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 11
... prior to the taking of any action . " Here significant action has already been taken . Pursuant to its agreement with Sequoia , and prior to the fil- ing of the present application , Fund placed $ 240,000 of its assets in escrow . This ...
... prior to the taking of any action . " Here significant action has already been taken . Pursuant to its agreement with Sequoia , and prior to the fil- ing of the present application , Fund placed $ 240,000 of its assets in escrow . This ...
Page 308
... prior written notification to RTS , in violation of Article III , Sections 1 and 40 of the NASD's Rules of Fair Practice ( the " Rules " ) . 1 Gogul was censured , fined $ 40,000 , and barred from association with any NASD member firm ...
... prior written notification to RTS , in violation of Article III , Sections 1 and 40 of the NASD's Rules of Fair Practice ( the " Rules " ) . 1 Gogul was censured , fined $ 40,000 , and barred from association with any NASD member firm ...
Page 826
... prior writ- ten consent of his employer . We agree with the NYSE that Rule 346 ( b ) " required action by the Firm in a formal , documented manner . " Such a requirement is particularly important to prevent a senior officer , such as H ...
... prior writ- ten consent of his employer . We agree with the NYSE that Rule 346 ( b ) " required action by the Firm in a formal , documented manner . " Such a requirement is particularly important to prevent a senior officer , such as H ...
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