| United States. Securities and Exchange Commission - 1974 - 36 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, Housing, and Urban Affairs. Subcommittee on Securities - 1975 - 790 páginas
...9-15 on page 89 should be amended to read : "(2) The Commission, by order, shall deny registration to, censure, place limitations on the activities, functions,...exceeding twelve months, or revoke the registration of any municipal securities broker or municipal securities dealer if it finds, on the record after notice... | |
| United States - 1981 - 548 páginas
...instrumentality of interstate commerce in connection therewith. "(4) The Commission, by order, shall censure, place limitations on the activities, functions,...exceeding twelve months, or revoke the registration of any broke)- or dealer if it finds, on the record after notice and opportunity for hearing, that such censure,... | |
| United States. Securities and Exchange Commission - 1977 - 630 páginas
...80b-3(e) and 80b-3(f) (1970). 513/ The Commission has authority under Sections 203(e) and 203(f) to censure, place limitations on the activities, functions...exceeding twelve months, or revoke the registration of, investment advisers and their associated persons. - 249 If the Commission believes that the investment... | |
| United States, United States. Congress. House. Committee on Interstate and Foreign Commerce - 1978 - 540 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... | |
| Marc I. Steinberg - 1984 - 1220 páginas
...such supervised person.3 1 Section 15(b)(4)(E) provides in part: "(4) The Commission, by order, shall censure, place limitations on the activities, functions,...or revoke the registration of any broker or dealer if it finds [such sanction] is in the public interest and that such broker or dealer. . . "(H) . .... | |
| United States, United States. Congress. House. Committee on Energy and Commerce - 1985 - 510 páginas
...(3XA) 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... | |
| United States - 1987 - 560 páginas
...securities dealer may, in the manner and for the reasons specified in paragraph (1XA) of this subsection, censure, place limitations on the activities, functions,...operations of, suspend for a period not exceeding 12 months, or bar from acting as a government securities broker or government securities dealer any... | |
| United States - 1988 - 560 páginas
...securities dealer may, in the manner and for the reasons specified in paragraph (1XA) of this subsection, censure, place limitations on the activities, functions,...operations of, suspend for a period not exceeding 12 months, or bar from acting as a government securities broker or government securities dealer any... | |
| |