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The Equity Markets
Causes and Consequences
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accredited investor acquired adopted affiliate alternative trading systems amendment apply arbitrage assets banks broker broker-dealer capital Circuit common stock controlling person Corp corporation dealer disclose disclosure system distribution effective equity securities Exchange Commission exemption F.Supp federal securities laws filed firm Form funds futures industry initial public offering institutional investors interest investment issue issuer limited market makers ment Merrill Lynch NASD NASDAQ NYSE offering price offers and sales participants penny stock portfolio proposed prospectus public offering purchase pursuant registration statement regulatory reporting resale restricted securities Rule safe harbor Schedule 13D SEC's section 4(1 Securities Act Release Securities and Exchange Securities Exchange Act securities markets sell shareholders shares shelf registration sold solicitation specific staff statute statutory Stock Exchange stock market supra note tender offer tion trading systems transaction underwriter violation York Stock Exchange