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Definition
| can only be entered as a on-sided market and by one market maker |
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Definition
| stabilizing bid with a penalty stipulation |
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Definition
| Series 7 or 62 and Series 55 |
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Definition
| market order or marketable limit order |
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Term
| active competitie market, prevailing market price for a markdown is: |
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Definition
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Term
| securities that have large open short positions at a registered clearing agency are : |
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Definition
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Definition
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Term
| Stabilizing bids placed at or below POP |
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Definition
| would not be released to the public |
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Definition
| can't be portfolio margined |
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Definition
| inside bid is same as inside offer |
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Term
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Definition
| currecny deposits designed to avoid currency reporting requirements |
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Term
| client has 6 years to submit a claim against an RR/firm |
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Definition
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Definition
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Term
| U/W syndicate can have member firms and nonmember b/d |
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Definition
| in exempt and foreign underwritings |
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Term
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Definition
| all sahres must be primary shares, form 147 must be filed 10 days prior to effective date |
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Term
| added responsibilites, # days to register: |
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Definition
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Term
| non-Nasdaq seucirites repoted through: |
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Definition
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Term
| stock acquired as compensation is not unreasonable if it does not exeed |
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Definition
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