... deem necessary in the public interest or for the protection of investors, withdraw from registration by filing a written notice of withdrawal with the Commission. If the Commission finds that any registered... Decisions and Reports - 547. lappuseautors: United States. Securities and Exchange Commission - 1956Pilnskats - Par šo grāmatu
| United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 lapas
...registered broker or dealer, or any broker or dealer for whom an application for registration is pending, is no longer in existence or has ceased to do business...Commission shall by order cancel the registration or application of such broker or dealer. "(c) No registered broker or dealer, or any other person,... | |
| United States. Securities and Exchange Commission - 1950 - 948 lapas
...investors, withdraw from registration by filing a written notice of withdrawal with the Commission. If the Commission finds that any registered broker...Commission shall by order cancel the registration or application of such broker or dealer. In construing these clauses of Section 15 (b) we have frequently... | |
| United States - 1938 - 48 lapas
...registered broker or dealer, or any broker or dealer for whom an application for registration is pending, is no longer in existence or has ceased to do business...Commission shall by order cancel the registration or application of such broker or dealer. (c) (1) No broker or dealer shall make use of the mails or... | |
| United States. Securities and Exchange Commission - 1960 - 996 lapas
...application Is not In the public Interest we also note that the record does not establish that registrant Is no longer in existence or has ceased to do business as a broker and dealer. Registrant has not asserted that It is no longer In existence. Its assertion that It has... | |
| United States - 1953 - 1692 lapas
...registered broker or dealer, or any broker or dealer for whom an application for registration is pending, olesaler, shipper, or other party residing within or application of such broker or dealer. (c) (1) No broker or dealer shall make use of the mails or... | |
| 1989 - 614 lapas
...Washington, DC 20429. (c) If the FDIC finds that any registered transfer agent for which it is the ARA, is no longer in existence or has ceased to do business as a transfer agent, FDIC shall cancel or deny the registration by order of the Board of Directors. (d)... | |
| 1983 - 436 lapas
...Washington, DC 20429. (c) If the FDIC finds that any registered transfer agent for which it is the ARA, is no longer in existence or has ceased to do business as a transfer agent, FDIC shall cancel or deny the registration by order of the Board of Directors. (d)... | |
| 1999 - 544 lapas
...Washington, DC 20429. (c) If the FDIC finds that any registered transfer agent for which it is the ARA, is no longer in existence or has ceased to do business as a transfer agent, FDIC shall cancel or deny the registration by order of the Board of Directors. (d)... | |
| United States - 1955 - 52 lapas
...registered broker or dealer, or any broker or dealer for whom an application for registration is pending, is no longer in existence or has ceased to do business...Commission shall by order cancel the registration or application of such broker or dealer. (c) (1) No broker or dealer shall make use of the mails or... | |
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