 | United States - 1973 - 400 páginas
...the purposes of this clause (E) no person shall be deemed to have failed reasonably to supervise any person, if — "(i) there have been established procedures,...procedures and system were not being complied •with. "(F) is subject to an order of the Commission entered pursuant to paragraph (7) of this subsection... | |
 | United States - 2000 - 1216 páginas
...expected to prevent and detect, Insofar as practicable, any such violation by such other person, and (B) such person has reasonably discharged the duties and...procedures and system were not being complied with. (7) is subject to an order of the Commission entered pursuant to subsection (f) of this section barring... | |
 | United States - 1983 - 1152 páginas
...person has reasonably discharged the duties and obligations incumbent upon that person, as supervisor, by reason of such procedures and system, without reasonable...procedures and system were not being complied with; (D) such person was convicted of a felony other than a felony of the type specified in paragraph (2XD)... | |
 | United States - 1964 - 356 páginas
...supervise any person, if — 39-068 O-64-22 Postponement of registration. Post, pp. 5747R STttT, 57?, "(i) there have been established procedures, and a...procedures and system were not being complied with. "(F) is subject to an order of the Commission entered pursuant to paragraph (7) of this subsection... | |
 | 1980 - 680 páginas
...person has reasonably discharged the duties and obligations incumbent upon that person, as supervisor, by reason of such procedures and system, without reasonable...procedures and system were not being complied with. (7) Such person has pleaded nolo contendere to criminal charges of felonious conduct, or has been convicted... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 490 páginas
...clause (E) of this paragraph, no person shall be deemed to have failed reasonably to supervise any person, if (i) there have been established procedures,...procedures and system were not being complied with. Pending final determination whether any such registration shall be denied, the Commission may by order... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1967 - 132 páginas
...other person, and "(6) is subject to an order of the Commission entered pursuant to subsection "(B) such person has reasonably discharged the duties and...procedures and system were not being complied with. with an investment adviser, which order is in effect with respect to such person." (/) of this section... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1967 - 136 páginas
...discharged the duties and obligation". incumbent upon him by reason of such procedures and system withoui reasonable cause to believe that such procedures and system were not being complied with. "(6) is subject to an order of the Commission entered pursuant to subsection (/) of this section barring... | |
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... (i) there have been established procedures, and a system for applying such procedures, which would reasonably be expected to prevent and detect, insofar as practicable, any such violation by such other person, and (ii) such person has reasonably discharged... 
