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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iv. lappuse
... Violations " by Michael V. Seitzinger , American Law Division , CRS , November 3 , 1989 . " Ownership of Securities Held for a Customer in a Street Name Account " by Michael V. Seitzinger , American Law Division , CRS , April 13 , 1990 ...
... Violations " by Michael V. Seitzinger , American Law Division , CRS , November 3 , 1989 . " Ownership of Securities Held for a Customer in a Street Name Account " by Michael V. Seitzinger , American Law Division , CRS , April 13 , 1990 ...
27. lappuse
... Violations of Securities Laws ... Bv Short Sellers Dear Bill : There have been too few attempts during the past several years to curb illegal short selling tactics in the Over The Counter market to the detriment of the NASDAQ system's ...
... Violations of Securities Laws ... Bv Short Sellers Dear Bill : There have been too few attempts during the past several years to curb illegal short selling tactics in the Over The Counter market to the detriment of the NASDAQ system's ...
28. lappuse
... Violations occur when short - friendly brokers do not bother to ascertain whether stock can be borrowed but rather ... violation artificially creates selling pressure in the market at a time when there weren't enough shares to meet the ...
... Violations occur when short - friendly brokers do not bother to ascertain whether stock can be borrowed but rather ... violation artificially creates selling pressure in the market at a time when there weren't enough shares to meet the ...
29. lappuse
... violations . There is 2. A second flagrang violation by short sellers is their pattern of selling Short Account Stocks . These are issues that are paid in full by customers , are not covered by any margin or stock loan agreement , and ...
... violations . There is 2. A second flagrang violation by short sellers is their pattern of selling Short Account Stocks . These are issues that are paid in full by customers , are not covered by any margin or stock loan agreement , and ...
49. lappuse
... violations , plus another $ 7 million for interference with operations . No matter what happens in court , the bear raid on Ask is classic proof that the mortician and his helpers can bury a young developing company . They attack in ...
... violations , plus another $ 7 million for interference with operations . No matter what happens in court , the bear raid on Ask is classic proof that the mortician and his helpers can bury a young developing company . They attack in ...
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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
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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...
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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...