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" ... (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 adviser... "
Hearings, Reports and Prints of the Senate Committee on Banking and Currency - Página 33
por United States. Congress. Senate. Committee on Banking and Currency - 1940
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Unlisted Securities: Hearing Before the Committee on Interstate and Foreign ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 páginas
...been convicted within ten years preceding the filing of any such application or at any time thereafter of any felony or misdemeanor involving the purchase or 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...
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Trading in Unlisted Securities Upon Exchanges: Hearing Before the Committee ...

United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 páginas
...been convicted within ten years preceding the filing of such application or at any time thereafter of any felony or misdemeanor involving the purchase or 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...
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Decisions and Reports, Volumen30

United States. Securities and Exchange Commission - 1956 - 1016 páginas
.... revocation, or suspension is in the public Interest and that such investment adviser or any . . . officer, director ... or controlling person thereof...adviser or affiliated person as an investment adviser . . . broker, or dealer . . . • *••*•• "(3) has violated the provisions of section 207 of...
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Decisions and Reports, Volumen8

United States. Securities and Exchange Commission - 1941 - 1124 páginas
...revocation, or suspension of registration is in the public interest and that such broker or dealer has been convicted of any felony or misdemeanor involving...purchase or sale of any security or arising out of the conduct of the business of a broker or dealer, or is permanently or temporarily enjoined for engaging...
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Decisions and Reports, Volumen29

United States. Securities and Exchange Commission - 1955 - 920 páginas
...finds that such . . . revocation Is In the public Interest and that . . . such broker or dealer . . . has been convicted ... of any felony or misdemeanor...purchase or sale of any security or arising out of the conduct of the business of a broker or dealer ... or ... has wilfully violated any provision of...
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Decisions and Reports, Volumen9

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...purchase or sale of any security or arising out of such person's conduct as an underwriter, broker, dealer, or Investment adviser, or as an affiliated...
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Decisions and Reports, Volumen7

United States. Securities and Exchange Commission - 1941 - 1192 páginas
...been convicted within 10 years preceding the filing of any such application or at any time thereafter of any felony or misdemeanor Involving the purchase or sale of any security or arising out of the conduct of the business of a broker or dealer; • • • (D) has willfully violated any provision...
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Securities Exchange Act of 1934: And Amendments Public--no. 291--73d ...

United States - 1938 - 48 páginas
...been convicted within ten years preceding the filing of any such application or at any time thereafter of any felony or misdemeanor involving the purchase or 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...
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Decisions and Reports, Volumen3

United States. Securities and Exchange Commission - 1940 - 1240 páginas
...been convicted within 10 years preceding the filing of any such application or at any time thereafter of any felony or misdemeanor involving the purchase or sale of any security or arising out of the conduct of the business of a broker or dealer . . . By order dated February 19, 1938, the Commission...
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Decisions and Reports, Volumen38

United States. Securities and Exchange Commission - 1960 - 996 páginas
...dealer If we find it Is in the public interest and that such broker or dealer has been convicted of a felony or misdemeanor involving the purchase or sale of any security or arising out of the conduct of his business as a broker or dealer. 38 SEC — 84 — 5614 157 Fraud 2 and Conspiracy...
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