 | United States. Securities and Exchange Commission - 1951 - 862 lapas
...an affiliated person, salesman, or employee of any investment company, bank, or insurance company, or from engaging in or continuing any conduct or practice...connection with the purchase or sale of any security; or (3) a company any affiliated person of which is ineligible, by reason of paragraph (1) or (2), to serve... | |
 | United States. Securities and Exchange Commission - 1956 - 716 lapas
...judgment, or decree of any court of competent jurisdiction from acting as an investment adviser, ... or from engaging In or continuing any conduct or practice...connection with the purchase or sale of any security; or "(8) has violated the provisions of section 207 of this title." ,".r, 8. BC— IA 40 84 represented... | |
 | United States. Securities and Exchange Commission - 1941 - 1124 lapas
...an affiliated person, salesman, or employee of any Investment company, bank, or Insurance company, or from engaging In or continuing any conduct or practice...activity or In connection with the purchase or sale of any security . . . Section 9 (b) provides: Any person who Is Ineligible, by reason of subsection... | |
 | United States. Securities and Exchange Commission - 1960 - 996 lapas
...permanently or temporarily enjoined by a court of competent jurisdiction from engaging as a broker or dealer or from engaging in or continuing any conduct or practice...activity or in connection with the purchase or sale of any security. 38 SEC— IA-40 95 577 Registrant is enjoined by order of the United States District... | |
 | United States. Securities and Exchange Commission - 1943 - 1160 lapas
...an affiliated person, salesman, or employee of any Investment company, bank, or Insurance company, or from engaging In or continuing any conduct or practice...connection with any such activity or in connection with tbe purchase or sale of any security ; . . . Section 0 (b) provides: Any person who Is Ineligible,... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 lapas
...an affiliated person, salesman, or employee of any investment company, bank, or insurance company, or from engaging in or continuing any conduct or practice...connection with the purchase or sale of any security ; or (3) a company, any affiliated person of which is ineligible, by reason of paragraph (1) or (2), to... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 lapas
...an affiliated person, salesman, or employee of any investment company, bank, or insurance company, or from engaging in or continuing any conduct or practice...activity or in connection with the purchase or sale- of any security; (3) the application, as amended, omits any material fact required to be stated therein:... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 lapas
...an affiliated person, salesman, or employee of any investment company, bank, or insurance company, or from engaging in or continuing any conduct or practice...activity or in connection with the purchase or sale of any security; (3) the application, as amended, omits any material fact required to be stated therein;... | |
 | United States - 1953 - 1692 lapas
...dealer, or as an affiliated person or employee of any investment company, bank, or insurance company, s, (3) has violated the provisions of section 80b-7 of this title. (e) The commencement of a proceeding... | |
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Act, or from engaging in or continuing any conduct or practice in connection with any such activity or in connection with the purchase or sale of any security; or... 
