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Paper certificates (definitive securities) or electronic records (book-entry securities) evidencing ownership of equity (stocks) or debt obligations (bonds).


A document; historically, a physical certificate but increasingly electronic, showing that one owns a portion of a publicly-traded company or is owed a portion of a debt issue. Securities are tradable. At their most basic, securities refer to stocks and bonds, but the term sometimes also refers to derivatives such as futures and options.




In general, any evidence of

an interest in corporate stock or stock rights or
an interest in any note, bond, debenture or other evidence of indebtedness issued by a government or corporation.
For certain tax purposes, however, the definition is more limited.
References in periodicals archive ?
At issue is how the SVO and regulators view hybrid securities.
can treat the securities as either debt or equity, or a combination of both--for example, 25% debt and 75% equity--dependIng on how the securities are structured.
It requires the auditor to design procedures to obtain reasonable assurance of detecting misstatements of assertions about derivatives and securities that, when aggregated with misstatements of other assertions, could cause the financial statements taken as a whole to be materially misstated.
For example, interest payments on a structured note may be based on two or more factors, such as one or more interest rates and the market price of certain equity securities.
The exemptions from the securities laws for banks were originally adopted in recognition of the comprehensive supervisory and regulatory scheme governing the activities fo banks.
The Federal Reserve has had extensive experience and has developed considerable expertise in addressing safety and soundness issues, including customer protection issues, arising from the securities activities of banks and their affiliates.
As China's financial market is opened step by step, the merger and restructuring in China's future securities industry will show the following tendencies: Firstly, mixed operation will become the mainstream.
2 Analysis of the Industry Policy of Chinas Securities Industry
Others disagree and believe the exchange is only the first step for accomplishing ultimate objective of reconstituting the stripped securities into the underlying debt instruments.
Chapter Nine offers an analysis of the development trends of China's securities brokerage market in terms of industry restructuring, the transforming business model and increasing foreign participation.
Lee, President and CEO of Midas Securities, "This development allows Korean securities companies to access U.
Metropolitan West Securities LLC, a firm specializing in securities lending and short-term fixed-income asset management, announced today that it will purchase the assets of Cantor Fitzgerald's securities lending operation.

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