United States Securities and Exchange Commission Decisions and Reports |
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Page 230
... concerning any transactions or proposed transactions since January 1 , 1992 , " to which the Company . . . was or is to be a party and . . . which you and / or any of your associates have direct or indirect interest . " The term ...
... concerning any transactions or proposed transactions since January 1 , 1992 , " to which the Company . . . was or is to be a party and . . . which you and / or any of your associates have direct or indirect interest . " The term ...
Page 241
... concerning HSC's private placement . Furthermore , in early 1994 , Grace III sent both Grace , Jr. and Erhart a draft copy of a private placement memorandum , which discussed the agreement in principle and to which a copy of the ...
... concerning HSC's private placement . Furthermore , in early 1994 , Grace III sent both Grace , Jr. and Erhart a draft copy of a private placement memorandum , which discussed the agreement in principle and to which a copy of the ...
Page 559
... concerning the nature of the products being sold and the relationship of the involved entities to the products . Soon after NationsSecurities began operations , the OCC issued Banking Circular 274 to provide guidance to all national ...
... concerning the nature of the products being sold and the relationship of the involved entities to the products . Soon after NationsSecurities began operations , the OCC issued Banking Circular 274 to provide guidance to all national ...
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