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
Results 1-3 of 78
Page 1
... PURSUANT TO SECTIONS 17A ( c ) ( 3 ) ( A ) , 21B ( a ) ( 1 ) , AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 AND 12 U.S.C. ยง 1818 ( b ) , MAKING A FINDING AND ORDER I. The Office of the Comptroller of the Currency ( " Comptroller ...
... PURSUANT TO SECTIONS 17A ( c ) ( 3 ) ( A ) , 21B ( a ) ( 1 ) , AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 AND 12 U.S.C. ยง 1818 ( b ) , MAKING A FINDING AND ORDER I. The Office of the Comptroller of the Currency ( " Comptroller ...
Page 448
... PURSUANT TO SECTIONS 15 ( b ) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 , MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS I. The Securities and Exchange Commission ( " Commission " ) deems it appropriate and in the public interest ...
... PURSUANT TO SECTIONS 15 ( b ) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 , MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS I. The Securities and Exchange Commission ( " Commission " ) deems it appropriate and in the public interest ...
Page 875
... PURSUANT TO SECTION 19 ( h ) ( 1 ) OF THE SECURITIES EXCHANGE ACT OF 1934 , MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS I. The Securities and Exchange Commission ( " Commission " ) deems it appropriate and in the public interest ...
... PURSUANT TO SECTION 19 ( h ) ( 1 ) OF THE SECURITIES EXCHANGE ACT OF 1934 , MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS I. The Securities and Exchange Commission ( " Commission " ) deems it appropriate and in the public interest ...
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