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 615
... investment programs were organized as limited partnerships , with the program sponsor act- ing as general partner ... Investment Department headquartered in New York . The Direct Investment Department , also at times called the Tax ...
... investment programs were organized as limited partnerships , with the program sponsor act- ing as general partner ... Investment Department headquartered in New York . The Direct Investment Department , also at times called the Tax ...
Page 701
... investments in existing facilities and systems , Southern states that as of February 29 , 1996 , it had an aggregate investment of $ 0.8 million in several EWGS and FUCOS that are under development or that operate , but do not own ...
... investments in existing facilities and systems , Southern states that as of February 29 , 1996 , it had an aggregate investment of $ 0.8 million in several EWGS and FUCOS that are under development or that operate , but do not own ...
Page 855
... investment adviser or an affiliated person , respectively , of any investment company , includ- ing but not limited to ASM , unless the following conditions are met : a . for at least three years following entry of the Order a majority ...
... investment adviser or an affiliated person , respectively , of any investment company , includ- ing but not limited to ASM , unless the following conditions are met : a . for at least three years following entry of the Order a majority ...
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