SECURITIES IN REGISTRATION: EQUITY
- EQUITY. // Investment Dealers' Digest;4/4/2005, Vol. 71 Issue 13, p54
The article presents a list of planned new offerings that have been registered with the Securities & Exchange Commission of the U.S., but have not yet come to market. Deals that have been withdrawn are excluded. The list is broken out into two sections: equity and debt. Initial public offerings...
- DEBT. // Investment Dealers' Digest;4/4/2005, Vol. 71 Issue 13, p55
The article presents a list of planned new offerings that have been registered with the Securities & Exchange Commission of the U.S., but have not yet come to market. Deals that have been withdrawn are excluded. The list is broken out into two sections: equity and debt. Outstanding shelf...
- Capella Education Plans IPO, Raising Up To $86 Million. // Educational Marketer;5/2/2005, Vol. 36 Issue 13, p7
Reports on the move of Capella Education Co. to file with the U.S. Securities and Exchange Commission of its intention to go public with an initial public offering. Underwriters for the proposed offering; Company background; Increase in the revenue of the company.
- NewStar Files IPO. // Bank Loan Report;10/2/2006, Vol. 21 Issue 37, p3
The article reports on the announcement made by NewStar Financial Inc. regarding its registration statement filed in the U.S. Securities and Exchange Commission for its proposed initial public offering of its stocks in the securities market. NewStar Financial said that the proceeds from the...
- Win Some, Lose Some. Fitzgibbon Jr., John E. // Red Herring;4/16/2007, Vol. 4 Issue 14, p36
The article discusses the performance of the U.S. initial public offering (IPO) market in the year 2006-2007. According to the U.S. Securities and Exchange Commission reports, from April 1,2006, through March 30, 2007, bankers priced 202 IPOs and the average gain for all 202 IPOs was 25.8%....
- INSIDER INSIGHTS: Top Insider Trades 4/23/12. Moreland, Jonathan // Registered Rep Exclusive Insight;4/25/2012, p3
The article introduces a list of the top 10 mainly open-market insider purchases and sales filed at the U.S. Securities and Exchange Commission on April 23, 2012 as ranked by dollar value.
- Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, To Establish the Market Quality Program. O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;2/21/2013, Vol. 78 Issue 35, p12116
This article presents a notice of designation of a longer period for the U.S. Securities and Exchange Commission action on proposed rule change to establish the Market Quality Program.
- SEC Frets Over Option Marts' Quote Plans. Mehta, Nina // Traders Magazine;Jan2007, Vol. 20 Issue 262, p12
The article reports on the reaction of the Securities and Exchange Commission over the Options Marts' quote plans in the U.S. The regulator is unsure whether plans will reduce quote traffic as believed once some options are quoted in penny increments. These quote mitigation plans are a response...
- SEC Proposes Rules to Better Track Market Trades, Monitor Market Activity and Prevent Market Disruptions. Elifoglu, I. Hilmi; Fitzsimons, Adrian P.; Lange, Gerard A. // Bank Accounting & Finance (08943958);Aug/Sep2010, Vol. 23 Issue 5, p41
The article focuses on the new rules proposed by the U.S. Securities and Exchange Commission (SEC) for tracking market trades, monitoring market activity and preventing market disruptions. Under Section 11A (a) (3) (B) of the Securities Exchange Act of 1934, the new SEC- proposed Rule 6513 calls...