most efficient solutions of conflict of laws issues

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Vygovskyy, Oleksandr. "Conflict of laws issues related to securities transactions." Media, culture and public relations 10, no. 1 (2019): 57–66. http://dx.doi.org/10.32914/mcpr.10.1.6.

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In this article we examine the conflict of laws issues of cross-border securities transactions. It deals with the problems of attributing lex situs to securities held under direct holding system and conflict of laws problems related to intermediated securities. We analyze possible variants of the conflict of laws rule for the securities and formulate our own attitude towards identification of the most efficient solutions of conflict of laws issues.

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20

Atkins, Allen B., and Edward A. Dyl. "Stock price volatility, transactions costs and securities transactions taxes." Managerial and Decision Economics 18, no. 7-8 (1997): 709–18. http://dx.doi.org/10.1002/(sici)1099-1468(199711/12)18:7/8<709::aid-mde860>3.0.co;2-0.

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21

Barreras, Bryan L., Barbara M. Goodstein, and Kevin C. McDonald. "Hague Securities Convention goes into effect in the United States." Journal of Investment Compliance 18, no. 4 (2017): 72–77. http://dx.doi.org/10.1108/joic-08-2017-0047.

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Purpose To explain the Hague Securities Convention in the context of secured financing transactions in the US and to discuss the implications of the Convention on new and existing transactions, as well as on market practice going forward. Design/methodology/approach This article provides a broad overview of the Hague Securities Convention and the impact of the Convention’s choice of law rules on secured financing transactions in the US involving intermediated securities, including how this deviates from previously applicable laws (such as the Uniform Commercial Code), and provides practical co

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22

Tutuianu, Ion. "SECURITIES INTERMEDIARIES." STUDIES AND SCIENTIFIC RESEARCHES. ECONOMICS EDITION, no. 13 (December 17, 2008): 109. http://dx.doi.org/10.29358/sceco.v0i13.32.

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The utility of comercial intermediation is obvious and represents a result of the needs created in the comercial surroundings. Doing comercial transactions on larger and larger scales calls for the need of using intermediaries for enhancing and improving the activity of the economical agent. This way, intermediation appears in between opposite related subjects: the economical agents that offer goods and services, and on the other hand, the persons who need these things.

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23

Keijser, Thomas. "Non-intermediated Securities: A European View on the Draft UNCITRAL Model Law on Secured Transactions." European Company Law 12, Issue 1 (2015): 7–12. http://dx.doi.org/10.54648/eucl2015002.

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A major challenge for the drafters of the UNCITRAL Model Law on Secured Transactions would seem to be the coordination with EU legislation that is relevant to securities. In particular, the current text of the draft Model law does not reflect the fundamental distinction made in the EU Financial Collateral Directive between transactions involving securities that enhance liquidity in the financial markets and other types of securities, resulting in distinct legal regimes in the European Union.

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24

Hwang, Won-Yong, and Hyo-Kwan Kim. "A Proposal on the Functional Design of Option Derivatives for Blockchain-Based Security Token System." Korea Industrial Technology Convergence Society 30, no. 2 (2025): 47–59. https://doi.org/10.29279/jitr.k.2025.30.2.47.

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In 2024, the average daily transaction value in the domestic derivatives market increased significantly compared to the previous year. Although the option derivatives market is small, option derivatives play an important role in hedging the risk of underlying assets or maximizing profits. Security tokens based on the ERC-1400 standard are trading real world assets on the blockchain, and securities companies are preparing to launch a system ahead of the passage of related laws and regulations. This study proposes a design that increases the liquidity of token transactions by adding an option tr

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Muir, Dana, Junhai Liu, and Haiyan Xu. "The Future of Securities Class Actions against Foreign Companies: China and Comity Concerns." University of Michigan Journal of Law Reform, no. 46.4 (2013): 1315. http://dx.doi.org/10.36646/mjlr.46.4.securities.

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In Morrison v. National Australia Bank Ltd., the U.S. Supreme Court limited the application of U.S. securities fraud law in transnational situations. The Supreme Court noted that its decision was influenced by international comity considerations. In this Article, we evaluate the availability of class actions in China in cases involving alleged securities fraud. Because we find that the availability of those actions is too limited to fully protect U.S. shareholders, we argue that U.S. investors should be permitted to bring securities fraud class actions against non-U.S. companies whose securiti

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Faliuta, Andrii, Andriy Kovalyuk, and Olesya Irshak. "Financial institutions security on the business services market." Financial and credit systems: prospects for development 2, no. 13 (2024): 57–67. http://dx.doi.org/10.26565/2786-4995-2024-2-06.

