| United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1968 - 898 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, susj>ension, or revocation is in the... | |
| United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1968 - 192 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... | |
| United States. Congress. House. Interstate and Foreign Commerce - 1968 - 194 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... | |
| United States. Congress. Senate. Committee on Banking and Currency - 1969 - 142 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... | |
| United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1970 - 1004 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... | |
| United States. Securities and Exchange Commission - 1992 - 1098 páginas
...90O451S. '"Section 15(b)(4) of the Exchange Act provides as follows: (4) The Commission, by order, sha'l censure, place limitations on the activities, functions,...or revoke the registration of any broker or dealer if it finds, on the record after notice and opportunity for hearing, that such censure, placing of... | |
| United States - 1976 - 476 páginas
..."(3) (A) The appropriate regulatory agency for a transfer agent, by order, shall deny registration to, censure, place limitations on the activities, functions,...exceeding twelve months, or revoke the registration of such transfer agent, if such appropriate regulatory agency finds, on the record after notice and opportunity... | |
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