SEC Docket, Volume 42Securities and Exchange Commission, 1988 - Securities |
From inside the book
Results 1-5 of 100
Page 5
... tion under Section 15A ( 1 ) ( 2 ) . Rule 19a3-1 also was adopted as a cross - reference rule to Rule 15b7-1 , and was intended to apply to proceedings under Section 19 ( a ) ( 3 ) , which were governed by the provisions of Rule 15b7-1 ...
... tion under Section 15A ( 1 ) ( 2 ) . Rule 19a3-1 also was adopted as a cross - reference rule to Rule 15b7-1 , and was intended to apply to proceedings under Section 19 ( a ) ( 3 ) , which were governed by the provisions of Rule 15b7-1 ...
Page 9
... tion . To date , the Commission has not deter- mined to implement such a program . Finally , the Commission believes that the general antifraud provisions of the federal securities laws are ap- plicable to activity addressed by Rule 10b ...
... tion . To date , the Commission has not deter- mined to implement such a program . Finally , the Commission believes that the general antifraud provisions of the federal securities laws are ap- plicable to activity addressed by Rule 10b ...
Page 12
... tion against the acceptance of non - cash sales incentives encompassed in the proposal is neces- sary and appropriate because the current regula- tions , adopted in April 1984 , 11 have proven insuf- ficient to arrest the direct ...
... tion against the acceptance of non - cash sales incentives encompassed in the proposal is neces- sary and appropriate because the current regula- tions , adopted in April 1984 , 11 have proven insuf- ficient to arrest the direct ...
Page 24
... tion be calculated from a nine percent base . This decision was based on the NASD's experience that a majority of DPP's provide for underwriting compensation of at least nine to ten percent . Therefore , the NASD believed that by ...
... tion be calculated from a nine percent base . This decision was based on the NASD's experience that a majority of DPP's provide for underwriting compensation of at least nine to ten percent . Therefore , the NASD believed that by ...
Page 31
... tion System ( " MAX " ) . II . Self - Regulatory Organization's Statement of the Purpose of , and Statutory Basis for , the Proposed Rule Change In its filing with the Commission , the self - regula- tory organization included ...
... tion System ( " MAX " ) . II . Self - Regulatory Organization's Statement of the Purpose of , and Statutory Basis for , the Proposed Rule Change In its filing with the Commission , the self - regula- tory organization included ...
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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...