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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
LLC INDEPENDENT CONSULTANT COMMISSION EXCHANGE ACT PRACTICES SECURITIES RECOMMENDATIONS INSTITUTING POLICIES RESPONDENT NASDAQ MARKET REASON STOCK PURSUANT FINDINGS VIOLATION FIRMS PURPOSES ENTRY REVIEW THEREUNDER MAKING TRANSACTION IMPROPER MATERIALS WRITING REPORT BUSINESS ATLANTIC COAST AIRLINES |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 34-40923 / 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 : THE ROBINSON-
: HUMPHREY COMPANY,
: LLC
___________________________________:
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 The Robinson-Humphrey
Company, LLC and other firms and individuals.
Contemporaneously, The Robinson-Humphrey Company, LLC
("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 The Robinson-Humphrey Company, LLC
(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
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