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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 Advisers Act of 1940, as in Effect July 1, 1974

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...
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Securities Acts Amendments of 1975: Hearings Before the Subcommittee on ...

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

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,...
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Reports on Banks Securities Activities of the Securities and Exchange ...

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...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

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...
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Securities Regulation: Liabilities and Remedies

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) . ....
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

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...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

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...
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Compilation of Securities Laws Within the Jurisdiction of the ..., Volumen4

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...
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International Securities Enforcement: Hearing Before the ..., Volumen4

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1989 - 188 páginas
...members in activities listed above. Section 203 [15 USC 80b-3) (e) . . . The Commission, by order, shall censure, place limitations on the activities, functions,...exceeding twelve months, or revoke the registration of any investment adviser if it finds, on the record after notice and opportunity for hearing, that such censure,...
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