United States Securities and Exchange Commission Decisions and Reports |
From inside the book
Results 1-3 of 74
Page 453
United States Government Printing Office. law judge determined that , on the basis of Lincoln's conviction for ... United States v . William F. Lincoln , 1 : 93 - CR - 506 ( N.D. Ga . filed Nov. 22 , 1993 ) . 2 Judgment in a Criminal Case ...
United States Government Printing Office. law judge determined that , on the basis of Lincoln's conviction for ... United States v . William F. Lincoln , 1 : 93 - CR - 506 ( N.D. Ga . filed Nov. 22 , 1993 ) . 2 Judgment in a Criminal Case ...
Page 667
United States Government Printing Office. Wolny's principal argument in this motion is that the May 20 Order ... United States Code ( " Code " ) is the legally correct version of the law.3 The official , permanent session publication for ...
United States Government Printing Office. Wolny's principal argument in this motion is that the May 20 Order ... United States Code ( " Code " ) is the legally correct version of the law.3 The official , permanent session publication for ...
Page 1030
United States Government Printing Office. Act are broad and encompass far more than the protection of investors . " The purposes include , for instance , " protect [ ing ] . . . the Federal taxing power , " 18 " insur [ ing ] the ...
United States Government Printing Office. Act are broad and encompass far more than the protection of investors . " The purposes include , for instance , " protect [ ing ] . . . the Federal taxing power , " 18 " insur [ ing ] 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