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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
SECURITIES NASD REVIEW TDA VIOLATIONS NASDAQ COMMISSION SECURITIES LAW MARKET REVIEW COMMITTEE LISTING QUALIFICATIONS PANEL EXCHANGE ACT MISCONDUCT CONNECTION BASIS CIVIL STOCK DIRECTORS ACQUISITIONS CONTROL REMAND NASDAQ SMALLCAP MARKET PUBLIC OFFERING ACCORDANCE INCLUSION HISTORIES CONCUR KICK-BACK |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 39800 / March 25, 1998
Admin. Proc. File No. 3-9313
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:
In the Matter of the Application of :
:
EAGLE SUPPLY GROUP, INC. :
122 East 42nd Street :
Suite 1116 :
New York, New York 10168 :
:
For Review of Action Taken by the :
:
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.:
OPINION OF THE COMMISSION
REGISTERED SECURITIES ASSOCIATION -- DENIAL OF NASDAQSMALLCAP MARKET
LISTING
Control Persons' Prior Civil and Criminal Actions
Registered securities association, in denying an issuer's request that its
securities be included in the association's automatic quotation system,
failed to explain why twenty-five- and twenty-seven-year-old securities law
violations by two control persons indicate a risk of future misconduct.
Held, remanded for a more definitive and complete statement of the
reasoning for its decision.
APPEARANCES:
Richard H. Rowe, of Proskauer Rose LLP, for Eagle Supply Group,
Inc.
Robert E. Aber, Sara Nelson Bloom, and Arnold P. Golub, for the
Nasdaq Stock Market, Inc.
Appeal filed:May 22, 1997
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