United States Securities and Exchange Commission Decisions and Reports |
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Page 280
... decision were ever called into question . The theory articulated by the Division , if supported by the record , could provide a plausible claim that Respondents aided and abetted , and were a cause of , a violation of law . See Odette v ...
... decision were ever called into question . The theory articulated by the Division , if supported by the record , could provide a plausible claim that Respondents aided and abetted , and were a cause of , a violation of law . See Odette v ...
Page 958
... decision - making process . " Where such separation of functions are not scrupulously observed , courts do not hesitate to stop an agency from proceeding . " 12 15 U.S.C. ยง 78s ( e ) ( 1 ) ( A ) . 13 See U.S. Assocs . , Inc. , 51 S.E.C. ...
... decision - making process . " Where such separation of functions are not scrupulously observed , courts do not hesitate to stop an agency from proceeding . " 12 15 U.S.C. ยง 78s ( e ) ( 1 ) ( A ) . 13 See U.S. Assocs . , Inc. , 51 S.E.C. ...
Page 1097
... decision . He stated that he first became aware of the existence of the proceeding against him when his former attorney notified Van Alstyne , in November 1997 , that the attorney had read in a newspaper article that the NASD had ...
... decision . He stated that he first became aware of the existence of the proceeding against him when his former attorney notified Van Alstyne , in November 1997 , that the attorney had read in a newspaper article that the NASD had ...
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