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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
DEAN WITTER REYNOLDS SECURITIES EXCHANGE COMMISSION PROCEEDING IMPOSING SANCTIONS UNITED STATES AMERICA SECURITIES EXCHANGE ACT ADMINISTRATIVE PROCEEDING MATTER MARKET MAKING NASDAQ ORDER MODIFYING DEAN WITTE CONNECTION ABOVE-CAPTIONED PROCEEDING AMOUNT DISGORGEMENT PAID RESPONDENT DEAN WITTER JONATHAN KATZ |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 41537 / June 18, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-9803
In the Matter of
CERTAIN MARKET MAKING
ACTIVITIES ON NASDAQ
ORDER MODIFYING
ORDER MAKING FINDINGS
AND IMPOSING SANCTIONS
AS TO DEAN WITTE
REYNOLDS, INC.R
Section IV.3. of the Order Making Findings and Imposing Sanctions as
to Dean Witter Reynolds, Inc., dated January 11, 1999 and issued in
connection with the above-captioned proceeding, is hereby modified to
reduce the amount of disgorgement to be paid by respondent Dean Witter
Reynolds, Inc. from $2311 to $625.
By the Commission.
Jonathan G. Katz
Secretary
_________________________________________________________________
Modified 06/18/1999
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