106-2 Hearings: Day Trading: Everyone Gambles But The House, S. Hrg. 106-505, February 24, And 25, 2000 |
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able actions active addition advertising All-Tech allowed answer approximately Association believe borrowed branch offices Chairman changes clients Commission Committee concerned continue correct customers day trading day-trading firms deposit disclosure documents enforcement examination execution EXHIBIT experience fact forms funds going hearing HOUTKIN individuals industry interest investment investors issues journal limit loans look lose losses manager margin calls meet Momentum months NASD NASDAQ NASDR observe operation Parish percent Permanent Subcommittee person position practices problems profit Providential question received regulators representatives Request requirements Response risk rules Scott Securities sell Senator COLLINS Senator DURBIN Senator LEVIN Short staff statement Statistics Subcommittee successful suitable testimony Thank told true understand volume warnings ZAYAS
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Página 860 - ... acted in good faith and in a manner he reasonably believed to be in or not opposed to the best interests of the corporation, and, with respect to any criminal action or proceeding, had no reasonable cause to believe his conduct was unlawful.
Página 970 - A deceit, within the meaning of the last section, is either: 1. The suggestion, as a fact, of that which is not true, by one who does not believe it to be true; 2.
Página 902 - ... or within such longer period as the Commission may designate up to 90 days of such date if it finds such longer period to be appropriate and publishes its reasons for so finding or as to which the...
Página 1107 - To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...
Página 1097 - No broker or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than commercial paper, bankers...
Página 451 - Article 2. The Mission shall continue for a period of two (2) years from the date of the signing of this Agreement by the accredited representatives of the Government of the United States of America and the Government of the Republic of Cuba, unless previously terminated or extended as hereinafter provided. Any member of the Mission may be recalled at any time by the Government of the...
Página 903 - SIA members (including investment banks, broker-dealers, and mutual fund companies) are active in all US and foreign markets and in all phases of corporate and public finance.
Página 902 - Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 USC 552, will be available for inspection and copying in the Commission's Public Reference Room.
Página 605 - ... (1) to employ any device, scheme, or artifice to defraud, "(2) to make any untrue statement or [of] a material fact or to omit to state...
Página 606 - Whenever it shall appear to the Commission that any person has engaged or is about to engage in any act or practice constituting a violation of any provision...