106-2 Hearings: Day Trading: Everyone Gambles But The House, S. Hrg. 106-505, February 24, And 25, 20002000 |
Dentro del libro
Resultados 1-5 de 92
Página 8
... margin calls to ob- tain from other customers short - term loans at high interest rates . The firms then manage all of the administrative and clerical func- tions attendant to servicing those loans . As an example , we found that ...
... margin calls to ob- tain from other customers short - term loans at high interest rates . The firms then manage all of the administrative and clerical func- tions attendant to servicing those loans . As an example , we found that ...
Página 17
... margin calls , which Mr. Parish then arranged for other clients to cover . Further , during much of the time I was at All - Tech , the system could not even show me the status or balances in my account . To encourage trading , the up ...
... margin calls , which Mr. Parish then arranged for other clients to cover . Further , during much of the time I was at All - Tech , the system could not even show me the status or balances in my account . To encourage trading , the up ...
Página 18
... margin calls . At times , Mr. Parish simply shouted the margin call request across the trading room . These requests were not limited to clients within All - Tech's San Diego office . The added pressure of trading with margin money ...
... margin calls . At times , Mr. Parish simply shouted the margin call request across the trading room . These requests were not limited to clients within All - Tech's San Diego office . The added pressure of trading with margin money ...
Página 24
... margin calls , buying on margin . Each of you , how were you notified about the margin call , or were you notified about the margin call ? Ms. Harlacher , let me ask you first . Ms. HARLACHER . I cannot actually recall ever having a margin ...
... margin calls , buying on margin . Each of you , how were you notified about the margin call , or were you notified about the margin call ? Ms. Harlacher , let me ask you first . Ms. HARLACHER . I cannot actually recall ever having a margin ...
Página 25
... margin call . Senator LEVIN . So you were not cut off automatically by the com- puter when that happened ? Ms ... calls for Ms. Le ? Mr. BUCHWALTER . Yes . Amy's situation was a little bit different , where she was not the actual person in ...
... margin call . Senator LEVIN . So you were not cut off automatically by the com- puter when that happened ? Ms ... calls for Ms. Le ? Mr. BUCHWALTER . Yes . Amy's situation was a little bit different , where she was not the actual person in ...
Términos y frases comunes
Account Approval-B ACCT additional Address advertising Agreement All-Tech Investment Group amount ARBITRATION Belbel Branch Manager branch office Broker broker-dealer brokerage client CMGI compliance Corporation Customer Complaint day trading account day-trading firms day-trading strategy deposit disclosure statement documents Electronic Day Trading employees equity Exact Explanation execution Fahman Federal filed firm's funds Hahna Global Securities Houtkin income Individual initial Investigations EXHIBIT investors loans losses maintenance margin MARGALA margin calls margin requirements market makers minimum Momentum Securities months Montvale Name NASAA NASD Regulation NASDAQ NASDR NYSE on-line Parish parties pattern day trader person Positive Traders profitable proposed rule change provide explanation Providential Securities questions REDACTED regulatory action request Response risk disclosure Senate Permanent Subcommittee Senator COLLINS Senator DURBIN Senator LEVIN Shefts Signature SIPC Subcommittee On Investigations Texas transactions United States Senate Van Cao Zayas
Pasajes populares
Página 862 - ... 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 972 - 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 904 - ... 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 1109 - 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 1099 - 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 453 - 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 905 - 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 904 - 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 607 - ... (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 608 - 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...