United States Securities and Exchange Commission Decisions and Reports |
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Page 204
... matter represents the first litigated proceeding to come before us involving an accountant acting solely as a concurring partner , we cannot agree that Potts was without guidance as to appropriate professional standards . As an initial ...
... matter represents the first litigated proceeding to come before us involving an accountant acting solely as a concurring partner , we cannot agree that Potts was without guidance as to appropriate professional standards . As an initial ...
Page 235
... Matter of the Cooper Companies , Inc. As It Relates to the Conduct of Cooper's Board of Directors , Exchange Act Rel . No. 35082 ( Dec. 12 , 1994 ) 58 SEC Docket 681. See also Report of Investigation in the Matter of National Telephone ...
... Matter of the Cooper Companies , Inc. As It Relates to the Conduct of Cooper's Board of Directors , Exchange Act Rel . No. 35082 ( Dec. 12 , 1994 ) 58 SEC Docket 681. See also Report of Investigation in the Matter of National Telephone ...
Page 389
... matter constitutes good cause for a postpone- ment of the hearing in this matter . However , the requirement that postponements shall be for a " reasonable period of time , " indicates that any postponement must be for a definite period ...
... matter constitutes good cause for a postpone- ment of the hearing in this matter . However , the requirement that postponements shall be for a " reasonable period of time , " indicates that any postponement must be for a definite period ...
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