sec docket Volume 8,No.11 December 30,1975 |
From inside the book
Results 1-3 of 85
Page
... Commission's complaint, Steele consented to entry of a permanent injunction in that action enjoining him from fraudulent conduct in connection with the offer, purchase and sale of securities. 2/ Having been advised that the Commission ...
... Commission's complaint, Steele consented to entry of a permanent injunction in that action enjoining him from fraudulent conduct in connection with the offer, purchase and sale of securities. 2/ Having been advised that the Commission ...
Page 6
... Commission's Complaint, to the entry of a judgment granting the relief requested by the Commission in its Complaint. The injunctive action against Coleman is still pending. Litigation Release No. 7213/December 23, 1975 SEC v. JOHN F ...
... Commission's Complaint, to the entry of a judgment granting the relief requested by the Commission in its Complaint. The injunctive action against Coleman is still pending. Litigation Release No. 7213/December 23, 1975 SEC v. JOHN F ...
Page 4
... Commission by a national securities exchange or a registered national securities association shall not become effective unless the Commission, having due regard for the fulfillment of the Commission's duties and responsibilities under ...
... Commission by a national securities exchange or a registered national securities association shall not become effective unless the Commission, having due regard for the fulfillment of the Commission's duties and responsibilities under ...
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