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 196
... filed within 10 days after the entry of the com- plained - of order . If a party moves within the 10 - day period for an extension of time , the Commission may specify a dif- ferent time for such filing . 4 On January 24 , 1995 , the ...
... filed within 10 days after the entry of the com- plained - of order . If a party moves within the 10 - day period for an extension of time , the Commission may specify a dif- ferent time for such filing . 4 On January 24 , 1995 , the ...
Page 570
... filing of the application on November 17 , 1995 ( Holding Co. Act Release No. 26411 ) .3 The City of Las Cruces , New Mexico ( " Las Cruces " ) filed an intervention and a request for a hearing.4 1 As discussed below , applicant posits ...
... filing of the application on November 17 , 1995 ( Holding Co. Act Release No. 26411 ) .3 The City of Las Cruces , New Mexico ( " Las Cruces " ) filed an intervention and a request for a hearing.4 1 As discussed below , applicant posits ...
Page 818
... filing with the NASD was not deficient when filed . We therefore deem the fil- ing date to be the date on which the Form BDW was filed with the NASD . Our order instituting proceedings was therefore untimely filed with regard to First ...
... filing with the NASD was not deficient when filed . We therefore deem the fil- ing date to be the date on which the Form BDW was filed with the NASD . Our order instituting proceedings was therefore untimely filed with regard to First ...
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