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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
RAUSCHER PIERCE SECURITIES ACT POOLS EXCHANGE ACT OFFERINGS EXCHANGE COMMISSION INVESTMENT UNITED STATES DAIN RAUSCHER MAKING FINDINGS ORANGE COUNTY PROCEEDS TAXABLE OFFERINGS RBC DAIN RAUSCHER REMEDIAL SANCTIONS PURSUANT FUNDS REVERSE REPURCHASE AGREEMENTS INVESTMENT STRATEGY COUNTY TREASURER RAUSCHER PIERCE REFSNES CEASE-AND-DESIST PROCEEDINGS IMPOSING REMEDIAL SANCTIONS RESPONDENT MATERIAL INFORMATION INVERSE FLOATERS MISLEADING MUNICIPAL SECURITIES OBTAINING FUNDS REPAYMENT ACCOUNT |
UNITED STATES OF AMERICA
before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 8121 / August 13, 2002
SECURITIES EXCHANGE ACT OF 1934
Release No. 46346 / August 13, 2002
ADMINISTRATIVE PROCEEDING
File No. 3-10863
_________________________________________________________________
In the Matter of
RBC DAIN RAUSCHER
INCORPORATED, as successor
to RAUSCHER PIERCE
REFSNES, INC.,
Respondent.
_________________________________________________________________
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS,
MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS PURSUANT TO SECTION
8A OF THE SECURITIES ACT OF 1933 AND SECTIONS 15(b) AND 21C OF THE
SECURITIES EXCHANGE ACT OF 1934
I.
The Securities and Exchange Commission ("Commission") deems it
appropriate and in the public interest that public administrative and
cease-and-desist proceedings be, and hereby are, instituted pursuant
to Section 8A of the Securities Act of 1933 ("Securities Act") and
Sections 15(b) and 21C of the Securities Exchange Act of 1934
("Exchange Act"), against Rauscher Pierce Refsnes, Inc. ("Rauscher
Pierce"), now known as RBC Dain Rauscher Incorporated ("Dain Rauscher"
or "Respondent").
II.
In anticipation of the institution of these proceedings, Respondent
has submitted an Offer of Settlement (the "Offer") which the
Commission has determined to accept. Solely for the purpose of this
proceeding 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 herein, except as to the
SNIPPETS:
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