United States Securities and Exchange Commission Decisions and Reports |
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Page 136
... Nasdaq " ) SmallCap Market ( " Nasdaq SmallCap " ) . The NASD found that RMI had failed to maintain either the required $ 1 minimum bid price or , in the alternative , a public float market value of $ 1 million and capital and surplus ...
... Nasdaq " ) SmallCap Market ( " Nasdaq SmallCap " ) . The NASD found that RMI had failed to maintain either the required $ 1 minimum bid price or , in the alternative , a public float market value of $ 1 million and capital and surplus ...
Page 141
... Nasdaq staff first notified RMI in April 1995 that the bid price for the Company's shares was below the $ 1 level for ten consecutive trading days . Thereafter , the Nasdaq staff monitored the bid price of RMI's shares on at least three ...
... Nasdaq staff first notified RMI in April 1995 that the bid price for the Company's shares was below the $ 1 level for ten consecutive trading days . Thereafter , the Nasdaq staff monitored the bid price of RMI's shares on at least three ...
Page 1177
... Nasdaq trader at Olde Discount Corp. As a Nasdaq trader , Jack G. Monopoli was responsible for making markets in certain securities traded on the Nasdaq Stock Market . Frank W. Schwarz , III , age 30 , resides in Royal Oak , Michigan ...
... Nasdaq trader at Olde Discount Corp. As a Nasdaq trader , Jack G. Monopoli was responsible for making markets in certain securities traded on the Nasdaq Stock Market . Frank W. Schwarz , III , age 30 , resides in Royal Oak , Michigan ...
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