 |
 |
|
|
|
|
|
|
|
| | | |
|
|
|
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
1
.
SEC ADMINISTRATIVE PROCEEDING
|
EXTRACTED KEY WORDS
EXCHANGE TUCKER ANTHONY SECURITIES EXCHANGE ACT INSTITUTING FINDINGS PURSUANT RESPONDENT NASDAQ MARKET STOCK VIOLATION THEREUNDER BANK MONEY ORDER ENTRY MARKET MAKING TRANSACTION RELEVANT TIMES CAUSING WIRE TRANSFER ADMINISTRATIVE PROCEEDING ACCOMPANYING ORDER INSTITUTING PURPOSES ADMITTING ACCORDANCE MASSACHUSETTS BUSINESS ACCOUNTS COORDINATION |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 34-40928 / January 11, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-9803
___________________________________
:
In the Matter of : ORDER MAKING
FINDINGS : AND IMPOSING
CERTAIN MARKET MAKING : SANCTIONS AS TO
ACTIVITIES ON NASDAQ : TUCKER ANTHONY INC.
:
:
___________________________________:
I.
In the accompanying Order Instituting Proceedings
Pursuant to Sections 15(b) and 21C of the Securities
Exchange Act of 1934 and Findings of the Commission ("Order
Instituting Proceedings"), the Securities and Exchange
Commission ("Commission") instituted these public
administrative proceedings against Tucker Anthony Inc., and
other firms and individuals. Contemporaneously, Tucker
Anthony Inc. ("Respondent") has submitted an Offer of
Settlement ("Offer") in anticipation of the institution of
these proceedings, which the Commission has determined to
accept. In its Offer, Respondent, solely for the purposes
of these proceedings and any other proceedings brought by or
on behalf of the Commission or to which the Commission is a
party, prior to a hearing pursuant to the Commission’s Rules
of Practice, and without admitting or denying the findings
herein, except for the findings of Section II.A., which are
admitted, has consented to the entry of the Order
Instituting Proceedings and this Order Making Findings and
Imposing Sanctions as to Tucker Anthony Inc. (which are
hereinafter referred to as the "Orders").
The Commission has determined that it is appropriate
and in the public interest to accept the Respondent’s Offer
and accordingly is issuing this Order.
SNIPPETS:
|
|
|
| | | |
|
|
