- Rule 144 (US). // International Dictionary of Finance, 4th Edition;2003, p234
Information on the Rule 144 is presented. It refers to the U.S. Securities and Exchange Commission regulation affecting sales of stocks by controlling shareholders and holders of restricted stock.
- INSIDER TRADES. // Indianapolis Business Journal;10/24/2005, Vol. 26 Issue 33, p38
Presents companies purchasing and selling stocks that have been reported to the U.S. Securities and Exchange Commission.
- Market Insider. // New Orleans CityBusiness (1994 to 2008);11/3/2003, Vol. 24 Issue 19, p20
Presents the chart depicting the U.S. Securities and Exchange Commission filings of companies in Louisiana.
- Smaller firms hail loosened regulations. Theis, Laura // Long Island Business News (7/1993 to 5/2009);12/7/2007, Vol. 54 Issue 64, p7A
The article reports that the U.S. Securities and Exchange Commission has voted unanimously to adopt changes to Rule 144, which governs the holding and selling of restricted company securities. The author discusses the impact of the changes to Rule 144 on small public firms. According to the...
- Other People's Money. Flynn, John T. // New Republic;4/24/35, Vol. 82 Issue 1064, p311
Focuses on the protest made by Leonor F. Loree, vice president of Pennsylvania railroad, against the Securities and Exchange Commission on the salaries paid to the officers and managers of the Delaware and Hudson Co. Information that there are 515,000 shares of stocks in the Delaware and Hudson...
- The Value of the SEC's Accounting Disclosure Requirements. Benston, George J. // Accounting Review;Jul69, Vol. 44 Issue 3, p515
The Securities Exchange Act of 1934 are aptly referred to as "disdosure" statutes. This early, major New Deal legislation was enacted in the aftermath of the stock market "crash" of 1929 and in the depths of the Great Depression, as a remedy to the faults that many believed characterized the...
- FINANCINGS ROUNDUP. // BioWorld Today;12/1/2008, Vol. 19 Issue 232, p7
This section offers news briefs on financing of biotechnology firms. Arena Pharmaceuticals Inc. filed a registration statement with the U.S. Securities and Exchange Commission (SEC) to be able to sell up to 25 million shares of common stock. Helix BioPharma Corp. filed a Form 20-F registration...
- BEST EXECUTION. // Traders Magazine;Dec2004, Vol. 17 Issue 233, p8
Focuses on the examination of the U.S. Securities and Exchange commission if the biggest trading firms are obtaining best price for their retail clients. Total number of firms investigated; Concern of the regulators on the tendency of the rising internalization rates to compromise best execution...
- SEC Is Divided On Reg NMS. Bresiger, Gregory // Traders Magazine;Dec2004, Vol. 17 Issue 233, p12
Reports that the U.S. Securities and Exchange Commission (SEC) is still divided on the Reg NMS package of market structure reforms in securities trading. Comment of a lobbyist not to expect significant movement from SEC; Opinion of federal lawyers that SEC commissioners do not need the market...