United States Securities and Exchange Commission Decisions and Reports |
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Page 47
... issues and to explain further the applicability of the markup requirements to the transactions at issue . Raymond James asserts that the NASD improperly relied on historical cost to establish the prevailing market price . The NASD's ...
... issues and to explain further the applicability of the markup requirements to the transactions at issue . Raymond James asserts that the NASD improperly relied on historical cost to establish the prevailing market price . The NASD's ...
Page 48
... issue . In PESCO we held that , while historical cost might be a proper basis for calculating markups in DPP securities , evidence should be introduced that confirms the reliability of historical cost as a measure of current market ...
... issue . In PESCO we held that , while historical cost might be a proper basis for calculating markups in DPP securities , evidence should be introduced that confirms the reliability of historical cost as a measure of current market ...
Page 395
... issue . Notwithstanding this general rule , however , it may be inappropriate to evaluate retail prices based upon the most contemporaneous interdealer trade where that trade occurred after the retail trade at issue , if ( i ) using ...
... issue . Notwithstanding this general rule , however , it may be inappropriate to evaluate retail prices based upon the most contemporaneous interdealer trade where that trade occurred after the retail trade at issue , if ( i ) using ...
Contents
CONTENTS | 192 |
Members of the Securities and Exchange Commission II | 633 |
Table of Decisions and Reports citing Section of Acts | 652 |
Copyright | |
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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