Securities Underwriting: A Practitioner's Guide |
From inside the book
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Page 54
... broker - dealer will be a member of the underwriting syndicate or selling group . Conversely , rule 138 permits a broker - dealer to issue publications regarding non- convertible debt or nonconvertible , nonparticipating pre- ferred ...
... broker - dealer will be a member of the underwriting syndicate or selling group . Conversely , rule 138 permits a broker - dealer to issue publications regarding non- convertible debt or nonconvertible , nonparticipating pre- ferred ...
Page 171
... broker an amount of cash that is a percentage of the total purchase price of the stock , and the broker agrees to advance the balance of the purchase price upon the condi- tion that the stock purchased will be held by the broker as ...
... broker an amount of cash that is a percentage of the total purchase price of the stock , and the broker agrees to advance the balance of the purchase price upon the condi- tion that the stock purchased will be held by the broker as ...
Page 311
... broker - dealer . The purpose of this exception is to allow an underwriter to buy securities from a large security holder to add to the securi- ties of the issuer being distributed . The SEC staff interprets this provision to permit a ...
... broker - dealer . The purpose of this exception is to allow an underwriter to buy securities from a large security holder to add to the securi- ties of the issuer being distributed . The SEC staff interprets this provision to permit a ...
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Common terms and phrases
accountants acquired AICPA amendment amount apply balance sheet banking BarChris blue sky blue sky laws broker broker-dealer capital client comfort letter Commission convertible securities corporate debt defense directors disclosure discussion distribution due diligence effective date Exchange Act Release exempt expenses federal securities fees filed financial statements firm-commitment firms fiscal form S-3 forma income income statement incorporated by reference indenture initial public offering interim investment banker investors involved issue issuer letter of intent liability managing underwriter ment misstatement or omission NASD paragraph participation percent period preferred stock prior procedures prospectus provides public offering price purchase regis registration statement regulation S-X relating rule scienter SEC Securities Act SEC Securities Exchange SEC's section 11 Securities Act Release Securities Exchange Act securities laws shares shelf registration sold stabilizing statutory subsidiaries Supp supra note syndicate tion statement trading transaction unaudited underwriter's underwriting agreement violation