 | United States - 1968 - 374 lapas
...broker or dealer' means any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing...controlling or controlled by such broker or dealer, including any employee of such broker or dealer, except that for the purposes of section 15 (b) of... | |
 | United States. Securities and Exchange Commission - 1941 - 1124 lapas
...to becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing...whether prior or subsequent to becoming such (A) has been and Is suspended or expelled from a registered securities association (whether national or affiliated)... | |
 | United States - 1938 - 48 lapas
...to becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing...whether prior or subsequent to becoming such, (A) has been and is suspended or expelled from a registered securities association (whether national or affiliated)... | |
 | United States. Securities and Exchange Commission - 1956 - 900 lapas
...to becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing...whether prior or subsequent to becoming such, (A) has been and is suspended or expelled from a registered securities association (whether national or affiliated)... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 108 lapas
...to becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing...whether prior or subsequent to becoming such, (A) has been and is suspended or expelled from a registered securities association (whether national or affiliated)... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 148 lapas
...to becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing...whether prior or subsequent to becoming such, (A) has been and is suspended or expelled from a registered securities association (whether national or affiliated)... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 lapas
...to becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing...whether prior or subsequent to becoming such, (A) has been and is suspended or expelled from a registered securities association (whether national or affiliated)... | |
 | United States. Securities and Exchange Commission - 1952 - 920 lapas
...to becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing...whether prior or subsequent to becoming such, (A) has been and is suspended or expelled from a registered securities association (whether national or affiliated)... | |
 | United States. Securities and Exchange Commission - 1953 - 824 lapas
...subsequent to become such, or (2) any partner, officer, director, or branch manaeer of such broker or dealer (or any person occupying a similar status or performing...dealer, whether prior or subsequent to becoming such, . . . (D) has willfully violated ay provision of the Securities Act of 1933, as amended, or of this... | |
 | United States. Securities and Exchange Commission - 1955 - 1022 lapas
...to becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing...dealer, whether prior or subsequent to becoming such, . . . has willfully violated any provision ... of this title, or of any rule or regulation thereunder... | |
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... any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar functions), or any person directly or indirectly controlling or controlled by such broker or dealer... 
