SECURITIES IN REGISTRATION: EQUITY
- 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.
- Equity. // Investment Dealers' Digest;1/13/2003, Vol. 69 Issue 2, p75
Presents information about equities registered at the U.S. Securities and Exchange Commission. Information about company location and type of business; Stock prices of different companies.
- Equity. // Investment Dealers' Digest;02/08/99, Vol. 65 Issue 6, p59
Lists stock offerings that have been registered with the United States Securities and Exchange Commission (SEC) during the last half of 1998, but have not yet come to market including 24/7 Media Inc. and ABN AMRO CAP FUNDING I.
- Baffled By Best Execution! Chapman, Peter // Traders Magazine;Sep99, Vol. 12 Issue 157, p30
Focuses on the United States Securities and Exchange Commission's inspection on possible best execution violations in stock trading. Inspection of Southwest Securities' best-execution practices; Components of best execution practices; How broker dealers described the SEC inspection; Customer...
- Insider Trades. // Indianapolis Business Journal;10/23/2000, Vol. 21 Issue 32, p43
Presents stock purchases and sales reported to the United States Securities and Exchange Commission by stockholders of Indianapolis, Indiana.
- 'Deeply Concerned' SEC Studies Order Flow Arrangements. Hoffman, William // Traders Magazine;Nov2000, Vol. 13 Issue 174, p10
Reports that the United States Securities and Exchange Commission (SEC) is using a study of stocks to resolve concerns about internalization and payment for order flow. Information on the study; Percentage of customer orders routed to market centers that were not quoting the best price in the...