SEC Docket, Volume 42Securities and Exchange Commission, 1988 - Securities |
From inside the book
Results 1-5 of 98
Page 5
... associated with a member of a registered securities association on the same grounds that a member of the associa- tion could have been suspended or expelled by the Commission . The 1964 Amendments also limited the application of the ...
... associated with a member of a registered securities association on the same grounds that a member of the associa- tion could have been suspended or expelled by the Commission . The 1964 Amendments also limited the application of the ...
Page 10
... associated persons in connection with their participation in the public offering of a direct participation program ( “ DPP ” ) 1 be “ fair and reasonable . " Section 5 of Appendix F sets forth the types of compensation which will be ...
... associated persons in connection with their participation in the public offering of a direct participation program ( “ DPP ” ) 1 be “ fair and reasonable . " Section 5 of Appendix F sets forth the types of compensation which will be ...
Page 11
... associated persons of broker - dealers to sell their products . In this man- ner , the unaffiliated sponsors can avoid the costs connected with employment of a sales force . Non - cash sales incentives offered by DPP spon- sors ( both ...
... associated persons of broker - dealers to sell their products . In this man- ner , the unaffiliated sponsors can avoid the costs connected with employment of a sales force . Non - cash sales incentives offered by DPP spon- sors ( both ...
Page 12
... associated persons by members remained a serious problem be- cause , among other things , sponsors generally utilize direct appeals to registered representa- tives , making it difficult for members to ade- quately control the ...
... associated persons by members remained a serious problem be- cause , among other things , sponsors generally utilize direct appeals to registered representa- tives , making it difficult for members to ade- quately control the ...
Page 13
... associated persons in an effort to advertise certain bonuses . Moreover , the NASD has concluded that sales incentives in the public market for DPPs have become so prevalent that many members are not in a position to refuse to pass on ...
... associated persons in an effort to advertise certain bonuses . Moreover , the NASD has concluded that sales incentives in the public market for DPPs have become so prevalent that many members are not in a position to refuse to pass on ...
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Common terms and phrases
450 Fifth Street Act and rules Agreement amended amount Applicant's approved assets Bank Bonds broker-dealer CBOE CDSL Certificates Commis Commission's common stock contracts curities dealer deferred sales load derivative securities Division of Invest Division of Market effective Exchange Act Release Exchange Commission exemption Federal filed Fund futures contracts hereby Holding Company Act interested persons Investment Company Act investors issued issuer Jonathan G Katz Secretary SECURITIES market makers ment Management NASD net asset value Notice of Application NYSE options Options Clearing Corporation Participants Partners Partnership preferred stock proposed rule change Public Utility Holding purchase purposes pursuant to delegated pursuant to Section registered reporting SCG/SRO Schedule 13D Section 16(b Securities Act Securities and Exchange Securities Exchange Act self-regulatory organization Self-Regulatory Organization's Statement shareholders shares sion solicited Stock Exchange suant subsidiary supra thereunder tion trading transactions Trust Utility Holding Company
Popular passages
Page 66 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Page 86 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
Page 176 - The Commission may deny, temporarily or permanently, the privilege of appearing or practicing before it in any way to any person who is found by the Commission after...
Page 47 - ... or within such longer period as the Commission may designate up to 90 days of such date if it finds such longer period to be appropriate and publishes its reasons for so finding or as to which the...
Page 49 - Register or within such longer period (i) as the Commission may designate up to 90 days of such date if it finds such longer period to be appropriate and publishes its reasons for so finding or...
Page 594 - Commission shall — (A) by order approve such proposed rule change; or (B) institute proceedings to determine whether the proposed rule change should be disapproved.
Page 180 - Ptak. directly and indirectly, employed devices, schemes and artifices to defraud, made untrue statements of material facts and omitted to state material facts necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading...
Page 289 - ... an order or orders for the purchase of such security with the knowledge that an order or orders of substantially the same size, at substantially the same time, and at substantially the same price, for the sale of any such security, has been or will be entered by or for the same or different parties...
Page 86 - ... any offer or sale to a bank, savings institution, trust company, insurance company, investment company as defined in the Investment Company Act of 1940, pension or profit-sharing trust, or other financial institution or institutional buyer, or to a broker-dealer, whether the purchaser is acting for itself or in some fiduciary capacity...
Page 296 - Commission may designate up to ninety days of such date if it finds such longer period to be appropriate and publishes its reasons for so finding or as to which the...