United States Securities and Exchange Commission Decisions and Reports |
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Results 1-3 of 68
Page 497
... material fact or engaging in any scheme to defraud in connection with the purchase or sale of a security . Section 17 ( a ) of the Securities Act prohibits such misstatements , omissions , or schemes in connection with the " offer or ...
... material fact or engaging in any scheme to defraud in connection with the purchase or sale of a security . Section 17 ( a ) of the Securities Act prohibits such misstatements , omissions , or schemes in connection with the " offer or ...
Page 1148
... material to investors as they could have been held liable for the unpaid taxes on the interest received . b ... material information and issued the tax opinion for the Tax- Exempt Offerings . Costanza also knew or reasonably should have ...
... material to investors as they could have been held liable for the unpaid taxes on the interest received . b ... material information and issued the tax opinion for the Tax- Exempt Offerings . Costanza also knew or reasonably should have ...
Page 1322
... material part of its income , " were introduced by Senator Wheeler . In the floor debate , he declined to define the words " material part . " He did , however , describe a non - material subsidiary utility company variously as " some ...
... material part of its income , " were introduced by Senator Wheeler . In the floor debate , he declined to define the words " material part . " He did , however , describe a non - material subsidiary utility company variously as " some ...
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