restricted securities


restricted securities
ценные бумаги с ограничениями на передачу
CORP акции, обычно выпущенные в рамках частного размещения (см. private placement), в отношении которых установлены ограничения на передачу; обычно подобные выпуски ценных бумаг бывают не зарегистрированы в Комиссии по ценным бумагам и биржам США в соответствии с Законом о ценных бумагах 1933 г., и следовательно, акции этих выпусков не могут быть переданы или проданы другим лицам без выполнения определенных условий (напр., регистрации выпуска), установленных законодательством штата и федеральным законодательством. Предупреждение о наличии подобных ограничений, называемое "легендой" (legend, stock legend), обычно печатается на сертификате акции или дается в отдельном письме (отсюда название letter stock, или lettered stock). До последнего времени подобные акции выпускались в США исключительно в виде сертификатов, однако в 2002 г. DTCC запущен пилотный проект по дематериализации ценных бумаг, имеющих ограничения на передачу
SYN:
ANT:
Текст Rule 144 см.
www.law.uc.edu/CCL/33ActRls/rule144.html

Англо-русский словарь терминов по депозитарному хранению и клирингу. . 2002-2009.

Смотреть что такое "restricted securities" в других словарях:

  • restricted securities — n. Securities acquired from the issuer in a transaction not open to the public and not available to the general public to purchase. The Essential Law Dictionary. Sphinx Publishing, An imprint of Sourcebooks, Inc. Amy Hackney Blackwell. 2008.… …   Law dictionary

  • restricted securities — The term used under Rule 144 for securities issued privately by the company, without the benefit of a registration statement. Restricted securities are subject to a holding period before they can be sold under Rule 144. Bloomberg Financial… …   Financial and business terms

  • restricted securities — Securities acquired directly or indirectly from an issuer, or from a person in a controlled relationship with the issuer (an affiliate ) in a transaction or chain of transactions not involving any public offering. Bader v. Fleschner, D.C.N.Y.,… …   Black's law dictionary

  • restricted security — see security Merriam Webster’s Dictionary of Law. Merriam Webster. 1996. restricted security …   Law dictionary

  • Restricted stock — Restricted stock, also known as letter stock or restricted securities, refers to stock of a company that is not fully transferable until certain conditions have been met. Upon satisfaction of those conditions, the stock becomes transferable by… …   Wikipedia

  • Securities Act of 1933 — Congress enacted the Securities Act of 1933 (the 1933 Act, the Truth in Securities Act or the Federal Securities Act , USStat|48|74, enacted 1933 05 27, codified at usc|15|77a et seq. ), in the aftermath of the stock market crash of 1929 and… …   Wikipedia

  • restricted subsidiary — USA This term has a number of meanings. In the context of: • Finance, a mechanism used in loan agreements to determine which subsidiaries of the borrower will be required to comply with the covenants, guaranty the loan and pledge collateral, and… …   Law dictionary

  • restricted stock — is stock purchased from the issuer or from a person in a controlled relationship to the issuer in a nonpublic or private transaction. The right to sell restricted stock is limited by provisions in the Securities and Exchange Act. American Banker… …   Financial and business terms

  • restricted — Placed on a list that dictates that the trader may not maintain positions, solicit business, or provide indications in a stock, but may serve as broker in agency trade after being properly cleared. Traders are so restricted due to investment bank …   Financial and business terms

  • Restricted Stock — Insider holdings that are under some other kind of sales restriction. Restricted stock must be traded in compliance with special SEC regulations. These regulations are outlined under Section 1244 of the Internal Revenue Code. Also referred to as… …   Investment dictionary

  • restricted balance — This balance type is used to block securities in the Party account in relation to elections relating to certain corporate actions. The holding is under the direct control of the system paying agent, who is the only one who can transfer securities …   Financial and business terms


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