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 |
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Page 280
... advised he was well - acquainted with the president and officers of Europa , and lauded the president as a financial genius whose judgment Isen highly respected . Isen also made the prediction to Evelsizer , as he did to Nakanishi ...
... advised he was well - acquainted with the president and officers of Europa , and lauded the president as a financial genius whose judgment Isen highly respected . Isen also made the prediction to Evelsizer , as he did to Nakanishi ...
Page 646
... advised Applicants that the District Committee would not consider a request for a continuance , except in extraordinary circum- stances , unless it received the request at least five business days before the hearing date . On September ...
... advised Applicants that the District Committee would not consider a request for a continuance , except in extraordinary circum- stances , unless it received the request at least five business days before the hearing date . On September ...
Page 657
... advised that the modified duration indicated substantially more price volatility than would be expected from a portfolio with the County Pools ' short average maturity . The Treasurer was further advised that the County Pools ' lengthy ...
... advised that the modified duration indicated substantially more price volatility than would be expected from a portfolio with the County Pools ' short average maturity . The Treasurer was further advised that the County Pools ' lengthy ...
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