United States Securities and Exchange Commission Decisions and Reports |
From inside the book
Results 1-3 of 83
Page 116
... participants ' funds . Although funds were routinely disbursed from the SCCP operating account to the PHLX , SCCP did not monitor whether participants ' funds were being used to , among other things , alleviate the PHLX's short term ...
... participants ' funds . Although funds were routinely disbursed from the SCCP operating account to the PHLX , SCCP did not monitor whether participants ' funds were being used to , among other things , alleviate the PHLX's short term ...
Page 117
... participants ' fund ( " inactive participants formula " ) . SCCP's and Philadep's initial SDFS filings , filed in November 1995 , would have established a new class of participants ( i.e. , inactive accounts ) and a new service ( i.e. ...
... participants ' fund ( " inactive participants formula " ) . SCCP's and Philadep's initial SDFS filings , filed in November 1995 , would have established a new class of participants ( i.e. , inactive accounts ) and a new service ( i.e. ...
Page 118
... Participants ' Funds Both SCCP's and Philadep's Rules 4 require that : " The assets in the Participants fund shall be held separately from the Corporation's other corporate assets . " Commencing in December 1995 , the Commission staff ...
... Participants ' Funds Both SCCP's and Philadep's Rules 4 require that : " The assets in the Participants fund shall be held separately from the Corporation's other corporate assets . " Commencing in December 1995 , the Commission staff ...
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