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" Commission, by order, shall censure, place limitations on the activities, functions, or operations of, suspend for a period not exceeding twelve months, or revoke the registration of any... "
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of ... - Página 49
por David P. McCaffrey, David W. Hart - 1998 - 224 páginas
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Laws Relating to Securities Commission, Exchanges and Holding Companies

United States - 1968
...oppor- Denial of regtunity for hearing, by order censure, deny registration to, suspend for istration. a period not exceeding twelve months, or revoke the registration of, any broker or dealer if it finds that such censure, denial, suspension, or revocation is in the public interest and that...
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United States Code

United States - 2000
...Censure, denial, or suspension of registration; notice and hearing The Commission, by order, shall censure, place limitations on the activities, functions,...exceeding twelve months, or revoke the registration of any investment adviser if it finds, on the record after notice and opportunity for hearing, that such censure,...
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United States Code: Containing the General and Permanent Laws of the United ...

United States - 1994
...(2)] (3) The appropriate regulatory agency for a transfer agent, by order, shall deny registration , <~ tx 3 {v ޝyTj Y W E qef Q=Я O V t L8 V s aK = MgD C g IK ˓x - zR 12 months, or revoke the registration of such transfer agent, if such appropriate regulatory agency...
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SEC Legislation: Hearings Before a Subcommittee of the Committee on Banking ...

United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities - 1959 - 640 páginas
...any broker or dealer it it finds that such denial or revocation by order deny registration to,] or suspend for a period not exceeding twelve months or revoke the registration of, any broker or dealer if it finds that such denial, suspension, or revocation is in the public interest and that (1) such...
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SEC Legislation, Hearings Before a Subcommittee ...,86-1 on ..., Volúmenes22-23

United States. Congress. Senate. Banking and Currency Committee - 1959 - 640 páginas
...Commission shall, after appropriate notice and opportunity for hearing, by order deny registration or suspend for a period not exceeding twelve months or revoke the registration of an investment adviser, if it finds that such denial, suspension, or revocation is in the public interest...
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Hearings, Reports and Prints of the Senate Committee on Banking and Currency

United States. Congress. Senate. Committee on Banking and Currency - 1959
...Commission shall, after appropriate notice and opportunity for hearing, by order deny registration or suspend for a period not exceeding twelve months or revoke the registration of an investment adviser, if it finds that such denial, suspension, or revocation Is In the public interest...
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Securities Acts Amendments, 1959: Hearings Before a Subcommittee of the ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1960 - 426 páginas
...Commission shall, after appropriate notice and opportunity for hearing, by order deny registration, or suspend for a period not exceeding twelve months or revoke the registration of an investment adviser, if it finds that such denial, suspension, or revocation is in the public interest...
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Investor Protection: Hearings Before a Subcommittee of the Committee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1964 - 1418 páginas
...shall, after appropriate notice and opjM>rtunity for hearing, by order censure, deny registration to, suspend for a period not exceeding twelve months or revoke the registration of, any broker or dealer If It finds that Mich censare, denial, suspension, or revocation Is In the public Interest and that...
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Investor Protection: Hearings Before a Subcommittee of the Committee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1964 - 1418 páginas
...shall, after appropriate notice and opportunity for hearing, by order censure, deny registration to, suspend for a period not exceeding twelve months or revoke the registration of, any broker or dealer if it finds that such censure, denial, suspension, or revocation is in the public interest and that...
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Investment Company Amendments of 1967: S. 1659: Analysis of ..., Volúmenes22-23

United States. Congress. Senate. Committee on Banking and Currency - 1967 - 117 páginas
...shall, after appropriate notice and opportunity for hearing, by order censure, deny registration to, or suspend for a period not exceeding twelve months, or revoke the registration of, an investment adviser, if it finds that such censure, denial, suspension, or revocation is in the public...
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