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" ... 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. lappuse
autors: United States. Securities and Exchange Commission - 1956
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Unlisted Securities: Hearing Before the Committee on Interstate and Foreign ...

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,...
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Decisions and Reports, 18. sējums

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...
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Securities Exchange Act of 1934: And Amendments Public--no. 291--73d ...

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...
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Decisions and Reports, 38. sējums

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...
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United States Code, 2. sējums

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...
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The Code of Federal Regulations of the United States of America

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)...
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The Code of Federal Regulations of the United States of America

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)...
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Code of Federal Regulations: Containing a Codification of Documents of ...

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)...
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Securities Exchange Act of 1934 as Amended to August 10, 1954

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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SEC Legislation: Hearings Before a Subcommittee of the Committee on Banking ...

United States. Congress. Senate. Committee on Banking and Currency, United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities - 1959 - 660 lapas
...registered broker or dealer, or :uiy 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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