United States Securities and Exchange Commission Decisions and Reports |
From inside the book
Results 1-3 of 59
Page 4
... margin requirement , and the margin call was met by liquidation of the same securities.10 Prime and Wright acknowledge that the free riding and departures from margin requirements occurred . Nonetheless , they contend that they were ...
... margin requirement , and the margin call was met by liquidation of the same securities.10 Prime and Wright acknowledge that the free riding and departures from margin requirements occurred . Nonetheless , they contend that they were ...
Page 319
... margin on deposit with the OCC in an amount equal to the greater of $ 6.3 million or 150 % of OCC's standard margin requirement on positions carried with the OCC , until such time as the Chairman determined that those margin ...
... margin on deposit with the OCC in an amount equal to the greater of $ 6.3 million or 150 % of OCC's standard margin requirement on positions carried with the OCC , until such time as the Chairman determined that those margin ...
Page 324
... margin system . . . must provide adequate protection or the margin system would put the clearing agency at an unacceptable level of risk of member default . " 20 The margin deposit requirement at issue was reasonably directed at ...
... margin system . . . must provide adequate protection or the margin system would put the clearing agency at an unacceptable level of risk of member default . " 20 The margin deposit requirement at issue was reasonably directed at ...
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