... is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security ; or (D) has willfully violated... Decisions and Reports - 193. lappuseautors: United States. Securities and Exchange Commission - 1956Pilnskats - Par šo grāmatu
| United States. Securities and Exchange Commission - 1945 - 1290 lapas
...denial •r rrntratlon l» In the public Interest and that (1) such broker or dealer . . . (D) te* willfully violated any provision of the Securities Act of 1933, as amended, or at tata till*, or of any rule or regulation thereunder . . . ISA (I) (2) of the Securities Exchange... | |
| United States. Securities and Exchange Commission - 1956 - 926 lapas
...temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection...or (D) has willfully violated any provision ... of this title, or of any rule or regulation thereunder." The record shows that on February 10, 1950, in... | |
| United States - 1968 - 374 lapas
...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 (D) has...willfully violated any provision of the Securities 48 stat. 74. Act of 1933, or of the Securities Exchange Act of 1934, or of this 15 use 77a. title,... | |
| United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 lapas
...temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection...this title, or of any rule or regulation thereunder. Pending final determination whether any such registration shall be denied, the Commission may by order... | |
| United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 lapas
...temporarily enjoined by order, judgment or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in 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. Securities and Exchange Commission - 1955 - 1022 lapas
...temporarily enjoined by order. judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection...this title, or of any rule or regulation thereunder." 28 SEC--34 4109 The Burleys, together with one Gladwin, formerly comprised the partnership of Hurley... | |
| United States. Securities and Exchange Commission - 1943 - 1160 lapas
...temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection...willfully violated any provision of the Securities Act of 1033, as amended, or of this title, or of any rule or regulation thereunder. The pertinent part of... | |
| United States. Securities and Exchange Commission - 1947 - 1062 lapas
...the circumstances under which it was made false or misleading with respect to any material fact; ... or (D) has willfully violated any provision of the...this title, or of any rule or regulation thereunder. 2 After the hearing, pursuant to Section IE (b), we ordered postponement of the effective date of registration... | |
| United States. Securities and Exchange Commission - 1950 - 856 lapas
...the circumstances under which it was made false or misleading with respect to any material fact; ... or (D) has willfully violated any provision of the...this title, or of any rule or regulation thereunder. •• "It Is not stated whether Seligmnn was Informed of this fact or assented thereto." • "Moll's... | |
| United States. Securities and Exchange Commission - 1956 - 716 lapas
...temporarily enjoined by order, judgment, or decree of any ranrt of competent jurisdiction from engaging in or continuing any conduct or practice in connection...of any security; or (D) has willfully violated any proviajon ... of this title, or of any rule or regulation thereunder . . ." Section 15AOM2) authorizes... | |
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