Rule 144a
Upstairs market
A network of trading desks for the major brokerage firms and institutional investors that
communicate with each other by means of electronic display systems and telephones to facilitate block trades ...
Rule 144a
Permits a limited distribution within the US of securities without registration with the SEC. Distribution is limited to professional investors of a specified standing known as qualified institutional buyers.
Rule 144a
Rule 415
Permits corporations to file a registration for securities they intend to issue in the future when market conditions are favorable. Shelf registration.
Rule 144a
SEC rule allowing qualified institutional buyers to buy and trade unregistered securities.
Rule 405
NYSE codification of "know your customer" rules, which require that a customer's situation is suitable for any investment being made.
Rule 144A: An SEC rule that provides an exemption from the registration requirements of the Securities Act of 1933 for certain securities sold to qualified institutional buyers.
Rule 144a
SEC rule allowing qualified institutional buyers to buy and trade unregistered securities.
Net present value rule
An investment is worth making if it has a positive NPV. Projects with negative NPVs should be rejected.
Rule 144a
Rule 14-d
Often used in risk arbitrage. Tender offers regulations and restrictions covering public tender offers and related disclosure requirements.
Rule 144a
Rule 405
NYSE codification of "know your customer" rules, which require that a customer's situation is suitable for any investment being made.
SEC Rule 144A, effective in 1990, allows firms to issue securities to qualified institutional buyers (QIBs) without having to register these securities.
HIGH YIELD DEBT - debt issued via public offering or public placement (Rule 144A) that is rated below i...
HIGH YIELD DEBT/JUNK BONDS - Fixed high rate tradeable debt which is usually unsecured.
(3) Is offered and sold pursuant to Securities and Exchange Commission Rule 144A,17 CFR 230.144, and rated investment grade or is the credit equivalent of investment grade; or ...
A depositary receipt can also be privately placed to Qualified Institutional Buyers (Rule 144A ADR).
Restricts solicitation of buyers to complete the sell order of an insider (unless the firm is already a buyer); signified by a flashing "E" on Quotron.
Rule 144a ...
Nonaffiliated persons would normally purchase restricted stock through a Regulation D offering or in a transaction subject to Rule 144A, Private Resales of Securities to Institutions. Subject to holding periods before resale.
 See also: Rule 144, Risk management, Saving, Mergers, Banks
  
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