Unlisted Security definition

Unlisted Security means a security not listed or quoted on a stock exchange
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Unlisted Security. ’ means any security other than a listed security.
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Unlisted Security means a Security not listed or quoted on any of the markets provided by NZX or other Recognised Securities Exchanges;
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Examples of Unlisted Security in a sentence

  • If any Unlisted Security or Reportable Securities or Funds owned by you are not held in accounts disclosed below (e.g., limited partnerships, hedge funds, private investments, etc.), please list them here.

  • If an Access Person shall have acquired direct or indirect beneficial ownership of a Security of an issuer in a private placement transaction or of a Security which is an Unlisted Security, any subsequent decision or recommendation by such Access Person to purchase Securities of the same issuer for the account of an Investment Advisory Client shall be subject to an independent review by advisory personnel with no personal interest in the issuer.

  • If an Access Person shall have acquired direct or indirect beneficial ownership of a Security of an issuer in a private placement transaction or of a Security which is an Unlisted Security, such Access Person shall disclose such personal investment to the Personal Investment Committee prior to each subsequent recommendation to any Investment Advisory Client for which he or she acts in a capacity as an Access Person for investment in that issuer.

  • If an Access Person shall have acquired direct or indirect beneficial ownership of a Security of an issuer in a private placement transaction, of a Security which is an Unlisted Security or a Security in an IPO or limited offering, any subsequent decision or recommendation by such Access Person to purchase Securities of the same issuer for the account of an Investment Advisory Client shall be subject to an independent review by advisory personnel with no personal interest in the issuer.

  • A Broker's Note in respect of a transaction in a security other than a security listed on a recognised Stock Exchange will be endorsed "Unlisted Security".

  • If an Access Person or their Immediate Family shall have acquired direct or indirect beneficial ownership of a Security of an issuer in a private placement transaction or of a Security which is an Unlisted Security, such Access Person shall disclose such personal investment to the Personal Investment Committee prior to each subsequent recommendation to any Investment Advisory Client for which he or she acts in a capacity as an Access Person for investment in that issuer.

  • Company Secretary / CEO Copy to: [insert name of new R/TA] Annexure E2 (f) (For Unlisted Security) (In Case of CDC as Outsourced RTA of Companies already inducted as Participants) Date: The Chief Compliance and Risk OfficerThe Central Depository Company of Pakistan Limited CDC House, 99-B, Block “B”, S.M.C.H.S.Main Shahra-e-Faisal Karachi.

  • If an Access Person shall have acquired direct or indirect beneficial ownership of a security of an issuer in a private placement transaction or of a security which is an Unlisted Security, any subsequent decision or recommendation by such Access Person to purchase securities of the same issuer for the account of a Client shall be subject to an independent review by advisory personnel with no personal interest in the issuer.

  • If an Access Person or their Immediate Family shall have acquired direct or indirect beneficial ownership of a Security of an issuer in a private placement transaction or of a Security which is an Unlisted Security, any subsequent decision or recommendation by such Access Person to purchase Securities of the same issuer for the account of an Investment Advisory Client shall be subject to an independent review by advisory personnel with no personal interest in the issuer.

  • Share prices used to calculate returns were taken from the Stock Exchange Daily Official List (SEDOL).There are 2,061 IPOs between 1946 and 1986 in the sample, including 399 IPOs on the Unlisted Security Market (USM), a junior market established by the LSE in November 1980.


More Definitions of Unlisted Security

Unlisted Security means a security which is not a listed security.
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Unlisted Security means any Security not listed on the JSE Exchange; and
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Related to Unlisted Security

  • Listed Security means any security of the Company that is listed or approved for listing on a national securities exchange or designated or approved for designation as a national market system security on an interdealer quotation system by the National Association of Securities Dealers, Inc.

  • Listed Securities means any Shares, Share Options, stock, debentures, debenture stock or other securities for the time being issued by the Company and officially quoted by ASX;

  • Permitted Security means any Security:

  • Bid Security (BS) means Earnest Money Deposit / monetary or financial guarantee to be furnished by a bidder along with its tender.

  • Uncertificated Security shall have the meaning given such term in Section 8-102(a)(18) of the UCC.

  • Indexed Security means a Security the terms of which provide that the principal amount thereof payable at Stated Maturity may be more or less than the principal face amount thereof at original issuance.

  • Loaned Security means any “security” which is delivered as a Loan under a Securities Loan Agreement; provided that, if any new or different security shall be exchanged for any Loaned Security by recapitalization, merger, consolidation, or other corporate action, such new or different security shall, effective upon such exchange, be deemed to become a Loaned Security in substitution for the former Loaned Security for which such exchange was made.

  • Foreign market vehicle means any motor vehicle originally manufactured outside the United States,

  • Restricted Security has the meaning assigned to such term in Rule 144(a)(3) under the Securities Act; provided, however, that the Trustee shall be entitled to receive, at its request, and conclusively rely on an Opinion of Counsel with respect to whether any Note constitutes a Restricted Security.

  • Component Security means with respect to an Index, each component security of that Index.

  • Asset-backed security means a security that is primarily serviced by the cash flows of a discrete pool of mortgages, receivables or other financial assets, fixed or revolving, that by their terms convert into cash within a finite period and any rights or other assets designed to assure the servicing or the timely distribution of proceeds to securityholders;

  • Certificated Security The meaning specified in Section 8-102(a)(4) of the UCC.

  • London Stock Exchange means London Stock Exchange plc;

  • Related Security means, with respect to any Receivable:

  • Clearing Corporation Security means securities which are in the custody of or maintained on the books of a Clearing Corporation or a nominee subject to the control of a Clearing Corporation and, if they are Certificated Securities in registered form, properly endorsed to or registered in the name of the Clearing Corporation or such nominee.

  • Related Securities means any options or warrants or other rights to acquire Shares or any securities exchangeable or exercisable for or convertible into Shares, or to acquire other securities or rights ultimately exchangeable or exercisable for or convertible into Shares.