SEC Enforcement Issues: An Advanced SeminarPractising Law Institute, 1982 - 568 sider |
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Side 65
... associated persons in Section 3 ( a ) ( 18 ) of the Act , and whether they are employees subject to coverage by a broker - dealer firm's fidelity bond . These issues have surfaced recently because of the increas- ing number of firms ...
... associated persons in Section 3 ( a ) ( 18 ) of the Act , and whether they are employees subject to coverage by a broker - dealer firm's fidelity bond . These issues have surfaced recently because of the increas- ing number of firms ...
Side 67
... associated person and should be covered by the employer broker- dealer's fidelity bond . Broker - dealers may not shift their obligation to control or supervise the activities of their inde- pendent contractor salespersons who are ...
... associated person and should be covered by the employer broker- dealer's fidelity bond . Broker - dealers may not shift their obligation to control or supervise the activities of their inde- pendent contractor salespersons who are ...
Side 78
... associated with and employed by Registrant's Columbus , Ohio office as a registered securities sales representative . 4. From in or about 1974 until December 1980 , Dean E. Hutton ( Hutton ) was associated with and employed by ...
... associated with and employed by Registrant's Columbus , Ohio office as a registered securities sales representative . 4. From in or about 1974 until December 1980 , Dean E. Hutton ( Hutton ) was associated with and employed by ...
Innhold
Responsibilities of Lawyers in Connection with | 21 |
Recent SEC Pronouncements Concerning a Broker | 33 |
Lauzon Inc Securities Exchange | 35 |
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2d Cir accounts Act and Rule administrative proceedings admitting or denying agency amendment antifraud associated broker broker-dealer cert Chiarella Civil Action client collateral estoppel Commission's Complaint alleges common stock compliance conduct confidential consented Corp corporate counsel criminal defendants denying the allegations directors disclosure disgorgement District Court employees enforcement enjoining federal securities laws filed Final Judgment firm fraud grand jury inside information insider trading investigation investors issue issuer Judgments of Permanent lawyer liability litigation material non-public information ment Merrill Lynch misappropriation officers options Parklane Hosiery Parklane Hosiery Co party Permanent Injunction person plaintiff possession of material procedures profits provisions proxy purchase pursuant Rule 2(e Schedule 13D scienter SEC's Second Circuit Section 10(b Securities Act Securities Exchange Act shareholders shares statements supervision Supp supra note tender offer Tennenbaum thereunder tion tippee transactions Transfer Binder United States Attorney work-product doctrine