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 78
Page 11
... approval , and he refused to approve it retroactively . Sequoia was an affiliated person of Fund , and the reimbursement agreement clearly falls within the Rule's broad definition of " joint arrangement . " As one court has stated ...
... approval , and he refused to approve it retroactively . Sequoia was an affiliated person of Fund , and the reimbursement agreement clearly falls within the Rule's broad definition of " joint arrangement . " As one court has stated ...
Page 26
... approval.5 After that hearing and upon reviewing the record of the 1989 proceeding , the NASD Board of Governors determined that Petrantis had not been authorized by the NASD or the Commission to act in these capacities and withdrew the ...
... approval.5 After that hearing and upon reviewing the record of the 1989 proceeding , the NASD Board of Governors determined that Petrantis had not been authorized by the NASD or the Commission to act in these capacities and withdrew the ...
Page 457
... approval explaining the services sought from the consultant and indicating the com- pensation to be paid . When supervisory approval is granted , Merrill Lynch in - house counsel must review and approve all public finance consulting ...
... approval explaining the services sought from the consultant and indicating the com- pensation to be paid . When supervisory approval is granted , Merrill Lynch in - house counsel must review and approve all public finance consulting ...
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