United States Securities and Exchange Commission Decisions and Reports |
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Results 1-3 of 74
Page 171
... March 1 , 1992 through at least September 23 , 1993 , Stoiber sold securities in the form of promissory notes to thirteen public customers without giving AIS prior written notification and receiving written approval from AIS to engage ...
... March 1 , 1992 through at least September 23 , 1993 , Stoiber sold securities in the form of promissory notes to thirteen public customers without giving AIS prior written notification and receiving written approval from AIS to engage ...
Page 922
... March 1993 , Meseck began receiving statements for the account . Meseck had not received any account statements since the account was opened . Although Meseck had made prior requests for the account statements , Kirkpatrick had ignored ...
... March 1993 , Meseck began receiving statements for the account . Meseck had not received any account statements since the account was opened . Although Meseck had made prior requests for the account statements , Kirkpatrick had ignored ...
Page 1237
... March 6 and March 25 , 1996 , Livent filed with the Commission amendments to the registration statement , signed by Drabinsky , Gottlieb , Topol and Eckstein , on Forms F - 1 / A . On or about March 29 , 1996 , Livent filed with the ...
... March 6 and March 25 , 1996 , Livent filed with the Commission amendments to the registration statement , signed by Drabinsky , Gottlieb , Topol and Eckstein , on Forms F - 1 / A . On or about March 29 , 1996 , Livent filed with the ...
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