| United States. Securities and Exchange Commission - 1956 - 926 lapas
...finds that such . . . revocation la In the public Interest and that (1) Bach broker or dealer . . . ii permanently or temporarily enjoined by order, Judgment,...connection with the purchase or sale of any security ... or ... has willfully violated any provision of the Securities Act of 1933 ... or of this title, or of... | |
| United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 lapas
...or sale of any security or arising out of the conduct of the business of a broker or dealer; or (C) is permanently or temporarily enjoined by order, judgment,...connection with the purchase or sale of any security ; or (D) has willfully violated any provision of the Securities Act of 1933, as amended, or of this title,... | |
| United States - 1938 - 48 lapas
...or sale of any security or arising out of the conduct of the business of a broker or dealer; or (C) is permanently or temporarily enjoined by order, judgment,...connection with the purchase or sale of any security; or (D) has willfully violated any provision of the Securities Act of 1933, as amended, or of this title,... | |
| United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 lapas
...him from membership in a registered securities association or a national securities exchange[, or (C) is permanently or temporarily enjoined by order, judgment,...or practice in connection with the purchase or sale of any security] ; "(5) the rules of the association assure a fair representation of [the membership]... | |
| United States. Congress. Senate. Committee on Banking and Currency - 1938 - 148 lapas
...him from membership in a registered securities association or a national securities exchange[, or (C) is permanently or temporarily enjoined by order, judgment,...or practice in connection with the purchase or sale of any security] ; "(5) the rules of the association assure a fair representation of [the membership]... | |
| United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 lapas
...him from membership in a registered securities association or a national securities exchange, or (C) is permanently or temporarily enjoined by order, judgment,...or practice in connection with the purchase or sale of any security ; "(5) the rules of the association assure a fair representation of the membership... | |
| United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 108 lapas
...him from membership in a registered securities association or a national securities exchange, or (C) is permanently or temporarily enjoined by order, judgment,...or practice in connection with the purchase or sale of any security; "(5) the rules of the association assure a fair representation of the membership in... | |
| United States. Securities and Exchange Commission - 1940 - 1176 lapas
...Inclusive (eg any director, officer, trustee thereof, or any other person occupying a similar status), permanently or temporarily enjoined by order, judgment,...or practice In connection with the purchase or sale of any security?" [Parenthetical matter supplied.] 4 8. EC thereof. Because of that fact, Danziger... | |
| United States. Securities and Exchange Commission - 1947 - 1062 lapas
...filing of his notice of withdrawal. We see no basis in the record for a finding that registrant's vioor temporarily enjoined by order, judgment, or decree...conduct or practice in connection with the purchase or Bale of any lecnrity; or (D) has willfully violated any provision ... of this title, or of any rule... | |
| United States. Securities and Exchange Commission - 1957 - 756 lapas
.... . controlling . . . such broker or dealer, whether prior or subsequent to becoming such . . . (C) is permanently or temporarily enjoined by order, judgment,...engaging In or continuing any conduct or practice in connnection with the purchase or sale of any security ; or (D) has willfully violated any provision... | |
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