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1
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SEC ADMINISTRATIVE PROCEEDING
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EXTRACTED KEY WORDS
INVESTMENT MUTUAL FUND SECURITIES MARKOVITZ COMMISSION INVESTMENT COMPANY RESPONDENT TRADING FUND SHARES EXCHANGE ACT PRICE VIOLATIONS INVESTMENT ADVISERS TRADER MILLENNIUM PURSUANT BASIS EMPLOYMENT DISGORGEMENT FINDINGS SELL NAV PURCHASE INSTITUTING YORK PRACTICE REDEEM MATERIAL FACT PENALTIES |
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES ACT OF 1933
Release No. 8298 / October 2, 2003
SECURITIES EXCHANGE ACT OF 1934
Release No. 48588 / October 2, 2003
INVESTMENT ADVISERS ACT OF 1940
Release No. 2180 / October 2, 2003
INVESTMENT COMPANY ACT OF 1940
Release No. 26201 / October 2, 2003
ADMINISTRATIVE PROCEEDING
File No. 3-11292
_________________________________________________________________
In the Matter of
STEVEN B. MARKOVITZ,
Respondent.
_________________________________________________________________
ORDER INSTITUTING PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST
PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933,
SECTION 21C OF THE SECURITIES EXCHANGE ACT OF 1934, SECTION 203(f) OF
THE INVESTMENT ADVISERS ACT OF 1940, AND SECTIONS 9(b) AND 9(f) OF THE
INVESTMENT COMPANY ACT OF 1940, MAKING FINDINGS AND IMPOSING REMEDIAL
SANCTIONS
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"),
Section 21C of the Securities Exchange Act of 1934 ("Exchange Act"),
Section 203(f) of the Investment Advisers Act of 1940 ("Advisers
Act"), and Sections 9(b) and 9(f) of the Investment Company Act of
1940 ("Investment Company Act") against Steven B. Markovitz
SNIPPETS:
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