36 pages matching NASDAQ in this book
Results 1-3 of 36
What people are saying - Write a review
We haven't found any reviews in the usual places.
International Developments Excluding Developments
What Makes a Company a Good Candidate for Going
20 other sections not shown
accredited investors adopted affiliates amendment Bank broker-dealer CalPERS Commission company counsel company's compliance Corp corporate court dealer deemed derivative securities directors disgorgement distribution documents due diligence Eliminate enforcement action Exchange Act executive exemption federal securities laws filing financial statements firm Form fraud initial initial public offering insider insider trading institutional investors Interpretation investment involving issue issuer Item liability limited Litig market maker material MD&A million NASD NASDAQ NYSE officers option percent period permitted person Ponzi scheme prior private offering private placement prospectus proxy statement public offering purchase pursuant recommendations registration statement Regulation S-K regulatory Rel.No relating Release resale restricted securities revised Rule safe harbor SEC Doc SEC Docket SEC Lit.Rel.No SEC's Section 16 Securities Act selling stockholders shareholder proposal shares shelf registration significant solicitation staff statutory tender offers trading transactions underwriters violations voting Wal-Mart Wall St.J