What people are saying - Write a review
We haven't found any reviews in the usual places.
Prepared for distribution at
The SEC Grapples
Select Contested SEC Cases and Securities
4 other sections not shown
adopted advisers and investment alleged amendments appeal associated persons Association of Securities Board of Govemors broker-dealer brokers called for review censure Central Registration Depository clearing firms Code Committee conceming conduct coordinated decision defendants Department of Enforcement director disciplinary proceeding disclosure E.F. Hutton examination Exchange Act Release Exchange Commission filed firm's fraud govemment Hearing Panel individual insider trading interstate compacts introducing firms investigation investment adviser representatives Investment Company investor protection issuers issues jurisdiction NASD Board NASD Notice NASD Regulation Board NASD Regulation's Nasdaq NBCC Notice to Members NYSE Panelists penny stock pre-hearing procedures Proposed Rule Prudential Securities Recommendation register investment advisers registered representative request respondent Salomon Brothers sanctions Securities and Exchange Securities Dealers securities laws securities regulation securities regulatory authorities self-regulatory organization September 26 Series statute summary judgment suspension Task Force trading transactions uniform Uniform Securities Act violations York Stock Exchange