United States Securities and Exchange Commission Decisions and Reports, V. 52, October 1, 1994 to May 27, 1997U.S. Government Printing Office, 1999 - 1359 pages |
From inside the book
Results 1-3 of 70
Page 390
... Committee ( " National Committee " ) affirmed the District Committee's findings that Gates effected transac- tions while not properly registered . However , when it described the Dis- trict Committee's findings , the National Committee ...
... Committee ( " National Committee " ) affirmed the District Committee's findings that Gates effected transac- tions while not properly registered . However , when it described the Dis- trict Committee's findings , the National Committee ...
Page 464
... Committee was pending , KLH filed a Form 8 - K disclosing that , on September 15 , 1994 , Tomahawk Construction Company filed a bankruptcy petition pursuant to Chapter 11 of the Bankruptcy Code . On December 2 , 1994 , the Review Commit ...
... Committee was pending , KLH filed a Form 8 - K disclosing that , on September 15 , 1994 , Tomahawk Construction Company filed a bankruptcy petition pursuant to Chapter 11 of the Bankruptcy Code . On December 2 , 1994 , the Review Commit ...
Page 646
... Committee panel assigned to hear the case denied that request . In its decision , the District Committee affirmed the panel's action denying the continuance . Thereafter , the NASD National Business Conduct Com- mittee ( " National ...
... Committee panel assigned to hear the case denied that request . In its decision , the District Committee affirmed the panel's action denying the continuance . Thereafter , the NASD National Business Conduct Com- mittee ( " National ...
Common terms and phrases
aff'd agreement Applicants Article III asserts Association of Securities broker broker-dealer BT Securities capital claims clients Commission Chairman LEVITT common stock compliance counsel County Pools customers December decision denied disclose District Committee Druz El Paso Entergy equitable principles EWGS fact failed Fair Practice FERC firm's funds Genexus GNMA hearing interest investment adviser investors issue June law judge LEVITT and Commissioners market maker markups member firm ment Merrill Lynch million misconduct municipal securities NASD found NASD Manual CCH NASD's Rules Nasdaq National Association NYSE offering Orange County Paine Webber PaineWebber penny stock person Petrantis principles of trade procedures purchase pursuant record registered representative REGISTERED SECURITIES ASSOCIATION rejected or sustained repurchase agreements request responsible retail Rules of Fair Section Section 10(b Securities Act Securities Dealers Securities Exchange Act shares statements supervision supervisor testified tion transactions Unterbach