Securities Activities definition

Securities Activities means any activities, functions or services (without regard to where such activities, functions or services actually occur) subject to any Law governing, regulating or pertaining to the sale, distribution or underwriting of securities or the provision of investment management, financial advisory or similar services.
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Securities Activities means “Professional Services” rendered in the offering or sale of any financial instrument, including but not limited to stocks and bonds or other financial investments, offered or sold to the public, or listed or traded on any national exchange or other organized securities or investment trading market.
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Securities Activities means any activity, function or service (without regard to where such activity function or service actually occurs) which, if undertaken or performed (i) in the United States would be subject to the United States federal securities Laws or the securities Laws of any state of the United States or (ii) outside of the United States within any other jurisdiction in the world, would be subject to any Law in any such jurisdiction governing, regulating or pertaining to the sale, distribution or underwriting of securities or the provision of investment management, financial advisory or similar services.
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Examples of Securities Activities in a sentence

  • See the instructions for this item and the Glossary entry for "Securities Activities" for further detail on accounting for investments in equity securities.

  • See the instructions for this item and the Glossary entry for "Securities Activities" for further detail on accounting for investments in equity securities.11.

  • See the instructions this item and the Glossary entry for "Securities Activities" for further detail on accounting for investments in equity securities.Dollar amounts in thousands7.

  • See the instructions for this item and the Glossary for "Securities Activities" for further detail on accounting for investments in equity securities.5. Includes all securities resale agreements in domestic and foreign offices, regardless of maturity.6. Institutions that have adopted ASU 2016-13 should report items 3.b and 11 amounts net of any applicable allowance for credit losses.7. Institutions that have adopted ASU 2016-13 should report in item 4.c the allowance for credit losses on loans and leases.

  • The institution purchasing the security typically pays the dealer a small margin that Securities Activities (cont.):approximates the actual loss in the security.

  • See the instructions for this item and the Glossary entry for "Securities Activities" for further detail on accounting for investments in equity securities.(11) Describe on Schedule HI, Memoranda item 8.

  • Gains Trading – Gains trading is characterized by the purchase of a security and the subsequent sale of the same security at a profit after a short holding period, while securities acquired for this Securities Activities (cont.):purpose that cannot be sold at a profit are typically retained in the available-for-sale or held-to- maturity portfolio.

  • See instructions for this item and the Glossary entry for "Securities Activities" for further detail on accounting for investments in equity securities.2. Report fixed-rate advances by remaining maturity and floating-rate advances by next repricing date.3. Report both fixed- and floating-rate advances by remaining maturity.

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  • See instructions for this item and the Glossary entry for "Securities Activities" for further detail on accounting for investments in equity securities1.


More Definitions of Securities Activities

Securities Activities means any of the Insured’s acts or omissions in relation to any security or to any activities or transactions covered in whole or in part by The Securities Act of 1933, The Securities Exchange Act of 1934, The Trust Indenture Act of 1939, The Investment Company Act of 1940,
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Securities Activities means any of the Insured’s acts or omissions in relation to any security or to any activities or transactions covered in whole or in part by The Securities Act of 1933, The Securities Exchange Act of 1934, The Trust Indenture Act of 1939, The Investment Company Act of 1940, The Investment Advisors Act of 1940, The Public Utility Holding Company Act of 1935, or other Federal Securities Law, or in relation to any purchase, sale or offering of any security to or from the public which is covered or claims to be covered by any State Blue Sky or Securities Law, or any Rules or Regulations issued pursuant to any of the aforementioned, or any amendments or replacements thereof.
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Related to Securities Activities

  • Activities has the meaning specified in Section 7.02(b).

  • High Risk Activities means activities where the use or failure of the Services would reasonably be expected to result in death, serious personal injury, or severe environmental or property damage (such as the creation or operation of weaponry).

  • Instrumental activities of daily living (IADL) means routine activities performed around the home or in the community and includes the following:

  • Business registration means a business registration certificate issued by the Department of the Treasury or such other form or verification that a contractor or subcontractor is registered with the Department of Treasury;

  • Securities Act means the Securities Act of 1933, as amended.

  • Wellness activity means an explicit program of an activity

  • Racketeering activity means to commit, to attempt to commit, to conspire to commit, or to solicit, coerce, or intimidate another person to commit:

  • Interscholastic Activities means athletic or non-athletic/academic activities where students compete on a school vs. school basis.

  • Instrumental activities of daily living or “IADL” means tasks consisting of housekeeping, laundry, shopping, transportation, medication management and meal preparation.

  • Extracurricular activities means: a voluntary activity sponsored by the school or local education agency or an organization sanctioned by the local education agency. Extracurricular activities include, but are not limited to, preparation for and involvement in public performances, contests, athletic competitions, demonstrations, displays, and club activities.