...single equity securities, that are the subject of the Shad-Johnson Accord.29 The risks to mar28 See report pursuant to section 21 (a) of the Securities...regarding the NASD and the Nasdaq Market, Securities and Exchange Commission, Aug. 8, 1996 ("21(a) Report"). "Id. at 35. The Commission's 21(a) report reminded...

...Competitive, and Regulatory Challenges, Irwin, Chicago, 1-16. Securities and Exchange Commission (1996) Report Pursuant to Section 21 (a) of the Securities...of 1934 Regarding the NASD and the Nasdaq Market, August 8. Securities and Investments Board (1994) Regulation of the United Kingdom Equity Markets....

...(1994) (hereinafter the “Christie-Schultz Study”]. 5 See SEC. Report Pursuant to Section 21(a) of the Securities Exchange Act of 1934 Regarding the NASD and the Nasdaq Market (1996) [hereinafter the “NASD 21(a) Report”]. 6S¿ Proposed Rules on Order Execution Obligations,...

...Response. Brookfield, USA: Averbury Publications. United States Securities and Exchange Commission 1996. "Report pursuant to Section 21 (a) of the Securities...of 1934 regarding the NASD and the NASDAQ Market, August 8, 1996." Venture Economics 1994. "EVCA launches EASD to build Europe's new IPO market." January,...

...Force on Market Mechanisms, 102 Report of the Special Committee on NASD Structure and Governance, 86 Report Pursuant to Section 21 (a) of the Securities Exchange Act of 1 934 Regarding the NASD and the Nasdaq Market, 172 Reuters.com, 223 "Revised System for Small Lot...

...LEXIS 2037 at **l-2 (Oct. 23, 2001). The actual guidelines can be found in Report of Investigation Pursuant to Section 21 (a) of the Securities Exchange Act of 1934 and Commission Statement on the Relationship of Cooperation to Agency Enforcement Decisions, SEC Rel....

...forth guidelines for the segregation of the SROs' regulatory arms. w Report Pursuant to Section 21(a) of the Securities Exchange Act of 1934 Regarding the NASD and the NASDAQ Market (Aug. 8, 1996) ("21(a) Report") at 4. * Id. y Id. (citing Executive Summary of Report of the NASD Select...

...the ills of the NYSE. That medicine being good old-fashion 1 See Report Pursuant to Section 21 (a)of the Securities Exchange Act of 1934 Regarding the NASD and the NASDAQ Market, SEC, August 8, 19%. 1 Securities Exchange Act Release No. 37619A (September 6, 19%), 61 FR 48290 (September...

...traditionally filled with insiders and insider deals. I reasoned that any business model ' See Repeat Pursuant to Section 21 (a) of the Securities Exchange...of 1934 Regarding the NASD and the NASDAQ Market, SEC. August 8,19%. 2 Securities Exchange Act Release No. 37619A (September 6,1996), 61 FR 48290 (September...

...the activity of NYSE floor brokers "NASD is responsible for conducting oversight inspections of Amex. ^Report Pursuant to Section 21 (a) of the Securities Exchange Act of 1934 Regarding the NASD and NASDAQ Market, SEC Release No. 34-37542 (Aug. 8, 1996). 68More recently, NASDAQ has taken steps to...