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issuer

Question tag: issuer 183 Questions

0 Votes 1 Ans

Can a Canadian issuer filing annual reports on Form 40-F under the Multi-Jurisdictional Disclosure System be a “well-known seasoned issuer” under the definition in Rule 405?

annual Canadian disclosure filing form issuer multi-jurisdictional reports system

0 Votes 1 Ans

Does the minus sign in a rating symbol have negative connotations relating to the issuer’s performance or its debt-servicing capability?

connotations issuer minus negative PERFORMANCE rating relating symbol

0 Votes 1 Ans

Does a speculative grade rating mean that the issuer will default?

Default grade issuer mean rating speculative

0 Votes 1 Ans

Is it possible that not satisfied with the rating assigned by one rating agency, an issuer approaches another, in the hope of getting a better result?

approaches Hope issuer possible rating rating agency satisfied

0 Votes 1 Ans

Is the rating assigned for an instrument or for the Issuer Company?

COMPANY instrument issuer rating

0 Votes 1 Ans

I am currently using the Issuer Information System/Bulletin Board System (IIS/BBS) to submit my quarterly data. What is its relationship to EDI?

bbs bulletin board Currently Data IIS issuer quarterly submit system

0 Votes 1 Ans

In connection with floorplan ABS, may ineligible receivables from a dealer be transferred to the issuer along with the dealer’s eligible receivables for ease of administration by the servicer?

ABS connection Dealer EASE eligible floorplan ineligible issuer receivables transferred

0 Votes 1 Ans

For non-VFN ABS with controlled amortization periods, what amount counts toward an issuer’s limit?

ABS amortization controlled counts issuer limit non-vfn periods

0 Votes 1 Ans

Do ABS in controlled accumulation periods with bullet maturities after 2009 count toward an issuer’s limit?

ABS Accumulation bullet controlled issuer limit maturities periods

0 Votes 1 Ans

What can an issuer do to restore the display of quotes for its securities on otcmarkets.com once they have been blocked for spam or promotional activities?

activities blocked display issuer otcmarkets.com promotional quotes restore securities spam

0 Votes 1 Ans

What is the issuers role in a public offering?

issuer offering public

0 Votes 1 Ans

How will I know what the conversion deadlines are for both Citibank® Agency and Trust and the Issuer?

agency conversion deadlines issuer Trust

0 Votes 1 Ans

Is a listed foreign private issuer required to provide any Written Affirmations to the Exchange following its 2004 annual shareholders meeting?

affirmations exchange foreign issuer private written

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Can a foreign private issuer opt to comply with domestic corporate governance criteria?

comply corporate criteria domestic foreign Governance issuer opt private

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In the case of aliased assets, who gets charged – the issuer or the recipient?

aliased assets Case charged issuer recipient

0 Votes 1 Ans

Can an issuer participate in coordinated equity review with respect to some states but not all states in which it is seeking registration?

coordinated equity issuer participate registration respect review

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If the issuer selects only one merit or one disclosure state on the CER-1, will that state automatically be the lead state?

automatically disclosure issuer lead merit selects State

0 Votes 1 Ans

How do the issuer and the participating states know the identity of the lead states and when comments are due?

comments identity issuer lead

0 Votes 1 Ans

What is the issuers recourse in the event the participating states do not agree to a waiver of the coordinated review standards?

agree coordinated event issuer recourse review Standards waiver

0 Votes 1 Ans

Can any issuer offering equity securities participate in coordinated equity review?

coordinated equity issuer offering participate review securities

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