 |
 |
|
|
|
|
|
|
|
| | | |
|
|
|
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
1
.
SEC ADMINISTRATIVE PROCEEDING
|
EXTRACTED KEY WORDS
DEAN WITTER DEAN WITTER REYNOLDS COMMISSION NASDAQ SECURITIES INSTITUTING MARKET STOCK VIOLATION PURSUANT FINDINGS RESPONDENT MAKING TRANSACTION THEREUNDER NASDAQ SYMBOL REASON COORDINATION QUOTATIONS RELATED SERIES SUPERVISE MONEY ORDER ENTRY YORK RELEVANT TIMES BUSINESS PURPOSES ADMITTING ACCORDANCE ACCOUNTS |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 34-40905 / January 11, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-9803
______________________________
:
In the Matter of : ORDER MAKING FINDINGS
: AND IMPOSING SANCTIONS
CERTAIN MARKET MAKING : AS TO DEAN WITTER
ACTIVITIES ON NASDAQ : REYNOLDS, 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 Dean Witter Reynolds,
Inc., and other firms and individuals. Contemporaneously,
Dean Witter Reynolds, 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 Dean Witter
Reynolds, 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:
|
|
|
| | | |
|
|
