Going Public--the End of the Rainbow for a Small Business?: Hearing Before the Subcommittee on Government Programs and Oversight of the Committee on Small Business, House of Representatives, One Hundred Sixth Congress, First Session, Washington, DC, October 14, 1999, Volume 4 |
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accuracy or completeness Alex analysts Andersen & Company Arthur Andersen banker Banking Firms Managers Brown & Sons Chairman BARTLETT closed-end funds Co-Managers Commission communications CONGRESS THE LIBRARY Coopers & Lybrand corporate Cowen DANKBERG Deloitte & Touche directors disclosure Donaldson ELLISON employees entrepreneur equity Ernst & Young Excludes closed-end funds filing going public Goldman growth guarantee the accuracy Hambrecht & Quist initial public offering Investment Banking Firms investors IPO process KPMG Peat Marwick Legal Counsel Company Lufkin & Jenrette Manufacturing Market Makers Merrill Lynch MILLENDER-MCDONALD Montgomery Securities Morgan Stanley NASD NASD Regulation Nasdaq National Market Nasdaq Stock Market Offering Date Offering Market Value Offering Price Total Office Pers/Bus/Rep Svc Price Waterhouse private offering prospectus public company public market registration statement SBDC Securities Data sell shareholders shares small business issuers Smith Barney Inc Sonsini strategy trading underwriter Value Of Offering ViaSat
Popular passages
Page 51 - Established under authority granted by the 1938 Maloney Act Amendments to the Securities Exchange Act of 1934, the NASD is the largest self-regulatory organization for the securities industry in the world.
Page 211 - SO states, the District of Columbia. Canada. Mexico and Puerto Rico. In the United States, NASAA is the voice of the 50 state securities agencies responsible for grass-roots investor protection and efficient capital formation There is no denying we have moved from a nation of savers to a nation of investors.
Page 211 - The oldest international organization devoted to investor protection, the North American Securities Administrators Association, Inc., was organized in 1919.
Page 51 - Virtually every broker-dealer in the United States that conducts a securities business with the public is required by law to be a member of the NASD.
Page 51 - I would like to thank the committee for this opportunity to testify on the proposed Big Pine Lake project in Warren County, Ind.
Page 52 - ... electronic, screen-based securities market in the world. Founded in 1971 as the world's first all electronic stock exchange, it is the original online market, and the pioneer in e-commerce. Nasdaq today accounts for more than one-half of all equity shares traded in the Nation and, since January of last year, is also the largest stock market in the world in terms of dollar value of shares traded.
Page 60 - Venture capital is money provided by professionals who invest alongside management in young, rapidly growing companies that have the potential to develop into significant economic contributors.
Page 17 - I am from the Government and I am here to help you, but I really am.
Page 52 - The 1,500 member staff of NASDR is devoted exclusively to carrying out the NASD's regulatory and enforcement responsibilities. NASDR carries out its mandate from its Washington headquarters and 14 district offices located in major cities throughout the country. Through close cooperation with federal and state authorities and other self-regulators, overlap and duplication is minimized, freeing governmental resources to focus on other areas of securities regulation. NASDR rulemaking is a widely participatory...