sec docket Volume 8,No.11 December 30,1975 |
From inside the book
Results 1-3 of 85
Page 14
... Act Release No. 11688 (September 26, 1975). 2/ The findings herein are not binding on any other respondent named in ... Rule 17a-3 thereunder; (2) Financial Service Corporation International, Inc. willfully violated Section 17(a) of the ...
... Act Release No. 11688 (September 26, 1975). 2/ The findings herein are not binding on any other respondent named in ... Rule 17a-3 thereunder; (2) Financial Service Corporation International, Inc. willfully violated Section 17(a) of the ...
Page 18
... Act of 1933 (“Securities Act"), Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and willfully aided and abetted violations of Section 17(a) of the Exchange Act and Rules 17a-3 and 17a-4 thereunder; (2) Hathaway and Steinberg ...
... Act of 1933 (“Securities Act"), Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and willfully aided and abetted violations of Section 17(a) of the Exchange Act and Rules 17a-3 and 17a-4 thereunder; (2) Hathaway and Steinberg ...
Page 20
... Rule 0-5 of the Rules and Regulations promulgated under the Act, an order disposing of the application will be issued as of course following said date unless the Commission thereafter orders a hearing upon request or upon the ...
... Rule 0-5 of the Rules and Regulations promulgated under the Act, an order disposing of the application will be issued as of course following said date unless the Commission thereafter orders a hearing upon request or upon the ...
Common terms and phrases
Act and Rule American Stock Exchange application assets Bank Bonds broker or dealer broker-dealer brokers and dealers capital commercial paper Commission's common stock contract customers December delegated authority Eutaw Exchange Act Release Exchange Commission exemption Federal Register fees financial statements Fitzsimmons Secretary SECURITIES Fund George hereby HOLDING COMPANY ACT income interested persons Investment Company Act investors issued Lease market makers Matter ment NASD national securities exchange North Capitol Street NOTICE OF FILING NYSE offer options order a hearing over-the-counter OWNERSHIP EQUITY Penelec post-effective amendment proceedings promulgated proposed rule change proposed transaction PUBLIC UTILITY HOLDING pursuant to delegated pursuant to Section Regulation rules thereunder Secretary SECURITIES EXCHANGE Section 8(f Securities Act Securities and Exchange Securities Exchange Act separate account shares Stock Exchange suant submission subsidiary thereof tion underwriter UTILITY HOLDING COMPANY violations Washington Wilsonville York Stock Exchange