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 |
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Page 427
... record . " We conclude that the Hearing Board's decision was based on an objec- tive review of the record presented by the Exchange's Division of Enforcement and Druz and supported by a preponderance of the evi- dence . The record ...
... record . " We conclude that the Hearing Board's decision was based on an objec- tive review of the record presented by the Exchange's Division of Enforcement and Druz and supported by a preponderance of the evi- dence . The record ...
Page 482
... record to address these and other relevant issues . On July 26 , 1993 , Entergy filed a post - effective amendment that incorporated the record from Phase II of a proceeding before the Feder- al Energy Regulatory Commission ( " FERC ...
... record to address these and other relevant issues . On July 26 , 1993 , Entergy filed a post - effective amendment that incorporated the record from Phase II of a proceeding before the Feder- al Energy Regulatory Commission ( " FERC ...
Page 734
... record for sales that they did not actual- ly make . IV . Applicant claims that individuals from W & R provided false testimony and false information14 on his Uniform Termination Notice For Securities Industry Registration ( " Form U ...
... record for sales that they did not actual- ly make . IV . Applicant claims that individuals from W & R provided false testimony and false information14 on his Uniform Termination Notice For Securities Industry Registration ( " Form U ...
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