United States Securities and Exchange Commission Decisions and Reports |
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Page 114
... procedures , including their failures to comply with material procedures and requirements set forth in their final proposed rule change filings , SCCP and / or Philadep violated Section 19 ( g ) ( 1 ) of the Exchange Act . Section 19 ...
... procedures , including their failures to comply with material procedures and requirements set forth in their final proposed rule change filings , SCCP and / or Philadep violated Section 19 ( g ) ( 1 ) of the Exchange Act . Section 19 ...
Page 900
... Procedures . A. The record establishes that the Firm's procedures regarding pricing were totally inadequate . Its compliance manual25 contained a section titled " Fair Prices " which briefly summarized some of the rules relating to the ...
... Procedures . A. The record establishes that the Firm's procedures regarding pricing were totally inadequate . Its compliance manual25 contained a section titled " Fair Prices " which briefly summarized some of the rules relating to the ...
Page 1166
... procedures in the respects described below . In addition , some respondent firm's policies and procedures were inadequately documented , promulgated and enforced . a . Inadequate Procedures and Guidelines Concerning Quote Movements Most ...
... procedures in the respects described below . In addition , some respondent firm's policies and procedures were inadequately documented , promulgated and enforced . a . Inadequate Procedures and Guidelines Concerning Quote Movements Most ...
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