Data Broadcasting Corp. (DBCC) Message Board

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Technology Stocks : Data Broadcasting Corp. (DBCC)

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To: esecurities(tm) who wrote (1530)	11/25/1998 11:10:00 PM
From: esecurities(tm)	Read Replies (1) of 5102

Regulation During the Waiting Period: [S170] Once the registration statement has been filed (October 18, 1998) with the S.E.C., but before the S.E.C. declares it to be effective [Oct 13-present) (so that the sale of securities pursuant to the statement may begin), the objective of regulation changes. Although actual sales of the securities are still not permitted [see SA S5(a)], underwriters [Alex Brown, Smith Barney, DLJ,..] may now arrange with brokers and dealers for their assistance in selling the issue to retail customers. In addition, both underwriters and dealers may condition the market at this time--i.e. locate potential buyers and solicit offers to purchase--so that when the registration statement becomes effective, the securities may be sold very rapidly..." source: ibid.

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