United States Securities and Exchange Commission Decisions and Reports |
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Results 1-3 of 74
Page 537
... effects of the Mergers . All of Intervenors except the Wisconsin Federation of Cooperatives participated in the FERC proceedings . The proceedings focused upon the effect of the Mergers upon electric markets . 101 The FERC exhaustively ...
... effects of the Mergers . All of Intervenors except the Wisconsin Federation of Cooperatives participated in the FERC proceedings . The proceedings focused upon the effect of the Mergers upon electric markets . 101 The FERC exhaustively ...
Page 538
... effect of the Mergers upon gas markets . Intervenors correctly note that FERC does not review the effect of mergers on retail competition unless requested by a state commission . 103 The interested state commissions did not request a ...
... effect of the Mergers upon gas markets . Intervenors correctly note that FERC does not review the effect of mergers on retail competition unless requested by a state commission . 103 The interested state commissions did not request a ...
Page 902
... effect during the period at issue . We conclude that Record Exhibit 11 was the Firm's compliance manual during this time and that the Porush Bulletin reflects the then - current assignments of supervisory responsibility . Byrne ...
... effect during the period at issue . We conclude that Record Exhibit 11 was the Firm's compliance manual during this time and that the Porush Bulletin reflects the then - current assignments of supervisory responsibility . Byrne ...
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