About | HeinOnline Law Journal Library | HeinOnline Law Journal Library | HeinOnline
LOG IN
LOG IN

66 SEC Docket 1 (1998)

handle is hein.journals/secdoc66 and id is 1 raw text is: CCH SEC DOCKET Volume 66, Issue No. 1 January 8, 1998 Releases in this Volume Release No. Securities Act of 1933: 7484-7489 ................ Securities Exchange Act of 1934: 39405-39445 ...... Public Utility Holding Company Act: 26791-26796.. Investment Advisers Act of 1940: 1684-1686 ....... Investment Company Act of 1940: 22927-22939 .... Litigation: 15581- 15590 ........................ Accounting and Auditing Enforcement: 995 ......... International Series: 1108 ........................ Administrative Proceeding Rulings: 557 ............ Page ............. 1 ........... 15 ........... 78 ........... 95 ........... 102 ........... 133 ........... 138 ........... 138 ........... 138 This listing covers releases issued from 12/05/97 - 12/11/97. This listing does not affect the legal status of any document published in this issue. SIGNIFICANT ITEMS OPINIONS 34-39443 KO Securities, Inc. and Terrnace Y. Yoshikawa Member firm of registered securities association and its presi- dent engaged in transactions for the purpose of overstating the firm's net capital. Held, association's finding of viola- tion and sanctions it imposed sustained. The following releases relate to self-regulatory organization rule proposals and/or adoptions: 34-39407 34-39405 34-39411 34-39408 34-39412 34-39413 34-39409 34-39416 (c(

What Is HeinOnline?

HeinOnline is a subscription-based resource containing thousands of academic and legal journals from inception; complete coverage of government documents such as U.S. Statutes at Large, U.S. Code, Federal Register, Code of Federal Regulations, U.S. Reports, and much more. Documents are image-based, fully searchable PDFs with the authority of print combined with the accessibility of a user-friendly and powerful database. For more information, request a quote or trial for your organization below.



Short-term subscription options include 24 hours, 48 hours, or 1 week to HeinOnline.

Purchase Access

Contact us for annual subscription options:

Contact Us

Already a HeinOnline Subscriber?

Log In

profiles profiles most