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 521
... statements could be used.18 The most recent audited financial statements 16 In fact , Amendment No. 3 to Treats ' Registration Statement , filed in early July 1992 , reported that Treats ' net tangible book value had dropped to ...
... statements could be used.18 The most recent audited financial statements 16 In fact , Amendment No. 3 to Treats ' Registration Statement , filed in early July 1992 , reported that Treats ' net tangible book value had dropped to ...
Page 620
... statements sent to customers . Before 1989 , account statements listed the price of direct investments as " unavailable . " Beginning in 1989 , PaineWebber began listing a price on most statements . For Geodyne , it listed as the ...
... statements sent to customers . Before 1989 , account statements listed the price of direct investments as " unavailable . " Beginning in 1989 , PaineWebber began listing a price on most statements . For Geodyne , it listed as the ...
Page 666
... Statements for these three offerings failed adequately to disclose that the investment strategy : 1 ) was risky ; 2 ) was predicated upon the assumption that prevailing interest rates would remain at relatively low levels ; 3 ) involved ...
... Statements for these three offerings failed adequately to disclose that the investment strategy : 1 ) was risky ; 2 ) was predicated upon the assumption that prevailing interest rates would remain at relatively low levels ; 3 ) involved ...
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