| United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1989 - 184 páginas
...Commission, by order, shall censure, place limitations on the activities, functions, or operations, suspend for a period not exceeding twelve months, or revoke the registration of any municipal securities dealer, if it finds, on the record after notice and opportunity for hearing, that... | |
| United States. Congress. Senate. Select Committee on Ethics - 1991 - 286 páginas
..."(3) The appropriate regulatory agency for a transfer agent, by order, shall deny registration to, censure, place limitations on the activities, functions,...operations of, suspend for a period not exceeding 12 months, or revoke the registration of such transfer agent, if such appropriate regulatory agency... | |
| United States. Congress. Senate. Select Committee on Ethics - 1991 - 884 páginas
..."(3) The appropriate regulatory agency for a transfer agent, by order, shall deny registration to, censure, place limitations on the activities, functions,...operations of, suspend for a period not exceeding 12 months, or revoke the registration of such transfer agent, if such appropriate regulatory agency... | |
| United States - 1989 - 584 páginas
...instrumentality of interstate commerce in connection therewith. (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, on the record after notice and opportunity for hearing, that such censure, placing of... | |
| United States - 1985 - 484 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 - 556 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, United States. Congress. House. Committee on Energy and Commerce - 1993 - 656 páginas
...securities dealer may, in the manner and for the reasons specified in paragraph (1)(A) 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 - 1997 - 776 páginas
...securities dealer may, in the manner and for the reasons specified in paragraph (1)(A) 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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