United States Code ServiceLawyers Co-operative Publishing Company, 1983 |
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134 ÆäÀÌÁö
... firm on notice of improper activities of salesman where sell order was for only approximately one and one - half percent of shares held by salesman in his own and customer's accounts . Securities & Exchange Com . v Geon Industries , Inc ...
... firm on notice of improper activities of salesman where sell order was for only approximately one and one - half percent of shares held by salesman in his own and customer's accounts . Securities & Exchange Com . v Geon Industries , Inc ...
143 ÆäÀÌÁö
... firm would be re- voked where firm conducted " boiler room " oper- ation in sale of stock which it sold to unknown persons through long - distance telephone calls , and in doing so , made false , misleading , and highly optimistic ...
... firm would be re- voked where firm conducted " boiler room " oper- ation in sale of stock which it sold to unknown persons through long - distance telephone calls , and in doing so , made false , misleading , and highly optimistic ...
187 ÆäÀÌÁö
... firm and member firm's parent , where they were responsible for failure of firm to disclose to purchasers of stock sold by firm that issuer was under common control with firm . Re Lang , Securities Exchange Act of 1934 , Release No ...
... firm and member firm's parent , where they were responsible for failure of firm to disclose to purchasers of stock sold by firm that issuer was under common control with firm . Re Lang , Securities Exchange Act of 1934 , Release No ...
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97 S Ct Act 15 USCS action alleged ALR Fed application broker or dealer broker-dealer Capital Rule CCH Fed Secur cert claim clearing agency Company Act 15 Corp corporation's customers debtor defendant directors district court equity Exchange Act 15 Exchange Commission F Supp Fed Secur L filing holders Holding Company Act injunction investment Investor Protection Act issuer jurisdiction liability merger misleading municipal securities dealer NASD necessary or appropriate offeror person plaintiff proceeding protection of investors proxy provisions proxy solicitation proxy statement public interest Public Utility Holding purchase pursuant rules and regulations SEC Docket Vol SEC Rule SEC Rule 10b-5 Secur L Rep Securities Act Securities and Exchange Securities Exchange Act Securities Investor Protection securities laws Serv 2d shareholders shares short-swing profits SIPC Stat stockholders subsection subsidiary target corporation tender offer tion title 15 USCS transactions trustee Utility Holding Company