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The system of guaranteeing the financial institutions security has been improved. Security management of a financial institution is the influence of management on the institution's activities in order to ensure security - such a state of the institution's functioning under which it will work stably, achieve its goals and effectively counter threats. Transactions whose safety is investigated are credit transactions, securities transactions, and investment transactions. The security stages of the credit process are demarcated: 1) preliminary аnalysis of the borrower; 2) documentation and issuanc

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RUDA, Oksana. "BANKING ACTIVITY ON THE UKRAINIAN STOCK MARKET." "EСONOMY. FINANСES. MANAGEMENT: Topical issues of science and practical activity", no. 5 (45) (May 2019): 126–33. http://dx.doi.org/10.37128/2411-4413-2019-5-14.

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The theoretical bases of realization and development of banking activity in the stock market are generalized. The specifics of the operations of commercial banks in the stock market, as well as the directions of their activities, are considered. Banks in the securities market act as issuers, investors, and professional participants. Bank securities transactions in economically developed countries bring over 30% of revenue and are a priority investment destination. In Ukraine, the portfolio of securities generally has a small, compared to lending, share in the assets of the bank. However, the o

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Kahn, Henry, Robert Welp, and Richard Parrino. "SEC staff expands relief from broker-dealer registration under US Securities Exchange Act for intermediaries in private M&A transactions." Journal of Investment Compliance 15, no. 2 (2014): 22–25. http://dx.doi.org/10.1108/joic-05-2014-0022.

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Purpose – To review the M&A Brokers “no-action” letter issued in February 2014 by the staff of the USA Securities and Exchange Commission that clarifies the circumstances in which intermediaries (M&A brokers) may receive transaction-based compensation for services provided in connection with sales of private companies without having to register and be regulated by the SEC as broker-dealers under the USA Securities Exchange Act of 1934. Design/methodology/approach – Examines the new SEC staff interpretative guidance on activities of M&A brokers in light of USA federal securities law

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Heliantono, Heliantono. "TRUE SALE ACCOUNTING ON SECURITIZATION IN INDONESIA." International Journal of Contemporary Accounting 1, no. 2 (2020): 99. http://dx.doi.org/10.25105/ijca.v1i2.6192.

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Asset securitization is one of the financing solutions. One application for the use of asset securitization is in the residential mortgage sector. Securitization in Indonesia so far has been discussed in terms of financial management and legal aspects. This article discusses about securitization in Indonesia in term of accounting perspective. The accounting aspects of securitization transactions are based on the occurrence or non-occurrence of the derecognition of the financial assets securitized (true sale in accounting). Asset securitization in Indonesia is carried out with the issuance of A

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Mamatov, Akmaljon Anvarjonovich. "THE ROLE OF COMMERCIAL BANKS IN THE SECURITIES MARKET." Journal of Central Asian Social Studies 02, no. 01 (2021): 170–76. http://dx.doi.org/10.37547/jcass/volume02issue01-a25.

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This article describes the role of commercial banks in the securities market, as well as the economic significance of investment transactions with securities, types of securities, a brief analysis and ways of development. It also provides recommendations on the position of commercial banks in the securities market and the development of the economy.

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Huang, Juliet H., James C. Burr, Richard A. Cosgrove, and Nathan H. B. Odem. "MSRB and FINRA issue joint notice cautioning broker-dealers and municipal advisors about bank loans." Journal of Investment Compliance 17, no. 3 (2016): 52–54. http://dx.doi.org/10.1108/joic-07-2016-0030.

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Purpose To alert lenders, broker-dealers and municipal advisors to a joint regulatory notice from the Municipal Securities Rulemaking Board (“MSRB”) and the Financial Industry Regulatory Authority (“FINRA”) regarding direct purchase or “bank loan” transactions. Design/methodology/approach Explains the MSRB and FINRA notice, why the notice was issued, what lenders should know about the notice, what broker-dealers and municipal advisors should know about the notice, and what MSRB rules could apply to bank loans. Findings Firms should determine whether state and local government obligations acqui

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Hardyanto, Benedictus. "Repurchase Agreement (REPO) Buyers’ Protection after the Issuance of the Regulation of the Financial Services Authority Number 09/POJK.04/2015." PADJADJARAN Jurnal Ilmu Hukum (Journal of Law) 06, no. 01 (2019): 109–27. http://dx.doi.org/10.22304/pjih.v6n1.a6.

