 ( 3 ) is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from acting as an investment adviser, underwriter, broker, or dealer, or an affiliated person or employee of any investment company, bank,...  Investor Protection: Hearings Before a Subcommittee of the Committee on ...por United States. Congress. House. Committee on Interstate and Foreign Commerce - 1964 - 1418 páginasVista de fragmentos - Acerca de este libro
 | United States. Securities and Exchange Commission - 1956 - 926 páginas
...of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security; or (D) has willfully violated any provision ... of this title, or of any rule or regulation thereunder." The record shows that on February 10, 1950, in... | |
 | United States - 1968 - 374 páginas
...competent jurisdiction from acting as an investment adviser, underwriter, broker, or dealer, or as an affiliated person or employee of any investment...willfully violated any provision of the Securities 48 stat. 74. Act of 1933, or of the Securities Exchange Act of 1934, or of this 15 use 77a. title,... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 páginas
...permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security ; or (D) has willfully violated any provision of the Securities... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 páginas
...permanently or temporarily enjoined by order, judgment or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security; or (4) has wilfully violated any provision of the Securities... | |
 | United States. Securities and Exchange Commission - 1951 - 862 páginas
...acting as an underwriter, broker, dealer, or investment adviser, or as an affiliated person, salesman, or employee of any investment company, bank, or insurance...connection with the purchase or sale of any security; or (3) a company any affiliated person of which is ineligible, by reason of paragraph (1) or (2), to serve... | |
 | United States. Securities and Exchange Commission - 1941 - 1124 páginas
...acting as an underwriter, broker, dealer, or Investment adviser, or as an affiliated person, salesman, or employee of any Investment company, bank, or Insurance...activity or In connection with the purchase or sale of any security . . . Section 9 (b) provides: Any person who Is Ineligible, by reason of subsection... | |
 | United States. Securities and Exchange Commission - 1956 - 716 páginas
...judgment, or decree of any court of competent jurisdiction from acting as an investment adviser, ... or from engaging In or continuing any conduct or practice...connection with the purchase or sale of any security; or "(8) has violated the provisions of section 207 of this title." ,".r, 8. BC— IA 40 84 represented... | |
 | United States. Securities and Exchange Commission - 1957 - 756 páginas
...of competent Jurisdiction from engaging In or continuing any conduct or practice In connection with the purchase or sale of any security ; or (D) has willfully violated any provision ... of this title, or of any rule or regulation thereunder." Section ISA (1) (2) of the Act provides for the... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 108 páginas
...permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security; "(5) the rules of the association assure a fair representation... | |
 | United States. Securities and Exchange Commission - 1960 - 996 páginas
...interest and that such broker or dealer Is permanently enjoined by any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security or has willfully violated any provision of the Act or any rule... | |
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