United States Securities and Exchange Commission Decisions and Reports |
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Page 560
... Term Trust 2004 ( " Term Trust 2004 " ) ( collectively the " Term Trusts " ) . The Term Trusts were designed to generate , at least in their early years , competi- tive yields of between 1 % and 1.5 % above the yield on then - issued ...
... Term Trust 2004 ( " Term Trust 2004 " ) ( collectively the " Term Trusts " ) . The Term Trusts were designed to generate , at least in their early years , competi- tive yields of between 1 % and 1.5 % above the yield on then - issued ...
Page 561
... Term Trusts sales effort a success : 16,682,139 shares of Term Trust 2003 were sold during the August and September 1993 offering period for total proceeds of $ 166,821,390 . The shares were sold primarily by NationsSecurities ...
... Term Trusts sales effort a success : 16,682,139 shares of Term Trust 2003 were sold during the August and September 1993 offering period for total proceeds of $ 166,821,390 . The shares were sold primarily by NationsSecurities ...
Page 564
... Term Trusts . As a result , some of the registered representatives gave customers misleading information concerning such material facts as the composition of the Term Trusts , risks associated with the Term Trusts , and the stability of ...
... Term Trusts . As a result , some of the registered representatives gave customers misleading information concerning such material facts as the composition of the Term Trusts , risks associated with the Term Trusts , and the stability of ...
Contents
CONTENTS | 192 |
Members of the Securities and Exchange Commission II | 633 |
Table of Decisions and Reports citing Section of Acts | 652 |
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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