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This paper aims to find out the Repurchase Agreement (REPO) buyers’ protection in the capital market, after the issuance of the Regulation of the Financial Services Authority Number 09/POJK.04/2015 on the Guidelines for Financial Services Institutions Repurchase Agreement Transactions (POJK REPO). REPO transaction is initially considered as loan transaction and lending securities instrument between two parties based on an agreement. Then, on a predetermined date, the same return on securities will be given at the agreed price. However, after the issuance of the POJK REPO, the REPO transaction

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Hardyanto, Benedictus. "Repurchase Agreement (REPO) Buyers’ Protection after the Issuance of the Regulation of the Financial Services Authority Number 09/POJK.04/2015." PADJADJARAN Jurnal Ilmu Hukum (Journal of Law) 06, no. 01 (2019): 109–27. http://dx.doi.org/10.22304/pjih.v6n1.a6.

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This paper aims to find out the Repurchase Agreement (REPO) buyers’ protection in the capital market, after the issuance of the Regulation of the Financial Services Authority Number 09/POJK.04/2015 on the Guidelines for Financial Services Institutions Repurchase Agreement Transactions (POJK REPO). REPO transaction is initially considered as loan transaction and lending securities instrument between two parties based on an agreement. Then, on a predetermined date, the same return on securities will be given at the agreed price. However, after the issuance of the POJK REPO, the REPO transaction

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Nhung, Nguyen Thi Hong, and Nguyen Thi My Hanh. "Overview on the legal position of cryptocurrency (Bitcoin) in some countries in the world - Orientation to build a legal framework for cryptocurrency in Vietnam." Science & Technology Development Journal - Economics - Law and Management 3, no. 2 (2019): 119–25. http://dx.doi.org/10.32508/stdjelm.v3i2.549.

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The article focuses on analyzing and commenting on the nature of cryptocurrency (typically Bitcoin) and the legal position of this cryptocurrency in Vietnam through comparison with countries like France (Europe) and Thailand in order to make a perfect recommendation for Vietnamese law on this issue. Accordingly, the paper shows that in France, cryptocurrency is considered a kind of asset, although the French law currently does not recognize the ability to pay in encrypted money for all transactions, though in fact, it can be converted into real money. In Thailand, cryptocurrency is seen as a t

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Grabowski, Wojciech, and Ewa Stawasz. "Programy skupu aktywów Europejskiego Banku Centralnego w dobie kryzysu zadłużeniowego w strefie euro." Ekonomia Międzynarodowa, no. 4 (January 1, 2013): 5–21. http://dx.doi.org/10.18778/2082-4440.04.01.

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Przedmiotem artykułu jest analiza skuteczności programów skupu aktywów, które Europejski Bank Centralny wprowadził w odpowiedzi na kryzys zadłużeniowy części gospodarek strefy euro – tj. programów Securities Markets Programme i Outright Monetary Transactions. W artykule badana jest trwałość efektów wprowadzenia tych dwóch programów, mierzonych zmianą rentowności obligacji skarbowych. Wykorzystując kryterium informacyjne Akaike, dochodzimy do wniosku, że oddziaływanie programu Out- -right Monetary Transactions było dłuższe niż programu Securities Markets Programme.

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NNONA, GEORGE C. "THE NIGERIAN INVESTMENT AND SECURITIES ACT: DELINEATING ITS BOUNDARIES IN RELATION TO THE REGISTRATION OF SECURITIES." Journal of African Law 50, no. 1 (2006): 24–46. http://dx.doi.org/10.1017/s0021855306000040.

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This article examines the requirement of the Nigerian Investment and Securities Act, 1999 (ISA) that securities be registered prior to being offered to the public, with a view to determining the limits (boundaries) of that requirement. It shows that the boundaries can be staked out along three dimensions: items excluded from the registration requirement because they are not caught by the definition of securities under the ISA; items that qualify as securities under the ISA's definition of that term but which are exempt from registration for various policy reasons (exempt securities); and items

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Yonge, William J. G. "An update on the EU securities financing transactions regulation." Journal of Investment Compliance 18, no. 1 (2017): 78–83. http://dx.doi.org/10.1108/joic-02-2017-0003.

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Purpose To provide an update and detailed explanation on the EU Regulation on Transparency of Securities Financing Transactions and of Reuse (“SFTR”). Design/methodology/approach Examines the SFTR, its key measures and requirements. Findings Concludes with a number of considerations and recommendations. For example, it advises managers of Undertakings for Collective Investment in Transferable Securities (UCITS) and alternative investment funds (AIFs) to prepare to disclose details of their use of securities financing transactions and total return swaps. Originality/value Offers information on

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Alain, Robert. "Le droit des valeurs mobilières et le retour des compagnies publiques au statut de compagnie privée." Les Cahiers de droit 20, no. 3 (2005): 539–82. http://dx.doi.org/10.7202/042328ar.

