82 pages matching NASD in this book
Results 1-3 of 82
What people are saying - Write a review
We haven't found any reviews in the usual places.
Other editions - View all
Act Rel Act Section agreement allegations AMEX Applicants assets associated audit authorized Baker Hughes broker broker-dealer Bullseye capital CBOE cease-and-desist Chan claim clients Commission Company's compliance Conduct Rule customers determined disciplinary disclosure E.ON E.ON UK engaged Ferrofluidics filed financial statements firm Firm's Fitzpatrick funds future violations GAAP Goldmen Goldsworthy hearing Hedge Fund holding company income interest investment adviser investors issue ITSY warrants Jawitz KPMG Kufrovich law judge letter Lubin material million misstatements Moskowitz mutual funds Nakoski NASD NASD's Nasdaq Netscape nonutility offering operations Pattee payment Peat Marwick Perles Powergen proceeding purchase pursuant record registered request Respondents revenues sanctions Schedule 13D Schettino Schlien scienter Section 10(b Securities Act Securities Exchange Act securities laws sell shares Simpson Springer Stoutt Subsidiaries Sunbeam testified testimony trading transactions utility Vernazza VesCor