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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
KHAN COMMISSION STOCK SECURITIES EXCHANGE ACT PROCEEDING PRICE RESPONDENT INSTITUTING HEREBY CALIFORNIA FCMI COMPLAINT ALLEGES ADMINISTRATIVE PROCEEDING RAFI FINDINGS SANCTIONS JUDGEMENT PERMANENT INJUNCTION BROKER-DEALER CLIENTS INVESTORS ADMITS ENTRY DEALERS NASD TRADING LIQUIDATE |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 42867 / May 31, 2000
ADMINISTRATIVE PROCEEDING
File No. 3-10212
_______________________________
In the Matter of
RAFI M. KHAN,
Respondent.
_______________________________
ORDER INSTITUTING PUBLIC
ADMINISTRATIVE
PROCEEDING PURSUANT TO
SECTIONS 15(b)(6) AND 19(h)
OF THE SECURITIES
EXCHANGE ACT OF 1934,
MAKING FINDINGS, AND
IMPOSING REMEDIAL
SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate in the public interest and for the protection of investors
to institute a public administrative proceeding pursuant to Sections
15(b)(6) and 19(h) of the Securities Exchange Act of 1934 ("Exchange
Act") against Rafi M. Khan ("Khan"). Accordingly, IT IS HEREBY ORDERED
that said proceeding be, and hereby is, instituted.
II.
In anticipation of the institution of this proceeding, Respondent has
submitted an Offer of Settlement ("Offer") which the Commission has
determined to accept. Solely for the purpose of this proceeding and
any other proceedings brought by or on behalf of the Commission, or in
which the Commission is a party, and without admitting or denying the
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