The Ontario Securities Commission is the largest securities regulator in Canada, tasked with administering and enforcing the province's securities laws.
The term 'Open' in the financial markets, covering both market opening and order status.
Get the scoop on Open-Market Transactions, where insiders trade securities without breaking the law – no jumping over fences required!
The OATS is a computerized regulatory system for tracking and auditing securities transactions, ensuring transparency and accountability.
An electronic list of buy and sell orders for a specific security organized by price level.
Order Imbalance: Understanding the Excess Buildup of Buy or Sell Orders in the Trading World
Understanding the electronic system that executes securities orders efficiently, cost-effectively, and with a bit of humor.
Understanding Original Face Value in Mortgage-Backed Securities
The Over-the-Counter (OTC) Market: A Decentralized Hub for Unlisted Securities
A regulated quotation service for OTC securities provided by FINRA, now ceased.
Where Stocks Fraud, Fantasies, and Fantasies Collide!
Understanding the intricacies of prepayment risk in fixed-income securities.
A marketplace for new securities where investors can buy directly from issuers.
Private Placement: The secret VIP party of the investment world, where only cool investors get in!
Understanding Prospectus - The Investment Blueprint That Holds Investor Secrets
A sophisticated investor who meets specific financial criteria and can trade restricted securities without SEC registration.
A Qualified Institutional Placement (QIP) is a regulatory mechanism allowing listed companies to raise capital by selling shares directly to Qualified Institutional Buyers without extensive regulatory requirements.
Definition and Insight into REMICs – Your Pathway to Understanding Mortgage-Backed Securities
A Registered Representative (RR) is a financial professional representing clients in investment and securities transactions while adhering to regulatory standards.
A primer on Regulation U and its role in secured margin trading.
A professional who investigates securities or assets to prepare informative reports to guide investment decisions.
A retail investor, also known as an individual investor, is a non-professional investor who buys and sells securities for personal accounts.
A humorous exploration of a financial tool used for short-term lending.
