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Financial system / Securities and Exchange Commission v. W. J. Howey Co. / Security / Financial Industry Regulatory Authority / North American Securities Administrators Association / U.S. Securities and Exchange Commission / Securities regulation in the United States / Uniform Securities Act / Securities Act / United States securities law / Financial regulation / Financial economics


IN THE COURT OF APPEALS OF MARYLAND ____________________ September Term, 2012 ____________________ No. 51
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Document Date: 2013-06-27 16:22:24


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City

Paul Place Baltimore / Washington / /

Company

Manville / North American Securities Administrators Association Inc. / W.J. Howey Co. / Limited State Resources / COMMISSIONER AND NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. AS / DBSI Inc. / Financial Industry Regulatory Authority / CASSIDY TURLEY MD. INC. / Protect Retirement Funds / Baker Watts & Co. / /

Country

Puerto Rico / United States / U.S. Virgin Islands / Canada / Mexico / /

/

Facility

THE COURT OF APPEALS OF MARYLAND / Court of Special Appeals / Circuit Court / /

Organization

Court of Special Appeals of Maryland / Circuit Court / office of the Maryland / North American Securities Administrators Association / Montana Supreme Court / Court of Special Appeals / BRIEF OF MARYLAND SECURITIES COMMISSIONER AND NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION / UN Court / Supreme Court / INC / COURT OF APPEALS OF MARYLAND / Circuit Court for Baltimore County / U.S. Securities and Exchange Commission / Department of Justice / Securities Division / /

Person

Dana M. Levitz / KATHARINE M. WEISKITTEL / WILLIAM H. MATHEWS / JOSEPH J. OPRON / III / /

/

Position

State official / Maryland Securities Commissioner / manager / Commissioner / DOUGLAS F. GANSLER Attorney General / Assistant Attorneys General / Attorney General / principal executive officer / Securities Commissioner / Private / Judge / property manager / /

Product

Appellant / /

ProvinceOrState

District of Columbia / Montana / Maryland / Baltimore County / D.C. / /

URL

www.finra.org/Industry/Regulation/Notices/2005/p013456 / /

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