sec docket Volume 8,No.11 December 30,1975 |
From inside the book
Results 1-3 of 82
Page 7
... securities for their own accounts. In one such case, the broker-dealer was able to conceal his short sales through “dummy” customer accounts, representing that the brokerdealer was selling long customer securities. The broker-dealer ...
... securities for their own accounts. In one such case, the broker-dealer was able to conceal his short sales through “dummy” customer accounts, representing that the brokerdealer was selling long customer securities. The broker-dealer ...
Page 15
... broker or dealer for a period of twelve (12) months; (3) FSC Properties, Inc. be and hereby is barred as of the opening of business on the second Monday after the date of this order from association with any broker or dealer; if in the ...
... broker or dealer for a period of twelve (12) months; (3) FSC Properties, Inc. be and hereby is barred as of the opening of business on the second Monday after the date of this order from association with any broker or dealer; if in the ...
Page 23
... broker-dealer proceedings under the Securities Exchange Act, Adams & Whitney Securities Corporation ("registrant"), a registered broker-dealer, and Carol Wynn, Adams' sole principal, have submitted an offer of settlement without ...
... broker-dealer proceedings under the Securities Exchange Act, Adams & Whitney Securities Corporation ("registrant"), a registered broker-dealer, and Carol Wynn, Adams' sole principal, have submitted an offer of settlement without ...
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