United States Securities and Exchange Commission Decisions and Reports |
From inside the book
Results 1-3 of 81
Page 215
... Commission in 1946. * The Commission's authority to adopt and administer the Rule has been upheld by the federal courts including the Second Circuit Court of Appeals which found that the Rule " provides the Commission with the means to ...
... Commission in 1946. * The Commission's authority to adopt and administer the Rule has been upheld by the federal courts including the Second Circuit Court of Appeals which found that the Rule " provides the Commission with the means to ...
Page 219
... Commission's processes . " However , the issue is not one of negligence versus scienter . Rather , the issue is whether the individual has the professional fitness to continue to practice before the Commission . For example , there may ...
... Commission's processes . " However , the issue is not one of negligence versus scienter . Rather , the issue is whether the individual has the professional fitness to continue to practice before the Commission . For example , there may ...
Page 526
... Commission is to discriminate among acquisitions according to when the holding company came into existence . The Commission has not interpreted Section 11 ( b ) ( 1 ) or Section 10 ( c ) to limit a holding company formed after 1938 to ...
... Commission is to discriminate among acquisitions according to when the holding company came into existence . The Commission has not interpreted Section 11 ( b ) ( 1 ) or Section 10 ( c ) to limit a holding company formed after 1938 to ...
Contents
CONTENTS | 192 |
Members of the Securities and Exchange Commission II | 633 |
Table of Decisions and Reports citing Section of Acts | 652 |
Copyright | |
Common terms and phrases
Act Rel action aff'd agreement appeal Applicants asserts broker broker-dealer capital CBOE CBOT Century Energies Commission Commissioner Committee common stock compliance conduct customers dealer December decision denied determined disciplinary disclosure DJTA DJUA e prime electric engaged England Elec FERC filed findings firm Firm's funds futures contracts hearing holding company imposed interest investment adviser investors issue Kirkpatrick law judge margin market maker markups merger Merrill Lynch Meseck Monroe Parker NASD Rules NASD's Nasdaq NationsBank NationsSecurities NYSE offering operations Paine Webber participants person Potts proceeding proposed purchase pursuant record registered representative repurchase agreements request reset responsible Revcon sanctions SCCP scienter SEC Docket Section Section 10(b Securities Exchange Act securities laws Sensormatic shares South Beloit statements subsidiary Term Trusts testified trading transactions utility violation Wolny WRG's Zubkis