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 45
... opinion . On October 31 , Diehm informed the Secretary that he was still unable to locate any information indicating when he received our January 14 opinion . In light of the fact that Diehm , despite ample opportunities , has failed to ...
... opinion . On October 31 , Diehm informed the Secretary that he was still unable to locate any information indicating when he received our January 14 opinion . In light of the fact that Diehm , despite ample opportunities , has failed to ...
Page 520
... opinion letter in which he stated only that the fran- chise rights " are NASDAQ eligible assets " and that , as a result , " Treats will meet the Net Worth Test for NASDAQ . " 12 Petrantis claimed that he interpreted this opinion to ...
... opinion letter in which he stated only that the fran- chise rights " are NASDAQ eligible assets " and that , as a result , " Treats will meet the Net Worth Test for NASDAQ . " 12 Petrantis claimed that he interpreted this opinion to ...
Page 1184
... opinion , Savin's financial statements conformed without exception to GAAP . The audit reports for Fiscal Year and Calendar Year 1984 con- tained the auditors ' opinion that the financial statements complied with GAAP , subject to the ...
... opinion , Savin's financial statements conformed without exception to GAAP . The audit reports for Fiscal Year and Calendar Year 1984 con- tained the auditors ' opinion that the financial statements complied with GAAP , subject to the ...
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