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SECURITIES & EXCH. COM'N v. WALL STREET TRANSCRIPT CORP.

No. 296, Docket 33350.

422 F.2d 1371 (1970)

In the Matter of an Application to Enforce Administrative Subpoena of the SECURITIES AND EXCHANGE COMMISSION, Applicant-Appellant, v. WALL STREET TRANSCRIPT CORPORATION, by Richard A. Holman, Respondent-Appellee.

United States Court of Appeals, Second Circuit.

Decided February 2, 1970.

Attorney(s) appearing for the Case

David Ferber, S.E.C., Washington, D. C. (Philip A. Loomis, Jr., Gen. Counsel, Theodore Sonde, Special Counsel, and Harvey L. Pitt, S. E. C., Washington, D. C., Richard V. Bandler, Associate Regional Administrator, Edwin H. Nordlinger, Special Counsel, and Michael S. Leo, New York Regional Office, S. E. C., New York City, on the brief), for appellant.

Samuel N. Greenspoon, New York City (Martin I. Kaminsky, Jonathan S. Gaynin, and Pollack, Greenspoon & Singer, New York City, on the brief), for appellee.

Before LUMBARD, Chief Judge, and DANAHER and ANDERSON, Circuit Judges.

ANDERSON, Circuit Judge:

On July 27, 1967, the Securities and Exchange Commission ordered an investigation of the Wall Street Transcript Corp., pursuant to § 209(a) of the Investment Advisers Act of 1940, 15 U.S.C. § 80b-9(a), to determine whether it was acting as an investment adviser in violation of § 203 of that Act, 15 U.S.C. § 80b-3, the registration provision. This action resulted, not from any specific complaint received,

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