The Financial Instruments Anti-Fraud Act, S. 1009: Hearing Before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourth Congress, Second Session ... July 17, 1996, Volume 4 |
Other editions - View all
Common terms and phrases
antifraud provisions bank holding company broker-dealer CHAIRMAN charitable organizations Civil Action civil penalties Commission's Complaint alleges Complaint further alleges CONGRESS THE LIBRARY Corporation criminal D'Acquisto Delta Star disgorgement District Court documents Duftler Elef Exchange Commission announced Exchange Commission Commission Federal Reserve federal securities laws fictitious instruments financial institutions financial instruments fraud fraudsters fraudulent scheme Friedman further violations investment contracts investor funds issued June Konex Lauer letters of credit LIBRARY OF CONGRESS Litigation Release negotiable instruments offer and sale Oyler Permanent Injunction Polichemi potential investors prejudgment interest preliminary injunction prime bank guarantees prime bank instruments prime bank investment prime bank notes prime bank securities profits purchase purportedly RARY relief represented Respondents RESS Roll Program Rule 10b-5 thereunder Securities and Exchange Securities Exchange Act Senator Spielman temporary restraining order trading program transactions U.S. Dollar United States District unregistered securities violations of Section wire fraud world banks
Popular passages
Page 80 - Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder.
Page 39 - The Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation...
Page 72 - To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in light of the circumstances under Which they were made, not misleading...
Page 86 - Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934...
Page 101 - Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder...
Page 72 - It shall be unlawful for any person, by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails...
Page 72 - The Commission deems it appropriate and in the public interest that public...
Page 71 - Solely for the purpose of this proceeding and any other proceeding brought by or on behalf of the Commission, or to which the Commission is a party, and without admitting or denying the findings...
Page 73 - Settlement which the Commission has determined to accept. Solely for the purpose of these proceedings and any other proceeding brought by or on behalf of the Commission or...