行业分析资料

度聯令易律領聯年年易立聯年理不理易律年暴度不行1933年1934年SecuritiesActof1933易SecuritiesExchangeActof1934狀利量年年””年更行行立行行不匿不行行聯律年年易年年契年年年聯參年行年六年理1露不行不露不不不不不露露列狀行說行料說料行料EDGAR行行行降行年行行行行領利來行易立說1行類行類錄2錄行類不行non-reportingissuer1934年易1315(d)不行unseasonedissuer1934年易1315(d)不FormS-3FormF-3行行seasonedissuerFormS-3FormF-3行行well-knownseasonedissuer類行類FormS-3FormF-3行年7金流行10行2communicationactivity1933(Gun-jumping)5更行1933年(quietperiod)行行不不說40行說gun-jumping行列說說FreeWritingProspectus行不行行30行行不gun-jumping聯令利說利說33說說freewriting列行行參freewriting說行行行不列說狀例不penny說1933理說roadshows連行行說說freewriting說4說露不漏11行shelfoffering行non-shelfoffering說料19331111行takedown異5度shelfregistration更1933說漏行年更行兩年行行立行說說來更說列金7,500流行說說更列行更度率pay-as-you-go4行1934易行參1933料6說說1933說行參行說行行行Form10-K行1934易露行1934易露acceleratedfilers年年度了180FederalRegister75見年易6年易六年立理律易不行理不行立立理理易易不易行料說數年EDGAR臨理露露年易5不論行理料年廉行易露年更例論易行露易易行行易易不易行易參易理錄更易,NASD令律律不行度RegulationNMS度(NationalMarketSystem,NMS)更率年年易7InproposedRegulationNMS,theCommissionwouldrenumberand,insomecases,renamethecurrentNMSrules,andincorporateproposedRule600andtheproposednewrules.Whereapplicable,currentNMSruleswouldbeamendedtoremovethedefinitionswhichwouldbeconsolidatedinproposedRule600.TheproposedtitlesandnumberingoftherulesinproposedRegulationNMS,includingtheproposednewrules,appearbelow:•Rule600:NMSSecurityDesignationandDefinitions(replacesExchangeActRule11Aa2-1,whichtheCommissionisproposingtorescind,andincorporatesdefinitionsfromthecurrentNMSrulesandtheproposednewrules)•Rule601:DisseminationofTransactionReportsandLastSaleDatawithRespecttoTransactionsinNMSStocks(renumbersandrenamesExchangeActRule11Aa3-1,thesubstanceofwhichwouldbemodified)6理易例來易金連理利連路易立金不理易理行年行年例行識行不論行量易量行便見—•Rule602:DisseminationofQuotationsinNMSSecurities(renumbersandrenamesExchangeActRule11Ac1-1(“QuoteRule”),thesubstanceofwhichwouldremainlargelyintact);•Rule603:Distribution,Consolidation,andDisplayofInformationwithRespecttoQuotationsforandTransactionsinNMSStocks(renumbersandrenamesExchangeActRule11Ac1-2(“VendorDisplayRule”),thesubstanceofwhichwouldbemodifiedsubstantially);•Rule604:DisplayofCustomerLimitOrders(renumbersExchangeActRule11Ac1-4(“LimitOrderDisplayRule”),thesubstanceofwhichwouldremainlargelyintact);•Rule605:DisclosureofOrderExecutionInformation(renumbersExchangeActRule11Ac1-5,thesubstanceofwhichwouldremainlargelyintact);•Rule606:DisclosureofOrderRoutingInformation(renumbersExchangeActRule11Ac1-6,thesubstanceofwhichwouldremainlargelyintact);•Rule607:CustomerAccountStatements(renumbersExchangeActRule11Ac1-3,thesubstanceofwhichwouldremainlargelyintact);•Rule608:FilingandAmendmentofNationalMarketSystemPlans(renumbersExchangeActRule11Aa3-2,thesubstanceofwhichwouldremainlargelyintact);•Rule609:RegistrationofSecuritiesInformationProcessors:FormofApplicationandAmendments(renumbersExchangeActRule11Ab2-1,thesubstanceofwhichwouldremainlargelyintact);•Rule610:AccesstoPublishedBidsandOffers(proposednewrule);•Rule611:Trade-ThroughRule(proposednewrule);and•Rule612:MinimumPricingIncrement(proposednewrule).7隆暴露年年易來理理度離利理理利行拉論力數數年六六利度理立理立律列年理來臨年來金金領力滑論理行年例行數識見理類理年年列年行行不年易易易律理(GovernmentSecurities)聯年行(MunicipalBonds)紐聯行行數年8年立行(CorporateBonds)理理(SEC)年年易年聯(聯行理聯行)年聯年行年聯(FDIC)聯理(OTS)(OCC)行(MSRB)(1)1934年易(SecuritiesExchangeActof1934)(2)1970年(SecuritiesActAmend-mentsof1970)(SIPC)年99年契行行契不利年易金立利露狀略露金略11年例1996年理2,50012易金年年年年度力零力易令年年年年年聯理年年10