 | United States. Securities and Exchange Commission - 1958 - 1232 páginas
...• broker or dealer If we find that It IB In the public Interest and that such broker or dealer has been convicted of any felony or misdemeanor Involving the purchase or sale of securities or Is enjoined by any court of competent Jurisdiction from engaging In any conduct or practice... | |
 | United States. Securities and Exchange Commission - 1943 - 1160 páginas
...Investment trust, or registered face-amount certificate company : (1) any person who within ten years has been convicted of any felony or misdemeanor Involving the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker, dealer, or Investment... | |
 | United States. Securities and Exchange Commission - 1941 - 1124 páginas
...interest and that such investment adviser . . . (1) within ten years of the issuance of such order, has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out of any conduct or practice of such investment adviser ... as an investment... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 páginas
...director, or controlling person thereof — (1) within ten years of the issuance of such order, has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out of any conduct or practice of such investment adviser or affiliated person... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 páginas
...director, or controlling person thereof — (1) within ten years of the issuance of such order, has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out of any conduct or practice of such investment adviser or affiliated person... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 páginas
...investment trust, or registered face-amount certificate company: (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out "of such person's conduct as an underwriter, broker, dealer, or investment... | |
 | United States - 1953 - 1692 páginas
...function, or controlling person thereof — (1) within ten years of the issuance of such order, has olving a any security or arising out of any conduct or practice of such investment adviser or affiliated person... | |
 | United States - 1975 - 1706 páginas
...similar function or controlling person thereof— (i) has within ten years of the issuance of such order new farms any commodity or security, or arising out of any conduct or practice of such commodity trading advisor... | |
 | 1987 - 624 páginas
...director or principal shareholder or partner or controlling person of either: (i) Has within ten years been convicted of any felony or misdemeanor involving the purchase or sale of any commodity or security, or any option on any commodity or security, or (ii) Is permanently or temporarily... | |
| |
... (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out "of such person's conduct as an underwriter, broker, dealer... 
