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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
SECURITIES INDEPENDENT CONSULTANT COMMISSION INSPECTION EXCHANGE REGISTERED REPRESENTATIVES COMPLIANCE CWI REVIEW PURCHASE RECOMMENDATIONS EXCHANGE ACT PURSUANT GIBSON BUSINESS BONDS SUPERVISE CONFIRMATION LETTER QUESTIONNAIRE REPORT FINDINGS PUBLICATION DETERMINATION RESPONSES BUSINESS ACTIVITY AFFILIATION MEETINGS STAFF REQUIRING |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 37755 / September 30, 1996
ADMINISTRATIVE PROCEEDING
File No. 3-9123
___________________________________
:
In the Matter of : ORDER INSTITUTING
: PUBLIC PROCEEDINGS,
THE O.N. EQUITIES SALES COMPANY : MAKING FINDINGS,
: AND IMPOSING
: REMEDIAL SANCTIONS
___________________________________:
I.
The Securities and Exchange Commission (the "Commission")
deems it appropriate and in the public interest that
administrative proceedings be instituted pursuant to Sections
15(b) and 19(h) of the Securities Exchange Act of 1934 ("Exchange
Act") against the O.N. Equities Sales Company ("ONESCO"), a
broker-dealer registered with the Commission pursuant to Section
15(b) of the Exchange Act.
In anticipation of the institution of these proceedings,
ONESCO has submitted an Offer of Settlement ("Offer") which the
Commission has determined to accept. Solely for the purpose of
these proceedings, and any other proceedings brought by or on
behalf of the Commission, or to which the Commission is a party,
and without admitting or denying the findings contained herein,
except for those set forth below in Section II., paragraph A.,
which are admitted, and prior to a hearing pursuant to the
Commission's Rules of Practice, 17 C.F.R. 201.1 et seq., ONESCO,
by its Offer, consents to the entry of the findings and the
imposition of the remedial sanctions set forth below.
SNIPPETS:
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