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
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Page 355
... compliance and supervisory policies and procedures as outlined in the Proposal for Modification of Supervi- sory and Compliance Procedures of H. D. Vest Investment Securities , Inc. , which was received by the Commission staff without ...
... compliance and supervisory policies and procedures as outlined in the Proposal for Modification of Supervi- sory and Compliance Procedures of H. D. Vest Investment Securities , Inc. , which was received by the Commission staff without ...
Page 1159
... compliance problems with registered representa- tives.16 Milner and Titus , however , failed to respond to numerous ... compliance problems . The Options Manual also required the CROP to make recommendations to the SROP as to accounts ...
... compliance problems with registered representa- tives.16 Milner and Titus , however , failed to respond to numerous ... compliance problems . The Options Manual also required the CROP to make recommendations to the SROP as to accounts ...
Page 1160
... compliance director . We have previous- ly rejected the assertion that a firm's change in corporate structure or supervisory systems provides a defense for abdicating obligations.20 As compliance officer , Titus was responsible for ...
... compliance director . We have previous- ly rejected the assertion that a firm's change in corporate structure or supervisory systems provides a defense for abdicating obligations.20 As compliance officer , Titus was responsible for ...
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