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 251
... trading " ( emphasis added ) indicates that the options trading rules , specifically Rules 923 and 924 , apply to any options trading , even if such trading occurs on the PHLX . The limitation in Rule 900 ( a ) is not artfully drawn ...
... trading " ( emphasis added ) indicates that the options trading rules , specifically Rules 923 and 924 , apply to any options trading , even if such trading occurs on the PHLX . The limitation in Rule 900 ( a ) is not artfully drawn ...
Page 477
... trades . She maintains that , because she had virtu- ally no expertise in trading , her responsibilities were limited to back office operations and administrative functions . Moreover , by March 1990 , although she held the official ...
... trades . She maintains that , because she had virtu- ally no expertise in trading , her responsibilities were limited to back office operations and administrative functions . Moreover , by March 1990 , although she held the official ...
Page 1159
... trading and to obtain additional financial information from Akins . Daily blotters , which both Titus and Milner reviewed , would have reflected that McComas did not , in fact , decrease his trading activity.18 The fact that index ...
... trading and to obtain additional financial information from Akins . Daily blotters , which both Titus and Milner reviewed , would have reflected that McComas did not , in fact , decrease his trading activity.18 The fact that index ...
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