June 2006
Investment Dealers' Digest;6/5/2006, Vol. 72 Issue 22, p46
Trade Publication
The article presents a list of securities firms that have been registered with the Securities and Exchange Commission before June 2006 but not yet engaged in equity deals including pharmaceutical business firm Alteon Inc., Internet service provider business Pacific Internet Ltd. and liquid methanol cell manufacturer Medis Technological Inc.


Related Articles

  • Maybe It Is Different This Time.  // Investment Dealers' Digest;6/4/2007, Vol. 73 Issue 22, p2 

    The author reflects on the condition of the U.S. stock market. Relative to a saying about leadership, he argues that Chinese regulators seem to make more sense than its U.S. counterparts. He identified risk as the word most associated with some financial arenas. He introduces the cover story of...

  • The Large Trader Rule. Giachetti, Thomas D. // Investment Advisor;Jan2012, Vol. 32 Issue 1, p91 

    The article offers the author's views regarding the rule from the U.S. Securities and Exchange Commission (SEC) on the large trader rule that collects information on SEC market participants who are engaged in large volume trading. The Large Trader Rule requires all qualifying large traders and...

  • Penny Pilot Expanded. Chapman, Peter // Traders Magazine;Dec2009, Vol. 22 Issue 303, p46 

    The article reports on the trading expansion of penny increments planned by the New York Stock Exchange (NYSE) Arca in the U.S. in September 2009. It mentions that NYSE's plan was approved by the Securities and Exchange Commission (SEC) and the said penny increments will be featuring less than...

  • Fast Quotes in the Fast Lane. Clary, Isabelle // Securities Industry News;7/12/2004, Vol. 16 Issue 25, p1 

    Reports on the proposed Regulation National Market System (NMS) reform of the U.S. Securities and Exchange Commission (SEC). Support for fast-quote exemption by the New York Stock Exchange (NYSE); Opposition of Instinet to the reform; Criteria of the proposed Regulation NMS by the SEC; Conflict...

  • NYSE Still Mulling Direct+ Stops. Clary, Isabelle // Securities Industry News;5/24/2004, Vol. 16 Issue 19, p1 

    Reports on the intention of the New York Stock Exchange to include the ability to occasionally freeze its auto-execution system in Direct+ rules. Information on the Securities Exchange Commission's proposed Regulation National Market System (Reg NMS) reform; Ways to solve problems related to...

  • The Big Board's OpenBook Finally Wins SEC Approval. Chapman, Peter // Traders Magazine;May2006, Vol. 19 Issue 253, p22 

    The article reports on the approval of the U.S. Securities and Exchange Commission (SEC) of the OpenBook market data feed proposed by New York Stock Exchange (NYSE). The new OpenBook, which prohibits market data vendors to mingle with the NYSE quotes, won the SEC approval when it responded to...

  • Notices: SECURITIES AND EXCHANGE COMMISSION.  // Federal Register (National Archives & Records Service, Office of;4/22/2014, Vol. 79 Issue 77, p22557 

    The article presents notices from the U.S. Securities and Commission (SEC). It announces the agency's closed meeting on April 24, 2014 in accordance with the U.S. Sunshine Act. It cites the scheduled meeting of the agency on April 16, 2014 for the proposed rule change to amend the Bylaws for the...

  • Nasdaq and NYSE Seek Retail Flow. Chapman, Peter // Traders Magazine;Jul2012, Vol. 25 Issue 338, p14 

    The article focuses on the Retail Liquidity Program proposed by the New York Stock Exchange trading platform to the Securities and Exchange Commission (SEC). Topics discussed include the concerns of SEC regarding the proposed program which includes its impact on the quote rule and the ban on...

  • Sources: Days Numbered for ITS. Clary, Isabelle // Securities Industry News;11/10/2003, Vol. 15 Issue 44, p1 

    Reports on the possible elimination of the intermarket trading system (ITS) network in the U.S. Reason for the creation of ITS in 1978; Purpose of the U.S. Securities and Exchange Commission in considering the elimination of the ITS; Response of the New York Stock Exchange and other markets to...


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics