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
... reason that this would impede the liquidity of the market . When a group acting in concert , or alone , acquires 5 percent of the outstanding stock in a company , they are required to file a form 13D notifying the financial world that ...
... reason that this would impede the liquidity of the market . When a group acting in concert , or alone , acquires 5 percent of the outstanding stock in a company , they are required to file a form 13D notifying the financial world that ...
22. lappuse
... reason that acting in concert or alone acquire 5 % of the outstanding stock in a company they are required to file a Form 13D notifying the financial world that this is their attention . a company worth Whether their intentions are for ...
... reason that acting in concert or alone acquire 5 % of the outstanding stock in a company they are required to file a Form 13D notifying the financial world that this is their attention . a company worth Whether their intentions are for ...
30. lappuse
... reason the shortage is never a problem is because of the fact that trades are continuously done , and there is the hope that eventually the system will balance out via some long sales . This might occur over time ; however , in the ...
... reason the shortage is never a problem is because of the fact that trades are continuously done , and there is the hope that eventually the system will balance out via some long sales . This might occur over time ; however , in the ...
34. lappuse
... reason this rule was put in is , the public was frightened by the volatility of the market , so I would like to see the uptick rule also go into program trading if you want to bring the public back . They are not going to go back if ...
... reason this rule was put in is , the public was frightened by the volatility of the market , so I would like to see the uptick rule also go into program trading if you want to bring the public back . They are not going to go back if ...
37. lappuse
... reason is , the SEC , for decades , has permitted short sellers to serve as unofficial policemen . Shorts are useful . However , that shouldn't mean a short's activity shouldn't be scrutinized as carefully as the upsiders ' are now ...
... reason is , the SEC , for decades , has permitted short sellers to serve as unofficial policemen . Shorts are useful . However , that shouldn't mean a short's activity shouldn't be scrutinized as carefully as the upsiders ' are now ...
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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...
287. lappuse - Short sales. (a) No person shall, for his own account or for the account of any other person, effect on a national securities exchange a short sale of any security (1) below the price at which the last sale thereof, regular way, was effected on such exchange, or (2) at such price unless such price is above the next preceding different price at which a sale of such...
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...