 | United States - 1968 - 374 lapas
...thereof the following four paragraphs : "(18) The term 'person associated with a broker or dealer' means any partner, officer, director, or branch manager...controlling or controlled by such broker or dealer, including any employee of such broker or dealer, except that for the purposes of section 15 (b) of... | |
 | United States. Securities and Exchange Commission - 1953 - 1110 lapas
...any broker or dealer If it finds that nieh denial or revocation In in the public interest and that (1) such broker or dealer whether prior or subsequent...similar functions), or any person directly or indirectly controlled by such broker or dealer, whether prior or subsequent to becoming such, . . . (D) has willfully... | |
 | United States. Securities and Exchange Commission - 1957 - 756 lapas
...It finds that such . . . revocation Is In the public Interest and that (1) such broker or dealer ... or (2) any partner, officer, director, or branch manager...controlling or controlled by such broker or dealer . . . has willfully violated any provision of the Securities Act of 1933, as amended, or of this title,... | |
 | United States. Securities and Exchange Commission - 1940 - 1176 lapas
...dealer If it finds that such denial is in the public Interest and that such broker or dealer • * * or any partner, officer, director, or branch manager...functions), or any person directly or indirectly controlling • • • such broker or dealer, • * * (A) has willfully made * * » In any application for registration... | |
 | United States. Securities and Exchange Commission - 1956 - 716 lapas
...public interest and that (1) such broker or dealer whether prior or subsequent to becoming; such, or (t) any partner, officer, director, or branch manager...functions) , or any person directly or Indirectly eontrolling or controlled by such broker or dealer, whether prior or subsequent to becoming rack, (A)... | |
 | United States. Securities and Exchange Commission - 1953 - 734 lapas
...(1) such broker or dealer whether prior or subsequent to becomlne such, or (2) any partner, offlrer. director, or branch, manager of such broker or dealer...person directly or indirectly controlling or controlled b; such broker or dealer, whether prior or subsequent to becoming such, . . . (D) has willfully violated... | |
 | United States. Securities and Exchange Commission - 1955 - 920 lapas
...whether prior or subsequs' to becoming such, or (2) any partner, officer, director, or branch manager or such broker or dealer (or any person occupying a similar...controlling or controlled by such broker or dealer . . . has willfully violated any provision of the Securities Act of 1933, as amended, or of Ok title,... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 lapas
...devices it is provided that a broker or dealer shall be ineligible for membership in any association, if any partner, officer, director, or branch manager...or performing similar functions — or any person controlling or controlled by such broker or dealer falls within the specified categories. Practically... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 144 lapas
...devices it is provided that a broker or dealer shall be ineligible for membership in any association, if any partner, officer, director, or branch manager...or performing similar functions — or any person controlling or controlled by such broker or dealer falls within the specified categories. Practically... | |
 | United States. Securities and Exchange Commission - 1958 - 1232 lapas
...such broker or dealer ... or (2) any . . . officer [or] director ... of such broker or dealer . . . , or any person directly or indirectly controlling or controlled by such broker or dealer, . . . (D) lias willfully violated any provision of the Securities Act of 1833, as amended, or of this... | |
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... any partner, officer, or director, any person occupying a similar status or performing similar functions, or any person directly or indirectly controlling the broker-dealer... 
