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Trading Crowds and Modified Trading
Trading Crowds Scope of Chapter
Imposition of Fines for Minor Rule The purpose of this circular is to advise mem
450 Fifth Street Act and Rule Advisers Act alleges Amendment Amex application approval assets associated person broker-dealer capital CBOE change is consistent Commis Commission believes Commission's common stock complaint Director Division equity Exchange Act Release filed firm Fund Fund's hearing hereby inspection and copying investment adviser Investment Company Act investors issued Jonathan G Katz Secretary SECURITIES Management market maker ment NASD Regulation Nasdaq notice NSCC NYSE Offer Pacific Exchange participants parties Phlx Portfolio posed rule change proceedings proposed rule change public interest purchase pursuant to Section received records registered reproposed repurchase agreements request Respondent Secretary SECURITIES EXCHANGE Section 17(a Securities Act Securities and Exchange Securities Exchange Act Self-Regulatory Organization's Statement Self-Regulatory Organizations September September 23 Service shareholders shares sion standards submitted thereunder tion trading transactions Upper Peninsula violations