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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
BROKER-DEALER COMMISSION SECURITIES EXCHANGE EXCHANGE ACT PROCEEDING ACCOUNT FLOOR BROKER NON-NYSE MEMBER BROKER-DEALER ADMINISTRATIVE PROCEEDING HEREBY NYSE VIOLATING PRINCIPALS PROFITS EXECUTED TRANSACTIONS CUSTOMER ORDERS UNITED STATES PURSUANT FINDINGS YORK SOUTHERN DISTRICT TRADING RECEIVING LOSSES CONSENTS SANCTIONS FLOOR BROKERAGE BUSINESS THEREUNDER |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE ACT OF 1934
Release No. 41944 / September 29, 1999
ADMINISTRATIVE PROCEEDING
File No. 3-10050
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In the Matter of
CHRISTINE A. BEYER ORDER INSTITUTING
PROCEEDINGS, MAKING
Respondent. FINDINGS, AND
IMPOSING REMEDIAL SANCTIONS
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I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that public administrative
proceedings be, and hereby are, instituted against Christine A. Beyer
("Beyer"), pursuant to Sections 15(b) and 19(h) of the Securities
Exchange Act of 1934 ("Exchange Act").
II.
In anticipation of the institution of this administrative proceeding,
Beyer 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 to which the Commission is a party, and without
admitting or denying the findings contained herein, except the
Commission's findings set forth in paragraphs III. A., III. B. and
III. C. below, which Beyer admits, Beyer consents to the issuance of
this Order Instituting Proceedings, Making Findings, and Imposing
Remedial Sanctions ("Order").
Accordingly, it is ordered that an administrative proceeding be and
hereby is instituted against Beyer pursuant to Sections 15(b) and
19(h) of the Exchange Act.
III.
On the basis of this Order and the Offer, the Commission finds that
A. Beyer was an independent floor broker on the New York Stock
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