United States Securities and Exchange Commission Decisions and Reports |
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Results 1-3 of 79
Page 18
... basis for these predictions , and they were fraudulent . Even if the securities were less speculative , the record does not indicate that Roche had a basis to support such predictions . Roche acted recklessly , at a minimum , when he ...
... basis for these predictions , and they were fraudulent . Even if the securities were less speculative , the record does not indicate that Roche had a basis to support such predictions . Roche acted recklessly , at a minimum , when he ...
Page 74
... basis for finding a loss of substantial economies . " 55 The record indicates that the cost increases that would result from severance of the gas properties would satisfy , and in most instances exceed , those thresholds . On this basis ...
... basis for finding a loss of substantial economies . " 55 The record indicates that the cost increases that would result from severance of the gas properties would satisfy , and in most instances exceed , those thresholds . On this basis ...
Page 687
... basis for the recommendation . Rather , it alleged that Montano had failed to provide viewers with a " sound basis for evaluating " that recommendation . B. Former Article III , Section 35 ( d ) ( 2 ) ( B ) prohibits " [ r ] eference to ...
... basis for the recommendation . Rather , it alleged that Montano had failed to provide viewers with a " sound basis for evaluating " that recommendation . B. Former Article III , Section 35 ( d ) ( 2 ) ( B ) prohibits " [ r ] eference to ...
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