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 155
... supervision was deficient . IV . Under the circumstances , a sanction of censure is appropriate in the public interest . Upton had no prior violations , took over supervision of the money management department where the paydown practice ...
... supervision was deficient . IV . Under the circumstances , a sanction of censure is appropriate in the public interest . Upton had no prior violations , took over supervision of the money management department where the paydown practice ...
Page 586
... Supervision of 13 Continued supervise , with a view to preventing [ securities ] violations ... another person who commits such a violation , if such other person is subject to his supervision . " Section 15 ( b ) ( 4 ) ( E ) further ...
... Supervision of 13 Continued supervise , with a view to preventing [ securities ] violations ... another person who commits such a violation , if such other person is subject to his supervision . " Section 15 ( b ) ( 4 ) ( E ) further ...
Page 589
... supervision.28 Here , Applicants ' failure to institute any supervisory sys- tem let alone a heightened system- demonstrates a failure to super- vise on the part of Rounds , Fainter , and CIS . Rounds and Fainter each claim that the ...
... supervision.28 Here , Applicants ' failure to institute any supervisory sys- tem let alone a heightened system- demonstrates a failure to super- vise on the part of Rounds , Fainter , and CIS . Rounds and Fainter each claim that the ...
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