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 75
Page 61
... Section 10 ( b ) ( 2 ) .21 Section 10 ( b ) ( 3 ) of the Act directs us to approve the acquisition unless we find that " [ it ] will unduly complicate the capital structure of the hold- ing - company system of the applicant or will be ...
... Section 10 ( b ) ( 2 ) .21 Section 10 ( b ) ( 3 ) of the Act directs us to approve the acquisition unless we find that " [ it ] will unduly complicate the capital structure of the hold- ing - company system of the applicant or will be ...
Page 124
... Section 21B ( e ) . Section 21B authorizes the Commission to impose civil monetary penalties in any proceeding instituted pursuant to various sec- tions of the Exchange Act , including Section 15 ( b ) ( 6 ) . Subsection ( e ) pro ...
... Section 21B ( e ) . Section 21B authorizes the Commission to impose civil monetary penalties in any proceeding instituted pursuant to various sec- tions of the Exchange Act , including Section 15 ( b ) ( 6 ) . Subsection ( e ) pro ...
Page 152
... section at issue [ Section 15 ( b ) ( 4 ) ( E ) ] — clearly distinguishes between violations and supervisory deficiencies . 50 S.E.C. at 529 ( emphasis in the original ) . Thus in Huff , we recognized that Section 15 ( b ) ( 4 ) ( E ) ...
... section at issue [ Section 15 ( b ) ( 4 ) ( E ) ] — clearly distinguishes between violations and supervisory deficiencies . 50 S.E.C. at 529 ( emphasis in the original ) . Thus in Huff , we recognized that Section 15 ( b ) ( 4 ) ( E ) ...
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