Annual Report of the SEC.U.S. Government Printing Office |
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Página 45
... defendant to return $ 9 million alleged to have been wrongfully obtained ; 111 the appointment to boards of directors of ... defendants who consent to such settlements with the Commission do so without admit- ting or denying the factual ...
... defendant to return $ 9 million alleged to have been wrongfully obtained ; 111 the appointment to boards of directors of ... defendants who consent to such settlements with the Commission do so without admit- ting or denying the factual ...
Página 46
... defendants of common stock of Refac Technology Development Corp. ( Refac ) while in possession of material , non - public information . This informa- tion concerned the allowance by the U.S. Patent Office of certain principal claims in ...
... defendants of common stock of Refac Technology Development Corp. ( Refac ) while in possession of material , non - public information . This informa- tion concerned the allowance by the U.S. Patent Office of certain principal claims in ...
Página 47
... defendants to disgorge profits realized on transactions in NKC common stock . SEC v . David H. Hall 121 — On Febru- ary 22 , 1980 , the Commission filed a complaint against David H. Hall , a prac- ticing attorney . The complaint alleged ...
... defendants to disgorge profits realized on transactions in NKC common stock . SEC v . David H. Hall 121 — On Febru- ary 22 , 1980 , the Commission filed a complaint against David H. Hall , a prac- ticing attorney . The complaint alleged ...
Página 48
... defendants with prejudice ; and ( 3 ) reciting the Court's liability find- ing and order as to Dickenson and oth- erwise terminating the Commission's action against that defendant with prej- udice . On July 18 , 1980 , the Commission ...
... defendants with prejudice ; and ( 3 ) reciting the Court's liability find- ing and order as to Dickenson and oth- erwise terminating the Commission's action against that defendant with prej- udice . On July 18 , 1980 , the Commission ...
Página 49
... defendants , as a group , owned 534,190 shares or 22 percent of the outstanding common stock of a corporation ... defendant in the action . On the same day , the Commission announced the institution and settle- ment of administrative ...
... defendants , as a group , owned 534,190 shares or 22 percent of the outstanding common stock of a corporation ... defendant in the action . On the same day , the Commission announced the institution and settle- ment of administrative ...
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28 SEC Docket accounting actions Advisers Act amendments amicus curiae antifraud provisions applications assets Association audit bank broker broker-dealers CBOE clearing agency Commis Commission's Company Act Release Corp Corporation defendants Director disclosure district court Dollars effective employees enforcement equity Exchange Act Release exemption Expenses FASB Federal securities laws fees Ferrovanadium financial reporting firms fiscal Form funds Holding Company Holding Company Act holding company systems injunction insider trading Investment Advisers Investment Company Act issuers issues June Litigation Release Management ment million mission Municipal Securities NASD NASDAQ NYSE Office operations options participants pending percent proceedings proposed rule proxy pursuant registration statement Regulation regulatory requirements Revenues rule changes Section Securities Act Release Securities Exchange Act self-regulatory organizations September 30 shareholders sion small business SROs staff Stock Exchange surveillance Table tender offer tion Total trading transactions Utilities violations York Stock Exchange