SEC Docket, 47. sējumsSecurities and Exchange Commission, 1990 |
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450 Fifth Street Act and Rule action Advisers Act alleges amended application approval arbitration assets audit Bank basis Blinder Robinson broker-dealer Canadian CBOE clients Commis Commission's Common Stock Complaint copies Corporation curities dealer disclosure District Division of Invest DTC's equity Exchange Act Release Exchange Commission exemption financial statements FOIA Form Fund hearing hereby holding company Interested persons investment adviser Investment Company Act investors issued Item Jonathan G MJDS NASD NASDAQ notice NYSE Office options participants Partners Partnership Piper Jaffray proceedings proposed rule change purchase pursuant to delegated pursuant to Section registration statement Regulation reports request respondents San Marino Schedule SDFS SEC's Section 10(b Securities Act Securities and Exchange Securities Exchange Act self-regulatory organization Self-Regulatory Organization's Statement settlement shareholders shares sion suant Surgical Surgical's tender offer thereunder tion trading transactions United Value File violations
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503. lappuse - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
168. lappuse - ... designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to provide safeguards against unreasonable profits or unreasonable rates of commissions or other charges, and, in general, to protect investors and the public interest...
223. lappuse - In addition to the information expressly required to be included in a statement or report, there shall be added such further material information, if any, as may be necessary to make the required statements, in the light of the circumstances under which they are made, not misleading.
14. lappuse - All persons may be joined in one action as defendants if there is asserted against them jointly, severally, or in the alternative, any right to relief in respect of or arising out of the same transaction, occurrence, or series of transactions or occurrences and if any question of law or fact common to all of them will arise in the action.
324. lappuse - False or misleading statements. (a) No solicitation subject to this regulation shall be made by means of any proxy statement, form of proxy, notice of meeting or other communication, written or oral, containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or which omits to state any material fact necessary in order to make the statements therein not false or misleading...
134. lappuse - ... any order, judgment or decree of any court of competent jurisdiction temporarily or permanently enjoining or restraining such person from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security...
172. lappuse - 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...
357. lappuse - ... untrue statements of material facts and omitted to state material facts necessary to make the statements made, in light of the circumstances under which they were made, not misleading...
122. lappuse - Commission may deny, temporarily or permanently, the privilege of appearing or practicing before It in any way to any person who is found by the Commission after notice...
298. lappuse - 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 light of the circumstances under Which they were made, not misleading...