Securities Regulation: Selected Statutes, Rules and FormsWest Publishing Company, 2005 - Securities |
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Common terms and phrases
accepted accounting principles affiliate aggregate alternative trading system applicable asset-backed securities assets audit client broker or dealer cash class of securities Commission compensation convertible securities copy deemed defined in Rule described determination directors disclosed disclosure distribution document employee entity equity securities exemption Federal filed pursuant financial statements fiscal foreign Form 8-K free writing prospectus Gramm-Leach-Bliley Act hearing officer incorporated by reference information required Instructions to Item Investment Company Act issued market maker market risk material means national securities exchange number of shares offering price options participant partner partnership party period principal prior proceeding protection of investors purchase purposes pursuant to paragraph pursuant to Rule pursuant to section quotation reasonable registrant's registration statement Regulation S-K relating required by Item required by paragraph respect roll-up transaction Securities Act Securities Exchange Act small business issuer sold specified in paragraph subject company subsidiaries term thereof underwriter