""the Exchange Commission"" — Epstein Files Search

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8 results for “"the Exchange Commission"”

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EFTA02702844Set 11

2016-05-1111p5,318w

securities exchange or automated quotation system. Neither the U.S. Securities and Exchange Commission (the 'SEC') nor any state securities commission has approved or disapproved of the Notes or passed upon

https://www.justice.gov/epstein/files/DataSet%2011/EFTA02702844.pdf

EFTA01393831Set 10

Underlying Fund have been recommended, approved or disapproved by the U.S. Securities and Exchange Commission (the "SEC'), or by any other U.S. federal or state securities commission, regulatory authority

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393831.pdf

EFTA01130053Set 9

change in control of such publicly traded corporation as reported to the Securities and Exchange Commission, immediately upon acquiring such knowledge. (Adopted: 2/94) 3.015 Applications for restricted licenses

https://www.justice.gov/epstein/files/DataSet%209/EFTA01130053.pdf

EFTA01559410Set 10

2011-01-0134p4,454w

profit membership corporation funded by broker-dealers registered with the Securities and Exchange Commission. Securities and cash held for a customer at JPMS and JPMCC are protected by SIPC

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01559410.pdf

EFTA01557692Set 10

2002-12-3113p2,375w

profit membership corporation funded by broker-dealers registered with the Securities and Exchange Commission. Securities and cash held for a customer account at JPMSI are protected up to an amount

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01557692.pdf

EFTA01572555Set 10

2012-08-0126p3,657w

profit membership corporation funded by broker-dealers registered with the Securities and Exchange Commission. Securities and cash held for a customer at JPMCC are protected by SIPC

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572555.pdf

EFTA00239188Set 9

2013-09-23269p127,446w

Interests have not been recommended, approved or disapproved by the U.S. Securities and Exchange Commission (the "SEC") or by the securities regulatory authority of any state or of any other

https://www.justice.gov/epstein/files/DataSet%209/EFTA00239188.pdf

EFTA01501866Set 10

2011-07-011p832w

profit membership corporation funded by broker-dealers registered with the Securities and Exchange Commission. Securities and cash held for a customer at JPMS and JPMCC are protected by SIPC

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01501866.pdf

Corpus: 1990-03-17 – 2025-12-01

May 2016

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Results by Dataset12 total

Set 9

4

Set 10

7

Set 11

1