Hidden fields
Libros Libros
" The Commission shall, after appropriate notice and opportunity for hearing, by order deny registration to or revoke the registration of any broker or dealer if it finds that such denial or revocation is in the public interest and that (1) such broker... "
Decisions and Reports - Página 407
por United States. Securities and Exchange Commission - 1957
Vista completa - Acerca de este libro

Decisions and Reports, Volumen9

United States. Securities and Exchange Commission - 1943 - 1160 páginas
...Commission shall, after appropriate notice and opportunity for bearing, by order deny registration to or revoke the registration of any broker or dealer If It finds that such denial or revocation Is In the public Interest and that (1) such (Footnbte 1 continued on p. 626.)...
Vista completa - Acerca de este libro

Decisions and Reports, Volumen15

United States. Securities and Exchange Commission - 1949 - 1134 páginas
...(b) provides in part: The Commission shall, after appropriate notice and opportunity for hearini, l» order . . . revoke the registration of any broker or dealer if it finds that rack seta! or revocation is in the public interest and that (1) such broker or dealer . . . (D> i"...
Vista completa - Acerca de este libro

Securities Exchange Act of 1934: And Amendments Public--no. 291--73d ...

United States - 1938 - 48 páginas
...Commission shall, after appropriate notice and opportunity for hearing, hy order deny registration to or revoke the registration of any broker or dealer if it finds that such denial or revocation is in the public interest and that (1) such broker or dealer whether prior or...
Vista completa - Acerca de este libro

Decisions and Reports

United States. Securities and Exchange Commission - 1956 - 1106 páginas
...Act provides in pertinent part: "The Commission shall, attar appropriate notice and opportunity for hearing, by order . . . revoke the registration of any broker or dealer if It find* that sneh . . . revocation is in the public Interest and that (1) such broker or dealer . . ....
Vista completa - Acerca de este libro

General Rules and Regulations Under the Securities Exchange Act of 1934, as ...

United States. Securities and Exchange Commission - 1956 - 900 páginas
...Persons SECTION 20. (a) Every person who, directly or indirectly, controls any person liable under any provision of this title or of any rule or regulation thereunder shall also be liable jointly and severally with and to the same extent as such controlled person to...
Vista completa - Acerca de este libro

Decisions and Reports, Volumen8

United States. Securities and Exchange Commission - 1941 - 1124 páginas
...the Commission shall, after appropriate notice and opportunity for hearing, deny, revoke, or suspend the registration of any broker or dealer if it finds that such denial, revocation, or suspension of registration is in the public interest and that such broker or...
Vista completa - Acerca de este libro

Investment Trusts and Investment Companies: Hearings Before a Subcommittee ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 páginas
...registration statement, application, report, or other document filed with the Commission pursuant to any provision of this title or of any rule or regulation thereunder (as distinguished from any information or document transmitted to the Commission) shall be made available...
Vista completa - Acerca de este libro

Investment Trusts and Investment Companies: Hearings Before a ..., Parte3

United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities and Exchange - 1940 - 1190 páginas
...registration statement, application, report, or other document filed with the Commission pursuant to any provision of this title or of any rule or regulation thereunder shall be made available to the public, unless and except insofar as the Commission, by rules and regulations...
Vista completa - Acerca de este libro

Investment Trusts and Investment Companies, Hearings Before a Subcommittee ...

United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 páginas
...registration statement, application, report, or other document filed with the Commission pursuant to any provision of this title or of any rule or regulation thereunder shall be made available to the public, unless and except insofar as the Commission, by rules and regulations...
Vista completa - Acerca de este libro

Hearings, Reports and Prints of the Senate Committee on Banking ..., Partes1-4

United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 páginas
...registration Maternent, application, report, or other document filed with the Commission pursuant to any provision of this title or of any rule or regulation thereunder shall be made available to the public, unless and except insofar as the Commission, by rules and regulations...
Vista completa - Acerca de este libro




  1. Mi biblioteca
  2. Ayuda
  3. Búsqueda avanzada de libros
  4. Descargar EPUB
  5. Descargar PDF