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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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Investment Company Act Amendments of 1967: Hearings, Ninetieth Congress ...

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...
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Investment Company Act Amendments of 1967: Bank and Insurance Company ...

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...
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Investment Company Act Amendments of 1967, Bank and Insurance Company ...

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...
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High Interest Rates, Hearings Before ..., 91-1 ..., March 25 and 26, and ...

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...
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Mutual Fund Amendments: Hearings Before the Subcommittee on Commerce ..., Parte2

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...
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Securities Processing Act: Hearings, Ninety-second Congress, Second Session ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1972 - 296 páginas
...Commission after appropriate notice and opportunity for hearing, by order to censure, deny registration, suspend for a period not exceeding twelve months. or revoke the registration of any broker or dealer in the public interest where the broker or dealer has participated in, counseled, aided or abetted...
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SEC Docket: A Weekly Compilation of Releases from the Securities ..., Volumen5

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...
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Laws Relating to Securities Commission, Exchanges and Holding Companies

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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Regulation of Clearing Agencies and Transfer Agents, Hearings Before the ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1973 - 660 páginas
...interest or for the protection of investors or to carry out the purposes of this section — "(1) to suspend for a period not exceeding twelve months or revoke the registration of a registered clearing agency or impose limitations upon the activities, functions, or operations of...
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Securities Exchange Act Amendments of 1973: Hearings, Ninety-third Congress ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1974 - 286 páginas
...the purposes of this Act — ( a ) after appropriate notice and opportunity for hearing, by order, to suspend for a period not exceeding twelve months or revoke the registration of a registered securities depository, or place limitations upon the activities, operations or policies...
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