SECURITIES IN REGISTRATION: EQUITY
- Reg NMS Delays Specified. Bresiger, Gregory // Traders Magazine;Jun2006, Vol. 19 Issue 254, p8
The article reports on the United States Securities and Exchange Commission's announcement that the Regulation NMS trade-through rule will be phased in over a year from October 2006 to October 2007. The new deadlines were set following admissions that the original June 29, 2006 deadline was...
- Market Structure. // Traders Magazine;Mar2000, Vol. 13 Issue 164, p6
Discusses the problems in the securities market structure in the United States (US). Cause of the problems in the market; Information on the market models proposed by the US Securities and Exchange Commission; Reason for the stock price volatility.
- Real-Time Revolution. STEINERT-THRELKELD, TOM // Securities Industry News;3/22/2010, Vol. 22 Issue 6, p3
The article discusses the "T + 1 Business Case," issued by the Securities Industry Association. It explains the case of cutting the cycle for settling trades from three days to one day, allowing immediate payment of the stock sold and reduction of the settlement risk exposure. The article urges...
- Elite Pharmaceuticals Inc. // BioWorld Today;3/6/2012, Vol. 23 Issue 44, p4
The article reports on the filing of an S-1 by Elite Pharmaceuticals Inc. of Northvale, New Jersey with the U.S. Securities and Exchange Commission (SEC) seeking to raise 6.8 million U.S. dollars through a securities purchase agreement.
- SECURITIES IN REGISTRATION: EQUITY. // Investment Dealers' Digest;5/24/2004, Vol. 70 Issue 21, p54
Lists planned equity offerings that have been registered with the U.S. Securities and Exchange Commission but have not yet come to market as of May 24, 2004. Lumera; Newtek Business Services; Volterra Semiconductor; Cogent Communications Group; Estee Lauder Cos.; Hyland Software; Immunogen;...
- SECURITIES IN REGISTRATION: DEBT. // Investment Dealers' Digest;5/24/2004, Vol. 70 Issue 21, p55
Lists planned debt offerings that have been registered with the U.S. Securities and Exchange Commission but have not yet come to market as of May 24, 2004. CSFG Mortgage Securities; JCP&L Transition Funding; Wisconsin Public Service; Anworth Mortgage Asset; Equity One ABS; Savannah Electric and...
- Earnings Management: The Effect of Ex Ante Earnings Expectations. Payne, Jeff L.; Robb, Sean W.G. // Journal of Accounting, Auditing & Finance;Fall2000, Vol. 15 Issue 4, p371
SEC Chairman Arthur Levitt has recently expressed concerns about the use of earnings management to meet Wall Street earnings expectations set by analysts' forecasts. We investigate whether managers aim to "meet or beat" analysts' forecasts and examine the influence of analysts' forecast...
- Congressional Sources: Cox Will Sail Through. // Traders Magazine;Aug2005, Vol. 18 Issue 243, p20
Focuses on the nomination of legislator Christopher Cox as chairman of the U.S. Securities and Exchange Commission (SEC). Congressional lobbyists' opinion that the Democrats are willing to let Cox's nomination go through Congress with little debate; Democratic members of the SEC.
- Traders Told to Prepare for Reg NMS Despite Delay Until the First Quarter of 2007. Bresiger, Gregory // Traders Magazine;Jun2006, Vol. 19 Issue 254, p10
The article reports on the delay in the implementation of the United States Securities and Exchange Commission's (SEC) Regulation National Market System (NMS) into 2007. It suggests the need for trading executives to prepare for Regulation NMS. The article reports on the mixed message offered by...