 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 páginas
...sale of any security or arising out of the conduct of the business of a broker or dealer; or (C) is permanently or temporarily enjoined by order, judgment,...or practice in connection with the purchase or sale of any security ; or (D) has willfully violated any provision of the Securities Act of 1933, as amended,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 páginas
...sale of any security or arising out of the conduct of the business of a broker or dealer; or (3) is permanently or temporarily enjoined by order, judgment...or practice in connection with the purchase or sale of any security; or (4) has wilfully violated any provision of the Securities Act of 1933 or the Securities... | |
 | United States. Securities and Exchange Commission - 1955 - 1022 páginas
...public interest and that . . . such broker or dealer whether prior or subsequent to becoming such ... is permanently or temporarily enjoined by order, judgment,...or practice in connection with the purchase or sale of any security ..." 28 SEC--34-— 4144 387 revocation of his registration as a dealer is in the public... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 108 páginas
...from membership in a registered securities association or a national securities exchange, or (C) is permanently or temporarily enjoined by order, judgment,...or practice in connection with the purchase or sale of any security; "(5) the rules of the association assure a fair representation of the membership in... | |
 | United States - 1938 - 48 páginas
...sale of any security or arising out of the conduct of the business of a broker or dealer; or (C) is permanently or temporarily enjoined by order, judgment,...or practice in connection with the purchase or sale of any security; or (D) has willfully violated any provision of the Securities Act of 1933, as amended,... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 páginas
...from membership in a registered securities association or a national securities exchange[, or (C) is permanently or temporarily enjoined by order, judgment,...or practice in connection with the purchase or sale of any security] ; "(5) the rules of the association assure a fair representation of [the membership]... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 páginas
...from membership in a registered securities association or a national securities exchange, or (C) is permanently or temporarily enjoined by order, judgment,...or practice in connection with the purchase or sale of any security ; "(5) the rules of the association assure a fair representation of the membership... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 148 páginas
...from membership in a registered securities association or a national securities exchange [, or (C) is permanently or temporarily enjoined by order, judgment,...or practice in connection with the purchase or sale of any security} ; "(5) the rules of the association assure a fair representation of [the membership]... | |
 | United States. Securities and Exchange Commission - 1962 - 1022 páginas
...or dealer If we find that It Is In the public Interest and that such broker or denier Is enjoined by any court of competent jurisdiction from engaging...continuing any conduct or practice In connection with tbe purchase or sale of any security or has willfully violated any provision of the Exchange Act or... | |
 | United States. Securities and Exchange Commission - 1956 - 716 páginas
...(1) such broker or dealer ... or <£) any . . . ofleer, dlreetor ... of such broker or dealer . . . U permanently or temporarily enjoined by order, Judgment,...decree of any court of competent jurisdiction from eniracinK in or continuing any conduct or practice ia connection with the purchase or sale of any MCiirity."... | |
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... or from engaging in or continuing any conduct or practice in connection with any such activity or in connection with the purchase... 
