 ... or from engaging in or continuing any conduct or practice in connection with any such activity or in connection with the purchase...  Decisions and Reports - 819. lappuseautors: United States. Securities and Exchange Commission - 1956Pilnskats - Par šo grāmatu
 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 lapas
...sale of any security or arising out of the conduct of the business of a broker or dealer; or (3) is permanently or temporarily enjoined by order, judgment...connection with the purchase or sale of any security; or (4) has wilfully violated any provision of the Securities Act of 1933 or the Securities Exchange Act... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 lapas
...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
...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. Securities and Exchange Commission - 1953 - 1172 lapas
...public Interest and that (1) such . . . dealer whether prior or subsequent to becoming such . . . (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. House. Committee on Interstate and Foreign Commerce - 1938 - 98 lapas
...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. Banking and Currency Committee - 1938 - 138 lapas
...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
...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
...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 - 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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