 Act of 1940, or of this title, or of any rule or regulation under any of such statutes or has failed reasonably to supervise, with a view to preventing violations of such statutes, rules, and regulations, another person who commits such a violation, if...  Investor Protection: Hearings Before a Subcommittee of the Committee on ... - 641. lappuseautors: United States. Congress. House. Committee on Interstate and Foreign Commerce, United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1964 - 1418 lapasPilnskats - Par šo grāmatu
 | United States - 1973 - 400 lapas
...or of any rule or regulation under any of such statutes or has failed reasonably to supervise, with a view to preventing violations of such statutes,...if such other person is subject to his supervision. For the purposes of this clause (E) no person shall be deemed to have failed reasonably to supervise... | |
 | United States - 1994 - 1332 lapas
...Board, or has failed reasonably to supervise, with a view to preventing violations of the provisions of such statutes, rules and regulations, another person...if such other person is subject to his supervision. For the purposes of this paragraph (5) no person shall be deemed to have failed reasonably to supervise... | |
 | United States - 2000 - 1216 lapas
...to preventing violations of statutory provisions, and rules and regulations promulgated thereunder, another person who commits such a violation, if such other person is subject to his supervision. (f) Bar or suspension from association with investment adviser; notice and hearing The Commission,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 490 lapas
...or of any rule or regulation under any of such statutes or has failed reasonably to supervise, with a view to preventing violations of such statutes,...order of the Commission entered pursuant to paragraph (S) of this subsection (b) 'barring or suspending the right of such person to be associated with a... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 550 lapas
...person is subject to his supervision; or 23 (F) is subject to an order of the Commission entered 24 pursuant to paragraph (3) of this subsection (b) barring...suspending the right of such person to be associated with 2 a broker or dealer, which order is in effect with respect to 3 such person. For the purposes of clause... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1967 - 136 lapas
...or of any rule or regulation uunder any ol such statutes or has failed reasonably to supervise, with a view to preventing violations of such statutes,...if such other person is subject to his supervision. For the purposes of this paragraph (5) no person shall be deemed to have failed reasonably to supervise... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1967 - 132 lapas
...or of any rule or regulation uunder any ol such statutes or has failed reasonably to supervise, with a view to preventing violations of such statutes,...if such other person is subject to his supervision. For the purposes of this paragraph (6) no person shall be deemed to have failed reasonably to supervise... | |
 | United States. Congress. House. Interstate and Foreign Commerce - 1968 - 194 lapas
...or of any rule or regulation under any of such statutes or has failed reasonably to supervise, with a view to preventing violations of such statutes,...if such other person is subject to his supervision. For the purposes of this paragraph (5) no person shall be deemed to have failed reasonably to supervise... | |
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