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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
BLAIR COMMISSION CLIENTS ADVISERS ACT PROCEEDING RSI SECURITIES PREMIUMS PAY TRANSACTIONS FEES VIOLATIONS INVESTMENT PURSUANT ADVISORY SCHEMES AUTHORIZATION AMOUNT ADMINISTRATIVE PROCEEDING FINDINGS ACCOUNTS HEREBY BROKER-DEALER GOVERNMENT SECURITIES OPTIONS SECURITIES OPTIONS TRADING DEFRAUD BUSINESS INSTRUMENTALITIES PAYMENTS |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
INVESTMENT ADVISERS ACT OF 1940
Release No. 1574 / August 6, 1996
ADMINISTRATIVE PROCEEDING
File No. 3-9053
___________________________________
:
In the Matter of : ORDER INSTITUTING PUBLIC
: ADMINISTRATIVE
DOUGLAS L. BLAIR : PROCEEDING, MAKING
: FINDINGS AND ISSUING
Respondent. : CEASE-AND-DESIST ORDER
:
:
:
___________________________________:
I.
The Securities and Exchange Commission ("Commission") deems
it appropriate that a public administrative proceeding pursuant
to Section 203(k) of the Investment Advisers Act of 1940
("Advisers Act") be instituted against Douglas L. Blair
("Blair").
II.
In anticipation of the institution of this proceeding, Blair
has submitted an Offer of Settlement ("Offer"), which the
Commission has determined to accept. Solely for the purpose of
this proceeding and any other proceeding brought by or on behalf
of the Commission, or in which the Commission is a party, and
without admitting or denying the findings contained herein,
except that Blair admits the jurisdiction of the Commission over
him and over the subject matter of this proceeding, Blair
consents to the entry of this Order Instituting Public
Administrative Proceeding, Making Findings and Issuing Cease-and-
SNIPPETS:
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