TERMIUM Plus®
The Government of Canada’s terminology and linguistic data bank.
SECURITIES UNDERWRITER [3 records]
Record 1 - external organization data 2022-12-12
Record 1, English
Record 1, Subject field(s)
- Compartment - National Occupational Classification (NOC)
Record 1, Main entry term, English
- securities underwriter
1, record 1, English, securities%20underwriter
correct
Record 1, Abbreviations, English
Record 1, Synonyms, English
Record 1, French
Record 1, Domaine(s)
- Tiroir – Classification nationale des professions (CNP)
Record 1, Main entry term, French
- souscripteur - valeurs mobilières
1, record 1, French, souscripteur%20%2D%20valeurs%20mobili%C3%A8res
correct, masculine noun
Record 1, Abbreviations, French
Record 1, Synonyms, French
- souscriptrice - valeurs mobilières 1, record 1, French, souscriptrice%20%2D%20valeurs%20mobili%C3%A8res
correct, feminine noun
Record 1, Textual support, French
Record 1, Spanish
Record 1, Textual support, Spanish
Record 2 - internal organization data 2014-07-22
Record 2, English
Record 2, Subject field(s)
- Stock Exchange
- Banking
- Investment
Record 2, Main entry term, English
- firm underwriter
1, record 2, English, firm%20underwriter
correct
Record 2, Abbreviations, English
Record 2, Synonyms, English
- investment banker 2, record 2, English, investment%20banker
correct
- issuing house 1, record 2, English, issuing%20house
correct, Great Britain
- underwriter 3, record 2, English, underwriter
correct
- securities underwriter 4, record 2, English, securities%20underwriter
correct
Record 2, Textual support, English
Record number: 2, Textual support number: 1 DEF
The middleman between the corporation issuing new securities and the public. 5, record 2, English, - firm%20underwriter
Record number: 2, Textual support number: 1 CONT
The usual practice is for one or more investment bankers to buy outright from a corporation a new issue of stocks or bonds. The group forms a syndicate to sell the securities to individuals and institutions. Investment bankers also distribute very large blocks of stocks or bonds - perhaps held by an estate. Thereafter the market in the security may be over-the-counter, on a regional stock exchange, the American Exchange or the N.Y. Stock Exchange. 5, record 2, English, - firm%20underwriter
Record number: 2, Textual support number: 1 OBS
Compare with "best efforts underwriter" and "standby underwriter." 6, record 2, English, - firm%20underwriter
Record 2, French
Record 2, Domaine(s)
- Bourse
- Banque
- Investissements et placements
Record 2, Main entry term, French
- preneur ferme
1, record 2, French, preneur%20ferme
correct, masculine noun
Record 2, Abbreviations, French
Record 2, Synonyms, French
- preneuse ferme 2, record 2, French, preneuse%20ferme
correct, feminine noun
Record 2, Textual support, French
Record number: 2, Textual support number: 1 DEF
Personne physique ou morale, habituellement une maison de courtage de valeurs, qui, seule ou comme membre d'un syndicat financier, souscrit la totalité ou une partie d'une émission de valeurs mobilières et se charge de son placement auprès du public, selon les termes de la convention de prise ferme. 3, record 2, French, - preneur%20ferme
Record number: 2, Textual support number: 1 OBS
preneur ferme : terme publié au Journal officiel de la République française le 5 juin 2014. 4, record 2, French, - preneur%20ferme
Record 2, Spanish
Record 2, Textual support, Spanish
Record 3 - internal organization data 2011-10-25
Record 3, English
Record 3, Subject field(s)
- Investment
- Banking
Record 3, Main entry term, English
- securities underwriter
1, record 3, English, securities%20underwriter
correct
Record 3, Abbreviations, English
Record 3, Synonyms, English
- security underwriter 2, record 3, English, security%20underwriter
correct
Record 3, Textual support, English
Record number: 3, Textual support number: 1 DEF
... a person who, as principal, agrees to purchase securities with a view to the distribution of the securities or who, as agent for a body corporate or other person, offers for sale or sells securities in connection with a distribution of the securities, and includes a person who participates, directly or indirectly, in a distribution of securities, other than a person whose interest in the distribution of securities is limited to receiving a distributor's or seller's commission payable by a securities underwriter [Bank Act]. 2, record 3, English, - securities%20underwriter
Record 3, French
Record 3, Domaine(s)
- Investissements et placements
- Banque
Record 3, Main entry term, French
- souscripteur à forfait
1, record 3, French, souscripteur%20%C3%A0%20forfait
correct, masculine noun
Record 3, Abbreviations, French
Record 3, Synonyms, French
- souscripteur de valeurs mobilières 2, record 3, French, souscripteur%20de%20valeurs%20mobili%C3%A8res
correct, masculine noun
Record 3, Textual support, French
Record number: 3, Textual support number: 1 DEF
La personne qui, par son propre compte, accepte d'acheter des valeurs mobilières en vue d'une mise en circulation ou qui, à titre de mandataire d'une personne ou d'une personne morale, offre en vente ou vend des valeurs mobilières dans le cadre d'une mise en circulation. La présente définition vise aussi les personnes qui participent, directement ou indirectement, à une telle mise en circulation, à l'exception de celles dont les intérêts se limitent à recevoir une commission de souscription ou de vente payable par le souscripteur à forfait [Loi sur les banques]. 1, record 3, French, - souscripteur%20%C3%A0%20forfait
Record 3, Spanish
Record 3, Textual support, Spanish
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