 | United States. Congress. Senate. Committee on Banking and Currency - 1969 - 142 páginas
...expected to prevent and detect, insofar as practicable, any such violation by such other person; and "(B) such person has reasonably discharged the duties and...procedures and system were not being complied with; or "(6) is subject to an order of the Commission entered pursuant to subsection (f) of this section... | |
 | Wisconsin - 1969 - 1682 páginas
...any violations of statutes, rules or orders and if such person has reasonably discharged the duties incumbent upon him by reason of such procedures and...procedures and system were not being complied with; (k) Has failed to pay the proper filing fee, but the commissioner shall vacate any such order when... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1969 - 514 páginas
...the duties and obligations .incumbent upon him 6 by reason of such procedures and system with7 out reasonable cause to believe that such procedures and system were not being complied with; or "(6) is subject to an order of the Commission entered pursuant to subsection (f) of this section... | |
 | United States - 1976 - 476 páginas
...violation, if such other person is subject to his supervision. For the purposes of this subparagraph (E) no person shall be deemed to have failed reasonably...procedures and system were not being complied with. "(F) is subject to an order of the Commission entered pursuant to paragraph (6) of this subsection... | |
 | United States. Securities and Exchange Commission - 1974 - 36 páginas
...expected to prevent and detect, insofar as practicable, any such violation by such other person ; and (B) such person has reasonably discharged the duties and...procedures and system were not being complied with ; or (6) is subject to an order of the Commission entered pursuant to subsection (f) of this section... | |
 | United States. Securities and Exchange Commission - 1977 - 630 páginas
...17a-3(a)(12), S 240. 17a-3(a)(12) (1976) (questionnaire to be procured from certain employees). - 38 by reason of such procedures and system without reasonable...procedures and system were not being complied with. 77/ Thus, a broker-dealer, its officers and supervisory employees must maintain reasonable supervision... | |
 | 1980 - 1072 páginas
...person has reasonably discharged the duties and obligations incumbent upon that person, as supervisor, by reason of such procedures and system, without reasonable...procedures and system were not being complied with. (7) Such person has pleaded note contender? to criminal charges of felonious conduct, or has been convicted... | |
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... (i) there have been established procedures, and a system for applying such procedures, which would reasonably be expected to prevent and detect, insofar as practicable, any such violation by such other person, and (ii) such person has reasonably discharged... 