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This article examines the « going private » phenomenon as it has developed in the United States and Canada over the past few years as well as its implications for Quebec law. « Going private » transactions involve different means of corporate reorganization that allow a few controlling shareholders to eliminate, without adequate compensation, most other shareholders from further participation in a corporate body. Such transactions are of interest to those who study company law or securities law as the methods employed often go beyond the spirit of both. The author attempts to demonstrate the r

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Bertaut, Carol, and Ruth Judson. "Measuring U.S. Cross-Border Securities Flows: New Data and A Guide for Researchers." FEDS Notes, no. 2023-10-02 (October 2023): None. http://dx.doi.org/10.17016/2380-7172.3392.

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Understanding the effects of capital flows across countries depends critically on accurate and comprehensive data. For the U.S., data on cross-border securities holdings and transactions are collected through the TIC (Treasury International Capital) data system. As we have previously noted, it has long been difficult to reconcile the TIC data on securities holdings with the TIC S transactions data (see Bertaut and Tryon (2007) and Bertaut and Judson (2014, 2022)).

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Emilia and Afriapollo Syafarudin. "FINANCIAL PERFORMANCE PAPER, COMPLIANCE AND MARKET RESPONSE TO THE FINANCIAL STATEMENT AT THE PUBLICLY LISTED AND NON-PUBLICLY LISTED SECURITIES COMPANY." International Journal of Engineering Technologies and Management Research 6, no. 10 (2020): 11–23. http://dx.doi.org/10.29121/ijetmr.v6.i10.2019.456.

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The role of the capital market and financial institutions below it in the Indonesian economy will be increasingly important given the need for funds needed to maintain an increasingly rapid rate of economic growth. The purpose of this study is to analyze differences in financial performance, compliance and market reaction to the submission of financial statements to the open and closed securities companies for the 2013 – 2017 period using the comparative method used in this study is the Mann Whitney U Test and the Wilcoxon Rank Test. This research variable uses financial ratios including liqui

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Emilia and Syafarudin Afriapollo. "FINANCIAL PERFORMANCE PAPER, COMPLIANCE AND MARKET RESPONSE TO THE FINANCIAL STATEMENT AT THE PUBLICLY LISTED AND NON-PUBLICLY LISTED SECURITIES COMPANY." International Journal of Engineering Technologies and Management Research 6, no. 10 (2019): 11–23. https://doi.org/10.5281/zenodo.3497470.

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The role of the capital market and financial institutions below it in the Indonesian economy will be increasingly important given the need for funds needed to maintain an increasingly rapid rate of economic growth. The purpose of this study is to analyze differences in financial performance, compliance and market reaction to the submission of financial statements to the open and closed securities companies for the 2013 – 2017 period using the comparative method used in this study is the Mann Whitney U Test and the Wilcoxon Rank Test. This research variable uses financial ratios including

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Mathews, Nikiforos, and Jonas Robison. "An overview of the FINRA Rule 4210 margin amendments." Journal of Investment Compliance 18, no. 4 (2017): 31–35. http://dx.doi.org/10.1108/joic-08-2017-0056.

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Purpose To summarize for registered broker-dealers and their customers upcoming margin requirements for “to-be-announced” (TBA) transactions on mortgage-backed securities pursuant to recently-amended FINRA Rule 4210. Design/methodology/approach This article explains the various margin requirements that are expected to come into effect on June 25, 2018. A chart summarizing the applicability of margin requirements for various types of accounts is also provided. Additionally, the article addresses practical steps to bring Master Securities Forward Transaction Agreements (“MSFTAs”) governing relev

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TRẦN THỊ HẢI, LÝ, and THƯƠNG HUỲNH NGỌC. "Dispositon Effect – Evidence from Vietnamese Individuial Investors." Journal of Asian Business and Economic Studies 216 (April 1, 2013): 54–67. http://dx.doi.org/10.24311/jabes/2013.216.10.

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This paper aims to investigate whether or not the disposition effect exists in the Vietnam?s stock market, and if so, which factors influence that effect. The authors employ the transaction data, which is from June 1, 2010 through June 30, 2012, of 100 customers of a securities company. Within this period, there are 27,591 transactions which are worth VND2,204 billion. The results reveal that the willingness to sell bullish stocks is 8.5% higher than the willingness to sell bearish ones. Male investors are less affected by the disposition effect than females. Accounts with huge transaction val

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Kahn, R. Jay, and Matthew McCormick. "Proportionate margining for repo transactions." FEDS Notes, no. 2025-02-14 (February 2025): None. https://doi.org/10.17016/2380-7172.3722.

