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Financial system / Securities Exchange Act / SuperDot / Order / New York Stock Exchange / Short / Floor broker / Broker-dealer / Stock market / Financial markets / Financial economics / Investment


Microsoft Word - 34-49502C.doc
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Document Date: 2004-09-17 16:46:55

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File Size: 65,76 KB

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City

Amsterdam / /

Company

VDMS / Albert Fried & Co. / Van der Moolen Holding N.V. / Hewlett-Packard5 Company / Exchange Automated Order Routing Systems / Philadelphia Investors Ltd. / The Walt Disney Company / Moolen Specialists USA LLC / Weiskopf Silver & Co. / Merrill Lynch / Dean Witter Reynolds Inc. / Pfizer Inc. / Scholastic Corp. / Hewlett-Packard Company / New York Stock Exchange / Time Warner Inc. / Compaq Computer Corp / Nortel Networks Corporation / PFE / Eli Lilly & Co. / Unlawful Proprietary Trading / /

Country

Netherlands / United States / /

Currency

cent / USD / /

Event

M&A / Security Buyback / /

IndustryTerm

securities law violations / majority-owned subsidiary / securities law violation / order processing system / place reasonable systems / /

Organization

Securities and Exchange Commission / /

Person

Clarence Z. Wurts / Pierce Fenner / /

Position

officer / director / actor / broker / clerk / registered specialist / specialist / broker-dealer / floor captain / registered representative / dealer / second specialist / branch manager / /

Product

Super Designated Order Turnaround System / /

SocialTag