| United States - 2000 - 1216 páginas
...paragraph (2); or (B) a substantially equivalent crime by a foreign court of competent jurisdiction. (4) is permanently or temporarily enjoined by order, judgment,...or decree of any court of competent jurisdiction, including any foreign court of competent jurisdiction, from acting as an investment adviser, underwriter,... | |
| United States - 1994 - 1332 páginas
...chapter 25 or 47 of title 18, or a violation of ' substantially equivalent foreign statute. (3) is מ g DL譟 hА Ϗ =v L X TT 3 e ko ? ~Q ?X R ^ V 'υں ͆wC K including any foreign court of competent jurisdiction, from acting as an investment adviser, underwriter,... | |
| 1998 - 784 páginas
...dealer or in-vestment adviser; (2) Is temporarily or permanently re-strained or enjoined by any court from engaging in or continuing any conduct or practice in connection with the pur-chase or sale of any security or arising out of such person's conduct as an un-derwriter, broker, dealer or investment... | |
| 1999 - 620 páginas
...purchase or sale of any commodity or security, or any option on any commodity or security, or (ii) Is permanently or temporarily enjoined by order, judgment...decree of any court of competent jurisdiction from acting as a commodity pool operator, futures commission merchant, or floor broker, or as an affiliated... | |
| 1987 - 530 páginas
...to the filing of such notification, temporarily or permanently restraining or enjoining such person from engaging in or continuing any conduct or practice in connection with the purchase or sale of securities; (5) Is subject to pending proceedings under section 8(e) of the Investment Company Act... | |
| United States. Congress. Senate. Agriculture and Forestry Committee - 1949 - 128 páginas
...similar function, or controlling person thereof—• "(ii) at the time of the issuance of such order, is permanently or temporarily enjoined by order, judgment,...decree of any court of competent jurisdiction from acting as a commodity trading adviser, commodity pool operator, futures commission merchant, or floor... | |
| 1997 - 734 páginas
...to the filing of such notification, temporarily or permanently restraining or enjoining such person from engaging in or continuing any conduct or practice in connection with the purchase or sale of securities; (5) Is subject to pending proceedings under section 8(e) of the Investment Company Act... | |
| 1998 - 626 páginas
...purchase or sale of any commodity or security, or any option on any commodity or security, or (ii) Is permanently or temporarily enjoined by order, judgment...decree of any court of competent jurisdiction from acting as a commodity pool operator, futures commission merchant, or floor broker, or as an affiliated... | |
| 2000 - 622 páginas
...purchase or sale of any commodity or security, or any option on any commodity or security, or (ii) Is permanently or temporarily enjoined by order, judgment...decree of any court of competent jurisdiction from acting as a commodity pool operator, futures commission merchant, or floor broker, or as an affiliated... | |
| 1997 - 608 páginas
...Section 8a(2)(C) authorizes the Commission to affect the registration of any person: "if such person is permanently or tempo-rarily enjoined by order, judgment, or decree of any court of competent jurisdiction * * * , including an order entered pursuant to an agreement of settlement to which the Com-mission... | |
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