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53 SEC Docket 1 (1992-1993)

handle is hein.journals/secdoc53 and id is 1 raw text is: SEC DOCKET Volume 53, No. 1 December 31, 1992 RELEASES IN THIS VOLUME PAGE Securities Exchange Act 31585- 31620 .............................................. 2 Public Utility Holding Company Act 25700-25710 ............................. 74 Investment Company Act 19153- 19164 ............................................ 102 L itigation 13469- 13477 .................................................................. 109 International Series 508- 511 .......................................................... 115 Initial D ecision 30 .......................................................................... 115 This listing covers releases issued from 12/11/92-12/17/92. This listing does not affect the legal status of any document published in this issue. SIGNIFICANT ITEMS OPINIONS 34-31602 MICHAEL DAVID BORTH AND DONALD WILLIAM JONES Where a registered representative and the general securities princi- pal/financial and operations principal/compliance officer of a mem- ber firm of a registered securities association failed to provide infor- mation requested by association in connection with investigations, held, association's finding of violation and sanctions it imposed su sta in ed ............................................................................ 34-31619 LEON A. GREENBLATT Where market maker on national securities exchange violated ex- change rules designed to ensure adequate liquidity and market maker presence at trading stations, held, exchange's findings of violations and the sanctions it imposed sustained ........................ COMMERCE, CLEARING, HOUSE,.INC.. Setting the standard since 1913 4025 West Peterson Avenue Chicago, Illinois 60646