United States Securities and Exchange Commission Decisions and Reports |
From inside the book
Results 1-3 of 78
Page 11
... funds here was proper . No reasonable investor could have concluded , based on applicants ' marketing of the program , that his or her funds would be used to fund Wright's personal expenses or bankroll Wright's friends . The investors ...
... funds here was proper . No reasonable investor could have concluded , based on applicants ' marketing of the program , that his or her funds would be used to fund Wright's personal expenses or bankroll Wright's friends . The investors ...
Page 115
... funds be safeguarded . The Rules provide , in pertinent part : The Participants Fund deposit shall be held by the ... funds were transferred to the PHLX from a SCCP operating account containing SCCP's and Philadep's participants ' funds ...
... funds be safeguarded . The Rules provide , in pertinent part : The Participants Fund deposit shall be held by the ... funds were transferred to the PHLX from a SCCP operating account containing SCCP's and Philadep's participants ' funds ...
Page 116
... funds . Although funds were routinely disbursed from the SCCP operating account to the PHLX , SCCP did not monitor whether participants ' funds were being used to , among other things , alleviate the PHLX's short term cash deficits ...
... funds . Although funds were routinely disbursed from the SCCP operating account to the PHLX , SCCP did not monitor whether participants ' funds were being used to , among other things , alleviate the PHLX's short term cash deficits ...
Contents
CONTENTS | 192 |
Members of the Securities and Exchange Commission II | 633 |
Table of Decisions and Reports citing Section of Acts | 652 |
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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