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8 results for “
"Rules 17a-3"
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EFTA01581776
Set 10
1p
730w
maintaining books and records relating to such Transaction as required by
Rules
17a
-3
and
17a
-4 under the Exchange Act, and (d) if requested by Party A or Party
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01581776.pdf
EFTA01592072
Set 10
2005-05-19
13p
4,395w
maintaining books and records relating to such Transaction as required by
Rules
17a
-3
and
17a
-4 under the Exchange Act, and (d) if requested by Party A or Party
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01592072.pdf
EFTA01592108
Set 10
2005-05-19
13p
4,310w
maintaining books and records relating to such Transaction as required by
Rules
17a
-3
and
17a
-4 under the Exchange Act, and (d) if requested by Party A or Party
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01592108.pdf
EFTA00187050
Set 9
59p
13,057w
will be preserved for three years after termination of employment in accordance with
Rules
17a
-3
and
17a
-4 of the Securities and Exchange Commission and
Rule
https://www.justice.gov/epstein/files/DataSet%209/EFTA00187050.pdf
EFTA01337179
Set 10
57p
13,372w
will be preserved for three years after termination of employment in accordance with
Rules
17a
-3
and
17a
-4 of the Securities and Exchange Commission and
Rule
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01337179.pdf
EFTA01700759
Set 10
2007-09-07
100p
30,552w
• ear Sfee-ons EFTA01700759 BEAR BEAR, STEARNS & CO. INC. STEARNS SHARON D. CERES 320 PARK
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01700759.pdf
EFTA01386110
Set 10
2013-09-23
1p
706w
Exchange Act §§15(c)(1)(A), 15(g) and 17(a) and
Rule
17a
-3
(A)(6) thereunder; (2) censured Merrill pursuant to Exchange
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386110.pdf
EFTA01374036
Set 10
2008-01-31
1p
811w
that Merrill Lynch willfully violated section 17(a) of the Exchange Act and
Rule
17a
-3
(A)(6) thereunder by failing to record certain terms and conditions of customer orders
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374036.pdf
Corpus: 1990-03-17 – 2025-12-01
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8 total
Set 9
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Set 10
7