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The repurchase agreement (repo) market plays a central role in funding and leveraging securities positions, and sourcing securities. Traders in the repo market protect themselves from the default of their counterparties through margin collected via haircuts on repo transactions. Since the purpose of margin is to protect a firm from the default of a counterparty, when set appropriately these margins accurately reflect the risk and costs of counterparty default.1Recent research showing that haircuts on many Treasury repo transactions are low or zero has raised concerns that margining practices i

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Sokolovsky, M. V., and I. V. Tselikhina. "JUSTIFICATION OF RISK MANAGEMENT IN VIRTUAL SECURITIES TRANSACTIONS." Juvenis scientia, no. 11 (2018): 20–22. http://dx.doi.org/10.32415/jscientia.2018.11.05.

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The article explores the specific risks that accompany online securities transactions. Private investors are focused on speculative operations, long-term investments are unpopular. This increases the risk and forms the need for risk management. The article attempts to analyze the risk management system of virtual work of Internet brokers on the stock exchange. The emphasis has been shifted specifically to private investment, since this block is one of the most promising for the development of the securities market at the present stage. The purpose of risk management in the system of Internet t

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Heindler, Florian. "The law applicable to third-party effects of transactions in intermediated securities." Uniform Law Review 24, no. 4 (2019): 685–710. http://dx.doi.org/10.1093/ulr/unz043.

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Abstract The conflict-of-laws rules applicable to the third-party effects of transactions in intermediated securities have attracted a great deal of interest in legal practice and academia. The article reviews the current legal developments in the European Union (EU), the international trends (Geneva Securities Convention and Hague Securities Convention), and the challenges of technological innovation. The article proposes interpreting the category of conflict-of-laws rules applicable to the third-party effects of transactions in intermediated securities in a concise, short, functional, and ab

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Anwar, Zainul, Subaidi, and Subyanto Subyanto. "JUAL BELI SUKUK DI BURSA EFEK INDONESIA SURABAYA." Al-Hukmi : Jurnal Hukum Ekonomi Syariah dan Keluarga Islam 3, no. 2 (2022): 159–72. http://dx.doi.org/10.35316/alhukmi.v3i2.2318.

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Sukuk was an investment instrument that provides opportunities for Muslim and non-Muslim investors to invest in Indonesia.It could be used to build the nation's economy and create society welfare. The facts showed that the market would be very responsive to the sukuk issuance. Almost all sukuk was issued, was absorbed by the market, even in some cases caused excess demand. The sale and purchase of sukuk on the Indonesia Stock Exchange was carried out in four processes, from the account opening and order submissionstage, the order processing stage, the transaction stage, and the clearing,

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Smits, Martin, Roland Toppen, and Pieter Ribbers. "Improving Performance of Financial Securities Transactions Processes." Electronic Markets 8, no. 4 (1998): 26–30. http://dx.doi.org/10.1080/10196789800000052.

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Alisa Ahmad, Azlin, Norhoneydayatie Abdul Manap, and Nor Qamal Danial Mohd Safuan. "REGULATED SHORT SELLING IN BURSA MALAYSIA: EVALUATING THE USURY ISSUE." International Journal of Advanced Research 9, no. 01 (2021): 991–98. http://dx.doi.org/10.21474/ijar01/12380.

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Regulated short selling transactions is an alternative that was introduced by the Syariah Advisory Council (SAC), which is attached to the Securities Commission Malaysia, to implement short selling in Malaysia. Short selling is not permitted because it involves various Shariah-related issues, including usury, uncertainty (ghÃ„Ârar), gambling, speculation etc. Since short selling has advantageous in terms of liquidity and opportunities for investors to reap profit when the value of securities fall, hence, regulated short selling activities should be restructured so that it can be implemented w

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Anwar Anwar. "Mekanisme Pasar Sekunder dan Produk Investasi Pasar Sekunder." Inisiatif: Jurnal Ekonomi, Akuntansi dan Manajemen 4, no. 1 (2024): 241–49. https://doi.org/10.30640/inisiatif.v4i1.3522.

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As a source of finance for businesses in the form of firms and a way for the general public to invest, the capital market has become a crucial necessity in the modern economic period. The Indonesia Stock Exchange (IDX) is where shares are bought and sold on the secondary market. The buying/selling of shares and the transaction settlement process are the two primary steps in the secondary market securities trading system. This article seeks to identify secondary market investment products of Islamic securities case studies and to describe the technique of buying and selling transactions in the

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