United States Securities and Exchange Commission Decisions and Reports |
From inside the book
Results 1-3 of 77
Page 114
... rules and procedures , failure to file necessary proposed rule changes with the Commission and , in the case of SCCP , violations of Regulation T. C. Background Pursuant to Section 19 ( g ) ( 1 ) of the Exchange Act , both SCCP and ...
... rules and procedures , failure to file necessary proposed rule changes with the Commission and , in the case of SCCP , violations of Regulation T. C. Background Pursuant to Section 19 ( g ) ( 1 ) of the Exchange Act , both SCCP and ...
Page 403
... rule . Former Rule 11 ( e ) further did not require the law judge to obtain written briefs or proposed findings and conclusions of law . While that rule provided that dispositive motions should generally be made in writing and ...
... rule . Former Rule 11 ( e ) further did not require the law judge to obtain written briefs or proposed findings and conclusions of law . While that rule provided that dispositive motions should generally be made in writing and ...
Page 470
... rule . Because PCX's restrictions on the use of hand - helds in PCX trading crowds were not imposed pursuant to a valid PCX rule , we must set aside the restrictions as not " in accordance with " PCX rules and order PCX to allow IB and ...
... rule . Because PCX's restrictions on the use of hand - helds in PCX trading crowds were not imposed pursuant to a valid PCX rule , we must set aside the restrictions as not " in accordance with " PCX rules and order PCX to allow IB and ...
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