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A Rule 415 under the Securities Act of 1933
Orders Approving Proposed Rule
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2d Cir 7th Cir action aiding and abetting alleged amendments American Stock Exchange basis BEDCO bids broker broker-dealer business days CFTC churning Comm.Fut.L.Rep commencement Commission's commodity Compliance Department conduct consent convertible securities Corp dealer decision deemed Disciplinary Proceedings distribution effect ENTS Exception xi Exchange Commission F.Supp Federal filed firm fraud funds gross economic Hayden Stone Hochfelder injunction investment adviser investment company investor issue issuer Krieger and Wunderlich Leeds & Kellogg liability manipulative market maker NASD options Paine Webber participation penalty period permit person plaintiff procedures proposed rule purchase pursuant to Section reckless registration statement Regulation request respondent Rolf S.Ct scienter Securities Act Securities and Exchange Securities Exchange Act selling shelf registration staff Stott supra thereunder tion trading transactions Transfer Binder underwriter violation of Rule violation of Section Yamada York York Stock Exchange