Organized Crime on Wall Street: Hearing Before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Sixth Congress, Second Session, September 13, 2000, Volume 4 |
Other editions - View all
Common terms and phrases
Abramo activity Ageloff alleged allegedly Arthur Levitt assistance Attorney's Office boiler rooms Bonanno broker-dealer brokerage firms Business Week Chairman charges chop stock commit securities fraud companies complaints conspiracy to commit criminal customers D.H. Blair defendants Dingell disciplinary efforts Exchange Commission extortion federal filed Form S-8 fraudulent FUENTES Genovese HealthTech Honorable indictment Internet investigation investment involved issuers law enforcement LOMBARDO market makers Meyers Pollock MICHAEL microcap fraud microcap stock fraud microcap stocks million NASAA NASD Regulation Nasdaq NASDR organized crime Organized Crime Family OTC Bulletin Board OXLEY penny stock pled guilty POLLOCK AND ROBBINS President private placement prosecution prosecutors public offerings pump and dump registered representatives regulatory RICO Rule scheme Securities and Exchange securities fraud securities industry securities markets securities regulators sell SKOLNIK small-cap staff Sterling Foster stock brokers stock fraud trading U.S. Attorney United States Attorney Wall Street York
Popular passages
Page 96 - The Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation...
Page 132 - The oldest international organization devoted to investor protection, the North American Securities Administrators Association, Inc., was organized in 1919. Its membership consists of the securities administrators in the 50 states, the District of Columbia, Canada, Mexico and Puerto Rico. NASAA is the voice of securities agencies responsible for grass-roots investor protection and efficient capital formation.
Page 117 - Mr. Chairman and Members of the Subcommittee, I am very pleased to appear before you today again on behalf of the Atomic Energy Commission.
Page 70 - Federal sentences for a number of different offenses were found in a landmark study by the United States Attorney's Office for the Southern District of New York.
Page 256 - Virtually every Broker-dealer in the United States that conducts a securities business with the public is required by law to be a member of the NASD.
Page 269 - Oh, what a tangled web we weave when first we practice to deceive!
Page 257 - Annual onate inspections are conducted of high priority areas. In addition, NASDR has established an examination frequency cycle for all of its members, which is based upon the type of business conducted by the member, the scope of that business, the extent of customer exposure, method of operation, past regulatory history, and other factors. During...
Page 256 - NASDR nilemaking is a widely participatory process with broad input from industry members, trade associations, other regulators, and the public. By the requirements of the Securities Exchange Act of 1934, NASDR rules do not become final until they are filed with and approved by the SEC. The SEC staff carefully reviews each rule filing and publishes NASDR rules for comment in the Federal Register. NASDR has examination responsibilities for all of its 5,500 members.
Page 65 - Chairman, Committee on Commerce House of Representatives The Honorable Michael G. Oxley Chairman, Subcommittee on Finance and Hazardous Materials Committee on Commerce House of Representatives The Honorable Bud Shuster Chairman, Committee on Transportation and Infrastructure House of Representatives The Honorable Sherwood C.
Page 2 - Chair would recognize the gentleman from Illinois, Mr. Shimkus, for an opening statement. Mr. SHIMKUS. Thank you, Mr. Chairman. I...