United States Securities and Exchange Commission Decisions and Reports |
From inside the book
Results 1-3 of 71
Page 63
... accordance with the Service Agreements , services provided by NC Services to system companies are directly assigned , distributed , or allocated by activity , project , program , work order , or other appropriate basis . NC Services may ...
... accordance with the Service Agreements , services provided by NC Services to system companies are directly assigned , distributed , or allocated by activity , project , program , work order , or other appropriate basis . NC Services may ...
Page 195
... accordance with GAAS , Potts was required to consider : ( 1 ) the Third Standard of Field Work , directing that " [ s ] ufficient competent evidential matter is to be obtained through inspection , observation , inquiries , and ...
... accordance with GAAS , Potts was required to consider : ( 1 ) the Third Standard of Field Work , directing that " [ s ] ufficient competent evidential matter is to be obtained through inspection , observation , inquiries , and ...
Page 1195
... accordance with instructions furnished by the Commission staff , or by U.S. Postal money order , certified check , bank cashier's check , or bank money order , made payable to the Securities and Exchange Commission , which shall be hand ...
... accordance with instructions furnished by the Commission staff , or by U.S. Postal money order , certified check , bank cashier's check , or bank money order , made payable to the Securities and Exchange Commission , which shall be hand ...
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