stock-exchange rule of conduct

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• New York Stock Exchange — This article is about the stock exchange. For its parent company, see NYSE Euronext. New York Stock Exchange …   Wikipedia

• conduct — n *behavior, deportment Analogous words: act, deed, *action: demeanor, mien, deportment, *bearing conduct vb 1 escort, convoy, *accompany, attend, chaperon Analogous words …   New Dictionary of Synonyms

• Stock market — Financial markets Public market Exchange Securities Bond market Fixed income Corporate bond Government bond Municipal bond …   Wikipedia

• rule — {{Roman}}I.{{/Roman}} noun 1 what you can or cannot do, say, etc. ADJECTIVE ▪ basic, cardinal, first, fundamental, golden ▪ ground rules ▪ …   Collocations dictionary

• Rule 10b-5 — A regulation formally known as the Employment of Manipulative and Deceptive Practices that was created under the Securities Exchange Act of 1934. This rule deems it to be illegal for anybody to directly or indirectly use any measure to defraud,… …   Investment dictionary

• Net capital rule — The uniform net capital rule is a rule created by the U.S. Securities and Exchange Commission ( SEC ) in 1975 to regulate directly the ability of broker dealers to meet their financial obligations to customers and other creditors.[1] Broker… …   Wikipedia

• Australian Securities Exchange — ASX redirects here. For other uses, see ASX (disambiguation). Australian Securities Exchange …   Wikipedia

• Securities Exchange Act of 1934 — The Securities Exchange Act of 1934 is a law governing the secondary trading of securities (stocks, bonds, and debentures). The Act, 48 Stat. 881 (June 6, 1934), codified at usc|15|78a et seq., was a sweeping piece of legislation. The Act and… …   Wikipedia

• ImClone stock trading case — A U.S. Securities and Exchange Commission and U.S. Attorney probe of trading in the shares of ImClone Systems resulted in a widely publicized criminal case, which resulted in prison terms for media celebrity Martha Stewart, ImClone chief… …   Wikipedia

• SEC Rule 10b-5 — is one of the most important rules promulgated by the U.S. Securities and Exchange Commission, pursuant to its authority granted under the Securities Exchange Act of 1934. The rule prohibits any act or omission resulting in fraud or deceit in… …   Wikipedia

• 19c3 Stock — Any stock listed on an equity exchange after April 26, 1979. This classification allowed members of exchanges to trade these stocks off the board (not at the exchange). The classification of a 19c3 stock refers to SEC rule 19c3 (the regulation… …   Investment dictionary