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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89 NASDAQ abusive short alleged American Stock Exchange analysts arbitrage bear raid borrowed broker broker-dealer brokerage firm buy-in Carrington Chairman Clearing-Short Positions Commission's common stock company's CONGRESS THE LIBRARY 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 NYSE OTC market OTC REVIEW over-the-counter percent Pollack problems 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-sale regulation 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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694. 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...
425. 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...
437. lappuse - SEC moved to dismiss the complaint or, in the alternative, for summary judgment.
693. 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.
612. lappuse - Honorable Doug Barnard, Jr. Chairman Subcommittee on Commerce, Consumer, and Monetary Affairs Committee on Government Operations House of Representatives Washington, DC 20515 Dear Mr. Chairman: This is in response to your letter of September...
235. lappuse - No member of a national securities exchange shall mark a sell order "long" unless (1) the security to be delivered after sale is carried in the account for which the sale is to be effected, or (2) such member is informed that the seller owns the security ordered to be sold and, as soon as is possible without undue inconvenience or expense, will deliver the security owned to the account for which the sale is to be effected.
583. 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
651. lappuse - prospectus" means any prospectus, notice, circular, advertisement, letter, or communication, written or by radio or television, which offers any security for sale or confirms the sale of any security...
285. 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...