 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 140 lapas
...arising out of the conduct of the business of a broker or dealer; or (3) is permanently or temporarily enjoined by order, judgment or decree of any court...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... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 lapas
...arising out of the conduct of the business of a broker or dealer; or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court...or practice in connection with the purchase or sale of any security ; or (D) has willfully violated any provision of the Securities Act of 1933, as amended,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 148 lapas
...his registration pursuant to section 15 of this title, or expelling or suspending him from membership in a registered securities association or a national...association assure a fair representation of [the membership] its members in the adoption of any rule of the association or amendment thereto, the selection of its... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 lapas
...registered securities association or a national securities exchange, or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court...association assure a fair representation of the membership in the adoption of any rule of the association or amendment thereto, the selection of its officers... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 108 lapas
...registered securities association or a national securities exchange, or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court...association assure a fair representation of the membership in the adoption of any rule of the association or amendment thereto, the selection of its officers... | |
 | United States - 1938 - 48 lapas
...arising out of the conduct of the business of a broker or dealer; or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court...or practice in connection with the purchase or sale of any security; or (D) has willfully violated any provision of the Securities Act of 1933, as amended,... | |
 | United States. Securities and Exchange Commission - 1957 - 756 lapas
...broker or dealer, whether prior or subsequent to becoming such . . . (C) is permanently or temporarily enjoined by order, judgment, or decree of any court...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... | |
 | United States. Securities and Exchange Commission - 1957 - 1194 lapas
...in the public interest and that (1) such broker or dealer . . . (C) • permanently or temporarily enjoined by order, judgment, or decree of any court...engaging in or continuing any conduct or practice ia connection with the purchase or sale of any security . . ." 84 8. EC— 84 4792 the entry of an... | |
 | United States. Securities and Exchange Commission - 1962 - 1022 lapas
...or dealer If we find that It Is In the public Interest and that such broker or denier Is enjoined by any court of competent jurisdiction from engaging...continuing any conduct or practice In connection with tbe purchase or sale of any security or has willfully violated any provision of the Exchange Act or... | |
 | United States. Securities and Exchange Commission - 1941 - 1192 lapas
...arising out of the conduct of the business of a broker or dealer"; (C) permanent or temporary injunction "from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security"; or (D) willful violation of any provision of the Securities Act or the Securities... | |
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... from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of... 
