United States Securities and Exchange Commission Decisions and Reports |
From inside the book
Results 1-3 of 82
Page 148
... Committee's decision on the day it was issued . The National Business Conduct Committee ( " National Committee " ) stayed Frey's appeal when , on January 6 , 1995 , Frey filed a bankruptcy petition under Chapter 7 of the United States ...
... Committee's decision on the day it was issued . The National Business Conduct Committee ( " National Committee " ) stayed Frey's appeal when , on January 6 , 1995 , Frey filed a bankruptcy petition under Chapter 7 of the United States ...
Page 603
... Committee ( " National Committee " ) , in sustaining the sanctions imposed by the District Business Conduct Committee ( " District Committee " ) , had highlighted certain alleged misconduct that was not charged in the NASD's complaint ...
... Committee ( " National Committee " ) , in sustaining the sanctions imposed by the District Business Conduct Committee ( " District Committee " ) , had highlighted certain alleged misconduct that was not charged in the NASD's complaint ...
Page 605
... Committee's refusal to view as mitigative Ialeggio's claim that he has offered to repay as any indication that the sanctions are excessive or oppressive . Ialeggio also urges us to overturn the sanctions because the National Committee ...
... Committee's refusal to view as mitigative Ialeggio's claim that he has offered to repay as any indication that the sanctions are excessive or oppressive . Ialeggio also urges us to overturn the sanctions because the National Committee ...
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