United States Securities and Exchange Commission Decisions and Reports |
From inside the book
Results 1-3 of 75
Page 206
... failing to make additional inquiry , failed to exercise sufficient professional skepticism and obtain adequate competent evidential matter relevant to the issue as required by GAAS . " Id . For these and other failures , the auditor ...
... failing to make additional inquiry , failed to exercise sufficient professional skepticism and obtain adequate competent evidential matter relevant to the issue as required by GAAS . " Id . For these and other failures , the auditor ...
Page 570
... failed to collect sufficient data on customer risk tolerance and investment horizon or failed to properly utilize the information that had been received . Although management was aware of the suitability risks of price - volatile ...
... failed to collect sufficient data on customer risk tolerance and investment horizon or failed to properly utilize the information that had been received . Although management was aware of the suitability risks of price - volatile ...
Page 572
... failed adequately to question registered representatives about suitability . Failure to supervise violations frequently follow upon the existence of " red flags " that should have put the broker - dealer on notice of underlying problems ...
... failed adequately to question registered representatives about suitability . Failure to supervise violations frequently follow upon the existence of " red flags " that should have put the broker - dealer on notice of underlying problems ...
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