106-2 Hearings: Day Trading: Everyone Gambles But The House, S. Hrg. 106-505, February 24, And 25, 20002000 |
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Página 5
... meet the firm's own minimum requirements , and es- tablished fictitious accounts for customers so that they could con- tinue to trade after their original accounts were closed due to insuf- We will hear how the top executives of some ...
... meet the firm's own minimum requirements , and es- tablished fictitious accounts for customers so that they could con- tinue to trade after their original accounts were closed due to insuf- We will hear how the top executives of some ...
Página 7
... meet their own criteria for opening day trading 1 See Exhibit No. 78 which appears in the Appendix on page 722 . accounts . For example , firms have opened day trading 2 See Exhibit No. 83b . which appears in the Appendix on page 727 . 7.
... meet their own criteria for opening day trading 1 See Exhibit No. 78 which appears in the Appendix on page 722 . accounts . For example , firms have opened day trading 2 See Exhibit No. 83b . which appears in the Appendix on page 727 . 7.
Página 23
... meet their requirements needed $ 50,000 ? Ms. MARGALA . No. As a matter of fact , the commercial that sort of lured me into this whole thing stated that the minimum require- ment was $ 10,000 . That was all you needed to trade , to open ...
... meet their requirements needed $ 50,000 ? Ms. MARGALA . No. As a matter of fact , the commercial that sort of lured me into this whole thing stated that the minimum require- ment was $ 10,000 . That was all you needed to trade , to open ...
Página 28
... meet his quota so , therefore when the year was up , then he was let go because he had not met his quota . And I had no idea that he had done any day trading after he left Dean Witter . That was , again , a surprise . Senator DURBIN . I ...
... meet his quota so , therefore when the year was up , then he was let go because he had not met his quota . And I had no idea that he had done any day trading after he left Dean Witter . That was , again , a surprise . Senator DURBIN . I ...
Página 35
... meet quotas and prior to his opening the account at Momen- tum ? Mr. HOEHN . I was aware that Scott had worked at Dean Witter . I was not specific as far as how he was let go by the Dean Witter office . Senator COLLINS . When Mr. Webb ...
... meet quotas and prior to his opening the account at Momen- tum ? Mr. HOEHN . I was aware that Scott had worked at Dean Witter . I was not specific as far as how he was let go by the Dean Witter office . Senator COLLINS . When Mr. Webb ...
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...