 | United States. Congress. Senate. Select Committee on Ethics - 1991 - 884 páginas
...in subsection (a) and inserting in lieu thereof the following: •(1) any person who within 10 years has been convicted of any felony or misdemeanor involving...purchase or sale of any security or arising out of such person's conduct as an underwriter, broker, dealer, investment adviser, municipal securities dealer,... | |
 | United States - 1987 - 556 páginas
...investment trust, or registered face-amount certificate company: (1) any person who within 10 years has been convicted of any felony or misdemeanor involving...purchase or sale of any security or arising out of such person s conduct as an underwriter, broker, dealer, investment adviser, municipal securities dealer,... | |
 | United States - 1999 - 740 páginas
...investment trust, or registered face-amount certificate company: (1) any person who within 10 years has been convicted of any felony or misdemeanor involving...purchase or sale of any security or arising out of such person's conduct as an underwriter, broker, dealer, investment adviser, municipal securities dealer,... | |
 | United States - 1997 - 776 páginas
...investment trust, or registered face-amount certificate company: (1) any person who within 10 years has been convicted of any felony or misdemeanor involving...purchase or sale of any security or arising out of such person's conduct as an underwriter, broker, dealer, investment adviser, municipal securities dealer,... | |
 | Robert A. Robertson - 2001 - 906 páginas
...(excluding traffic violations and other minor offenses)?9 Yes 4-70 NO a 9. Within the past 10 years have you been convicted of any felony or misdemeanor involving the purchase or sale of a security?10 Yes Q No Q 10. Within the last 10 years have you been convicted of any felony or misdemeanor... | |
 | United States. Congress. House. Committee on Agriculture - 2003 - 154 páginas
...prescribes. An applicant may be denied membership if, among other similar reasons, the applicant: ( I ) has been convicted of any felony or misdemeanor involving the purchase or sale of commodities, futures, options, securities, or other financial instruments, or involving moral turpitude;... | |
 | United States - 1973 - 402 páginas
...investment trust, or registered face-amount certificate company: (1) any person who within ten years has been convicted of any felony or misdemeanor involving...purchase or sale of any security or arising out of such person's conduct as an underwriter, broker, dealer, or investment adviser, or as an affiliated... | |
 | United States. Congress. Senate. Committee on Appropriations - 1966 - 1408 páginas
...which could be a basis for revocation or denial of a broker-dealer's registration included conviction of any felony or misdemeanor involving the purchase or sale of any security or arising out of the conduct of the business of a broker or dealer. The 1964 amendments add as disqualifications any... | |
 | United States - 1975 - 1508 páginas
...similar function or controlling person thereof — (1) has within ten years of the issuance of such order been convicted of any felony or misdemeanor involving the purchase or sale of any commodity or security, or arising out of any conduct or practice of such commodity trading advisor... | |
 | United States. Securities and Exchange Commission - 1812 páginas
...applicant had misrepresented any material fact in his registration statement or if the applicant had been convicted of any felony or misdemeanor involving the purchase or sale of securities or arising out of the conduct of a broker or dealer, or enjoined from engaging in or continuing... | |
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... (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker, dealer, or investment adviser... 
