United States Securities and Exchange Commission Decisions and Reports, V. 52, October 1, 1994 to May 27, 1997U.S. Government Printing Office, 1999 - 1359 pages |
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Page 894
... market maker's potential compensation . Market makers are on one or both sides of almost all trades on Nasdaq . Each issuer must have at least two market makers for its stock , but the average stock has eleven market makers . Some of ...
... market maker's potential compensation . Market makers are on one or both sides of almost all trades on Nasdaq . Each issuer must have at least two market makers for its stock , but the average stock has eleven market makers . Some of ...
Page 902
... market makers . Cooperating market makers acceded to these requests because of an expectation that the requesting market maker would reciprocate in the future . Such cooperative activity improperly influenced prices , often at the ...
... market makers . Cooperating market makers acceded to these requests because of an expectation that the requesting market maker would reciprocate in the future . Such cooperative activity improperly influenced prices , often at the ...
Page 904
... maker was typically expected to reveal the full extent of its customer's order when negotiating a trade with another market maker . Market makers also ... market makers share the customer's identity 904 SECURITIES AND EXCHANGE COMMISSION.
... maker was typically expected to reveal the full extent of its customer's order when negotiating a trade with another market maker . Market makers also ... market makers share the customer's identity 904 SECURITIES AND EXCHANGE COMMISSION.
Common terms and phrases
aff'd agreement Applicants Article III asserts Association of Securities broker broker-dealer BT Securities capital claims clients Commission Chairman LEVITT common stock compliance counsel County Pools customers December decision denied disclose District Committee Druz El Paso Entergy equitable principles EWGS fact failed Fair Practice FERC firm's funds Genexus GNMA hearing interest investment adviser investors issue June law judge LEVITT and Commissioners market maker markups member firm ment Merrill Lynch million misconduct municipal securities NASD found NASD Manual CCH NASD's Rules Nasdaq National Association NYSE offering Orange County Paine Webber PaineWebber penny stock person Petrantis principles of trade procedures purchase pursuant record registered representative REGISTERED SECURITIES ASSOCIATION rejected or sustained repurchase agreements request responsible retail Rules of Fair Section Section 10(b Securities Act Securities Dealers Securities Exchange Act shares statements supervision supervisor testified tion transactions Unterbach