Short-selling Activity in the Stock Market: The Effects on Small Companies and the Need for Regulation : Hearings Before the Commerce, Consumer, and Monetary Affairs Subcommittee of the Committee on Government Operations, House of Representatives, One Hundred First Congress, First Session, November 28, 29, and December 6, 1989, 4. sējumsU.S. Government Printing Office, 1991 - 852 lappuses |
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1.5. rezultāts no 100.
14. lappuse
... abusive practice , would then become more controllable . The market maker who has short sellers as clients sits in a unique position . He is allowed to leverage his borrowing at a sub- stantially higher percentage than his public ...
... abusive practice , would then become more controllable . The market maker who has short sellers as clients sits in a unique position . He is allowed to leverage his borrowing at a sub- stantially higher percentage than his public ...
24. lappuse
... abusive practice , would then become more controllable . The market maker who has short sellers as clients sits in a unique position . He is allowed to leverage his borrowings at a substantially higher percentage than his public ...
... abusive practice , would then become more controllable . The market maker who has short sellers as clients sits in a unique position . He is allowed to leverage his borrowings at a substantially higher percentage than his public ...
32. lappuse
... abusive short selling . Let us agree at the beginning , legitimate short selling is benefi- cial , legal , adds stability . Publications which assist shorts in expos- ing fraud perform a public service . In theory - and I say " in ...
... abusive short selling . Let us agree at the beginning , legitimate short selling is benefi- cial , legal , adds stability . Publications which assist shorts in expos- ing fraud perform a public service . In theory - and I say " in ...
35. lappuse
... abusive because they are not true . Several companies long since still in existence were said to be running out of cash and about to go bankrupt , including cash - rich SafeCard Services , Copy- Tele , and Thousand Trails . These rumors ...
... abusive because they are not true . Several companies long since still in existence were said to be running out of cash and about to go bankrupt , including cash - rich SafeCard Services , Copy- Tele , and Thousand Trails . These rumors ...
36. lappuse
... abusive shorting that must be stopped to restore public confidence . In theory , you borrow shares when you short , so if the float was only 100 shares the maximum you could legally short would be 100 shares . But this highly profes ...
... abusive shorting that must be stopped to restore public confidence . In theory , you borrow shares when you short , so if the float was only 100 shares the maximum you could legally short would be 100 shares . But this highly profes ...
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89 NASDAQ abusive short alleged American Stock Exchange analysts arbitrage Barron's article bear raid borrowed broker broker-dealer brokerage firms buy-in Carrington Carrisyn Chairman Clearing-Short Positions Commission's common stock company's CORP corporation dealer deliver delivery disclosure Doug Barnard effect equity exchange-listed Feshbach funds going index arbitrage investigation investment investors issuers issues lending manipulative market makers million Monetary Affairs naked short selling NASD NASDAQ securities NASDAQ stocks negative NYSE OTC market OTC REVIEW over-the-counter percent Pollack problems profit program trading proxy purchase question regulatory Release reporting rumors says Securities and Exchange Securities Exchange Act securities laws sell short sellers shareholders shares outstanding short interest short positions short sales short-selling short-selling activity sold short statement stock loan stock price story subcommittee tick test tion transactions Unioil uptick rule violations voting Wall Street Journal York Stock Exchange
Populāri fragmenti
429. lappuse - To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or...
236. lappuse - ... unconditional contract, binding on both parties thereto, to purchase it but has not yet received it; or (3) he owns a security convertible into or exchangeable for it and has tendered such security for conversion or exchange; or (4) he has an option to purchase or acquire it and has exercised such option; or (5) he has rights or warrants to subscribe to it and has exercised such rights or warrants: Provided, however, That a person shall be deemed to own securities only to the extent that he has...
698. lappuse - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange, "(a) To employ any device, scheme, or artifice to defraud...
441. lappuse - SEC moved to dismiss the complaint or, in the alternative, for summary judgment.
697. lappuse - No member or employee shall sell a security which he does not own, or the sale of which is consummated by the delivery of a security borrowed by or for such member's or employee's account.
587. lappuse - ... acceptances, or commercial bills) in contravention of such rules and regulations as the Commission shall prescribe as necessary or appropriate in the public interest or for the protection of investors to provide safeguards with respect to the financial responsibility and related practices of brokers and dealers including, but not limited to, the acceptance of custody and use of customers' securities, and the carrying and use of customers
213. lappuse - It was obvious in the statements made by the representatives of the New York Stock Exchange, the American Stock Exchange, and the National Association of Securities Dealers...
702. lappuse - It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of any such member...
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192. lappuse - Act of 1940, is directly or indirectly the beneficial owner of more than 5 per centum of such class shall, within ten days after such acquisition, send to the issuer of the security at its principal executive office, by registered or certified mail, send to each exchange where the security is traded, and file with the Commission, a statement containing...