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

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...
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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 - 202 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, or operations of, suspend for • period not exceeding twelve months, or revoke the registration of any investment adviser if it...
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The Securities Law Enforcement Remedies Act of 1989: Hearings ..., Volumen4

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1990 - 512 páginas
...the existence of the bar order. Pursuant to Section 15(b)(4) of the Exchange Act, the Commission may 'censure, place limitations on the activities, functions,...twelve months, or revoke the registration* of any broker-dealer upon a finding that such sanction is in the public interest and that the broker-dealer...
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Preliminary Inquiry Into Allegations Regarding Senators Cranston ..., Volumen5

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...
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Preliminary Inquiry Into Allegations Regarding Senators Cranston, DeConcini ...

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

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

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

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

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

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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