 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 lapas
...purchase or 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,...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 - 1936 - 140 lapas
...or 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...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. Senate. Banking and Currency Committee - 1938 - 138 lapas
...prohibits any act or transaction constituting conduct inconsistent with just and equitable principals of trade, or requires any act the omission of which...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. Senate. Committee on Banking and Currency - 1938 - 148 lapas
...prohibits any act or transaction constituting conduct inconsistent with just and equitable principals of trade, or requires any act the omission of which...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. Senate. Committee on Banking and Currency - 1938 - 144 lapas
...or dealer responsible for the acts, transactions or omissions causing such suspension or expulsion, or (B) is subject to an order of the Commission denying...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 - 1938 - 48 lapas
...purchase or 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,...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 - 1941 - 1192 lapas
...of the circumstances under which It was made false or misleading with respect to any material fact; or • • • (C) is permanently or temporarily enjoined...or practice in connection with the purchase or sale of any security ; • • ». The applicant did not include in his application to the Commission the... | |
 | United States. Securities and Exchange Commission - 1953 - 828 lapas
...Interest and that (1) such broker or dealer whether prior or subsequent to becoming such » • • (C) Is permanently or temporarily enjoined by order,...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 - 1951 - 862 lapas
...it is in the public interest to do to, deny registration on the ground (inter alia) that Applicant is "permanently or temporarily enjoined by order,...or practice in connection with the purchase or sale of any security." 7966*7— 51[No. 2374] IN THE MATTER OF UNIVERSAL CAMERA CORPORATION File No. 2-S640.... | |
 | United States. Securities and Exchange Commission - 1956 - 716 lapas
...or any person directly or indirectly controlling or controlled by such broker or dealer . . . «') is permanently or temporarily enjoined by order, judgment...or practice in connection with the purchase or sale of any security . . " Under Section ISA(b) (4) of the Act, in the absence of our approval or direction,... | |
| |
... from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security... 
