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 124
... person associat- ed with a registrant . Thus , our ability to obtain disgorgement for the con- duct alleged in the ... person ... who was participating in an offering of any penny stock , the Commission ... shall ... bar such person ...
... person associat- ed with a registrant . Thus , our ability to obtain disgorgement for the con- duct alleged in the ... person ... who was participating in an offering of any penny stock , the Commission ... shall ... bar such person ...
Page 151
... person asso- ciated with such broker or dealer ... ( E ) has willfully aided , abetted , counseled , commanded , induced , or pro- cured the violation by any other person of [ the federal securities laws and rules ] , or has failed ...
... person asso- ciated with such broker or dealer ... ( E ) has willfully aided , abetted , counseled , commanded , induced , or pro- cured the violation by any other person of [ the federal securities laws and rules ] , or has failed ...
Page 310
... person give notice to the firm when participating " in any manner " in a private securities transac- tion outside the regular course of his association with the firm . The reach of Section 40 is very broad . It covers an associated person ...
... person give notice to the firm when participating " in any manner " in a private securities transac- tion outside the regular course of his association with the firm . The reach of Section 40 is very broad . It covers an associated person ...
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