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68 SEC Docket 1 (1998-1999)

handle is hein.journals/secdoc68 and id is 1 raw text is: (CCH SEC DOCKET Volume 68, Issue No. 1 October 12, 1998 Releases in this Volume Release No. Page Securities Act of 1933: 7579- 7580 ............................. 3 Securities Exchange Act of 1934: 40365A ...................... 10 40433---40449 ................ 10 Public Utility Holding Company: 26916 ....................... 57 Investment Advisers Act of 1940: 1750-1752 .................. 58 Investment Company Act of 1940: 23432-23439 ............... 62 Litigation: 15880-15886 ................................... 74 Accounting and Auditing Enforcement: 1076-1077 ............. 78 International Series: 1157- 1158 ............................. 78 Administrative Proceeding Rulings: 568 ....................... 78 This listing covers releases issued from 09/11/98 - 09/17/98. This listing does not affect the legal status of any document published in this issue. SIGNIFICANT ITEM OPINIONS 34-40436 First Colorado Financial Services Company, Inc. and Mark P. Augustine Member firm of registered securities association and firm's FINOP filed inaccurate FOCUS report but did not violate the net capital rule as the firm did not participate in a firm commitment underwriting. Held, association's find- ings of violation are sustained in part and set aside in part, sanctions are vacated, and proceedings are remanded for redetermination of sanctions. 34-40438 Joseph Patrick Hannan Associated person of member firm failed to respond to associa- tion staff's request for an in-person interview. Held, associ- ation's findings of violation sustained, but sanctions imposed modified. IA-1752 Sole proprietor and consultant associated with a registered investment adviser was convicted in 1992 of thirteen fel- ony counts (four counts of theft, three counts of sale of