Securities in Registration
- The cutting room floor. Flaherty, Robert J. // Equities;Oct98, Vol. 46 Issue 7, p6
Focuses on matters relating to the United States stock market. Fred Kobrick's shopping list of outstanding small- and mid-cap stocks; `Equities' magazines coverages; Unintended consequence of the US Securities & Exchange Commission's mandated order handling trading rules to Nasdaq.
- In About-Face, Block Trades Soaring in '06. O'Connor, Colleen Marie // Investment Dealers' Digest;3/20/2006, Vol. 72 Issue 11, p8
The article reports on the 136% increase in block trading volume in the first quarter of 2006 over the same period in the previous year. Equity capital market professionals attributed the growth to the new offering guidelines issued by the U.S. Securities and Exchange Commission, as well as...
- HEARTLAND TO SELL NEARLY 7.5 MILLION SHARES. // CardLine;8/31/2007, Vol. 7 Issue 35, p38
The article reports on the selling by Heartland Payment Systems Inc. stockholders of nearly 7.5 million shares of existing common stock, according to a U.S. Securities & Exchange Commission filing on August 29, 2007. Private equity companies Greenhill Capital and LLR Equity Partners own more...
- SEC Clarifies Rule 415. Kleinmann, Jason; Patel, Nimish // Equities;Apr2007, Vol. 55 Issue 2, p97
The article focuses on the clarification made by the U.S. Securities and Exchange Commission (SEC) on its position and interpretation on Rule 415 which affects issuers of private investment in public equity (PIPE) transactions. It says that a registration statement is a material part of a PIPE...
- Diego's Saks Bet: Della Valle Ups Stake To 19.1%. Clark, Evan // WWD: Women's Wear Daily;10/22/2010, Vol. 200 Issue 85, p1
The article reports on the stock investment of Tod's SpA chief executive officer (CEO) Diego Della Valle in retailer Saks Inc. in the U.S. It highlights the regulatory filing with the U.S. Securities and Exchange Commission (SEC) that shows that Della Valle has become Saks' biggest shareholder....
- Securities in registration: Equity. // Investment Dealers' Digest;06/15/98, Vol. 64 Issue 24, p38
Focuses on a listing of proposed offerings for companies which have been registered with the United States Securities and Exchange Commission (SEC). Names of the companies; Business conducted by the companies; Dates issues were filed with the SEC; Managers of the issues.
- The road to hell. Neuman, Ray // Corporate Detroit;Nov94, Vol. 12 Issue 11, p48
Comments on violations of the United States Securities and Exchange Commission's Rule 16 covering the buying and selling of company stocks. Examination of transactions; Requirements; Insider information.
- SEC Regs in Wake of AIMR Guidelines? // Traders Magazine;Feb2003, Vol. 16 Issue 207, p12
Analyzes the guidelines on stock trading proposed by the American Association for Investment Management and Research. Provisions of the guidelines on best execution; Reaction of the U.S. Securities and Exchange Commission to the guidelines. INSET: A Closer Look at Best Execution.
- The SEC's Complicated Rules: Who will new order handling regs benefit? Tunick, Britt // Investment Dealers' Digest;7/30/2001, Vol. 67 Issue 30, pN.PAG
Presents information about stock order rules released by the U.S. Securities and Exchange Commission as of July 2001. Problems related to the rules faced by investors; Need for direct access brokerage space.