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 355
... procedures as outlined in the Proposal for Modification of Supervi- sory and Compliance Procedures of H. D. Vest Investment Securities , Inc. , which was received by the Commission staff without comment upon its adequacy to address all ...
... procedures as outlined in the Proposal for Modification of Supervi- sory and Compliance Procedures of H. D. Vest Investment Securities , Inc. , which was received by the Commission staff without comment upon its adequacy to address all ...
Page 635
... procedures reasonably designed to detect and prevent violations of the federal securities laws described above . First , three of the offices described above - Flint , Spokane , and Sioux City - were at some times satellites or ...
... procedures reasonably designed to detect and prevent violations of the federal securities laws described above . First , three of the offices described above - Flint , Spokane , and Sioux City - were at some times satellites or ...
Page 991
... procedures to ensure that the prevailing market price was the starting point in the markup calcu- lation . No one at Shearson ever ascertained the markup by comparing the price charged a customer with the prevailing inter - dealer ...
... procedures to ensure that the prevailing market price was the starting point in the markup calcu- lation . No one at Shearson ever ascertained the markup by comparing the price charged a customer with the prevailing inter - dealer ...
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