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 407por United States. Securities and Exchange Commission - 1957Vista completa - Acerca de este libro
| 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.)... | |
| 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"... | |
| 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... | |
| 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 . . .... | |
| 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... | |
| 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... | |
| 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... | |
| 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... | |
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