Broker-dealers: New Legal, Business, and Compliance Developments, 1983 |
Contents
BROKERDEALERS NEW LEGAL BUSINESS AND COMPLIANCE | 7 |
Options | 22 |
VI | 29 |
Copyright | |
1 other sections not shown
Common terms and phrases
adopted Advest agreement aided and abetted alleged amendments Amex application Borrower broker broker-dealer brokerage business days central market system CFTC churning Collateral Comm commentators Commission Commission's compliance conduct cooling-off period courses of business court DBCC dealer decision defendant D'Angelo defendant Schipa described in paragraph DGSI disciplinary proceedings distribution enforcement engaged Essner Exception xi Exchange Act Release execution firm fraud Gordon Macklin government securities Hayden Stone Heuwetter insider trading issued issuer Lender limit orders Loaned Securities market makers material facts Merrill Lynch NASD national market system NYSE offers or sales options Paine Webber participants penalty permitted person plaintiff procedures proposed purchases pursuant registered Regulation reporting request respondent Rule sanction Securities Act Securities Exchange Act Securities Industry Spaulding statements stock loan Supp thereunder trading transactions Transfer Binder underwriters Varig violation of Section York York Stock Exchange