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63 SEC Docket 1 (1996-1997)

handle is hein.journals/secdoc63 and id is 1 raw text is: ( 0 CCH SEC DOCKET Volume 63, Issue No. 1 October 31, 1996 RELEASES IN THIS VOLUME PAGE Securities A ct 7358 ......................................................................... 2 Securities Exchange Act 37810- 37840 ............................................... 7 Public Utility Holding Company Act 26592-26593 ................................ 67 Investment Advisers Act 1591- 1594 .................................................. 75 Investment Company Act 22277- 22289 .............................................. 77 Litigation 15117- 15125 ................................................................... 87 Accounting & Auditing Enforcement 842-843 ..................................... 92 This listing covers releases issued from 10/11/96-10/17/96. This listing does not affect the legal status of any document published in this issue. SIGNIFICANT ITEM: OPINION 34-37835 LARRY IRA KLEIN Where registered representative of member firm made material mis- statements and omitted to state material facts in connection with the sale of securities and made unsuitable recommendations to cus- tomers, held, association's findings of violation and sanctions sus- tained ............................................................................... The following releases relate to self-regulatory organization rule proposals and/or adop- tions: 34-37810 34-37813 34-37823 34-37828 34-37811 34-37815 34-38724 34-37829 34-37812 34-37818 34-37826 34-37838 34-37839 34-37840

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