United States Securities and Exchange Commission Decisions and Reports |
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Results 1-3 of 74
Page 311
... violations , the NASD stated that it viewed the advertising violation with " great seriousness " and concluded that the fine would have been justified by the advertising violation standing alone . This view 25 ( ... continued ) ...
... violations , the NASD stated that it viewed the advertising violation with " great seriousness " and concluded that the fine would have been justified by the advertising violation standing alone . This view 25 ( ... continued ) ...
Page 478
... violation of Article III , Section 1 " despite the fact [ that ] there was no finding [ of fraud or ] harm to any investor , " in light of our explanation that the " pattern of dishonesty " in petitioner's dealings was a matter " of ...
... violation of Article III , Section 1 " despite the fact [ that ] there was no finding [ of fraud or ] harm to any investor , " in light of our explanation that the " pattern of dishonesty " in petitioner's dealings was a matter " of ...
Page 773
... violation of Section 10 ( b ) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b - 9 . He further determined that Morrow failed to disclose " properly " his anticipated compensation from the sale of those securities , in ...
... violation of Section 10 ( b ) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b - 9 . He further determined that Morrow failed to disclose " properly " his anticipated compensation from the sale of those securities , in ...
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