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 638
United States Government Printing Office. C. Failure Reasonably To Supervise Section 15 ( b ) ( 4 ) of the Exchange Act authorizes the Commission to order sanctions against broker - dealers who fail reasonably to supervise , with a view ...
United States Government Printing Office. C. Failure Reasonably To Supervise Section 15 ( b ) ( 4 ) of the Exchange Act authorizes the Commission to order sanctions against broker - dealers who fail reasonably to supervise , with a view ...
Page 641
... reasonably designed to accomplish the same objectives . The Consultant shall reasonably evaluate such alterna- tive procedure and , if appropriate , either approve the alternative proce- dure or amend the recommendation . PaineWebber ...
... reasonably designed to accomplish the same objectives . The Consultant shall reasonably evaluate such alterna- tive procedure and , if appropriate , either approve the alternative proce- dure or amend the recommendation . PaineWebber ...
Page 1266
... reasonably ) . Cf. John H. Gutfreund , 51 S.E.C. 93 , 111 ( 1992 ) ( a firm official , such as the president , retains responsibility for compliance unless and until a particular function is reasonably dele- gated to another person ...
... reasonably ) . Cf. John H. Gutfreund , 51 S.E.C. 93 , 111 ( 1992 ) ( a firm official , such as the president , retains responsibility for compliance unless and until a particular function is reasonably dele- gated to another 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