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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
EXCHANGE ACT SECURITIES COMMISSION PROCEEDING CLIENTS SETTLEMENT PURSUANT WYMER FINDINGS UNITED STATES CONSULTANT VIOLATIONS REPORT RESPONDENT PUBLIC ADMINISTRATIVE PROCEEDING REVIEW TRANSACTIONS RECOMMENDATIONS DISTRIBUTION ADMINISTRATIVE PROCEEDING REMEDIAL SANCTIONS ADVISORY FEE TRADE CONFIRMATIONS COMPLIANCE POLICIES PARTICIPATING CLIENT GOVERNMENT SECURITIES OPTIONS DEFRAUDED CLIENTS THEREUNDER RSI UNDERTAKES |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 37531 / August 6, 1996
ADMINISTRATIVE PROCEEDING
File No. 3-9054
___________________________________
:
In the Matter of : ORDER INSTITUTING PUBLIC
: ADMINISTRATIVE
REFCO SECURITIES, INC. : PROCEEDING, MAKING
: FINDINGS, IMPOSING
Respondent. : REMEDIAL SANCTIONS AND
: ISSUING CEASE-AND-DESIST
: ORDER
:
___________________________________:
I.
The Securities and Exchange Commission ("Commission") deems
it appropriate and in the public interest that a public
administrative proceeding pursuant to Sections 15(b), 19(h) and
21C of the Securities Exchange Act of 1934 ("Exchange Act") be
instituted against Refco Securities, Inc. ("RSI").
II.
In anticipation of the institution of this proceeding, RSI
has submitted an Offer of Settlement 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
RSI admits the jurisdiction of the Commission over it and over
the subject matter of this proceeding, RSI consents to the entry
of this Order Instituting Public Administrative Proceeding,
Making Findings, Imposing Remedial Sanctions and Issuing Cease-
SNIPPETS:
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