United States Securities and Exchange Commission Decisions and Reports |
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Results 1-3 of 67
Page 543
... further hearing is needed . Accordingly , the request for a hearing is denied . IV . CONCLUSION The Commission has ... FURTHER ORDERED , that intrasystem loans , guarantees and support agreements be continued for six months from the date ...
... further hearing is needed . Accordingly , the request for a hearing is denied . IV . CONCLUSION The Commission has ... FURTHER ORDERED , that intrasystem loans , guarantees and support agreements be continued for six months from the date ...
Page 608
... further concluded that Wegard should disgorge $ 158,375 plus prejudgment interest , and that the firm should be fined $ 1,000,000 and Greer $ 175,000 . Finally , he ordered both respondents to cease and desist from committing or causing ...
... further concluded that Wegard should disgorge $ 158,375 plus prejudgment interest , and that the firm should be fined $ 1,000,000 and Greer $ 175,000 . Finally , he ordered both respondents to cease and desist from committing or causing ...
Page 734
... FURTHER ORDERED , pursuant to Section 21C of the Exchange Act , that Sony comply with its undertaking to engage an independent auditor to conduct an examination of Sony's MD & A presentation for the fiscal year ending March 31 , 1999 ...
... FURTHER ORDERED , pursuant to Section 21C of the Exchange Act , that Sony comply with its undertaking to engage an independent auditor to conduct an examination of Sony's MD & A presentation for the fiscal year ending March 31 , 1999 ...
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