 ... 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...  Decisions and Reports - 579. lappuseautors: United States. Securities and Exchange Commission - 1944Pilnskats - Par šo grāmatu
 | United States. Securities and Exchange Commission - 1956 - 926 lapas
...Investment Company Act of 1940 provides in part that any person who, by reason of any misconduct, has been permanently enjoined from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security may not lawfully serve or act in the capacity of depositor of any... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 lapas
...permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security ; or (D) has willfully violated any provision of the Securities Act... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 lapas
...permanently or temporarily enjoined by order, judgment or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security; or (4) has wilfully violated any provision of the Securities Act... | |
 | United States - 1938 - 48 lapas
...permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security; or (D) has willfully violated any provision of the Securities Act... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 lapas
...permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security ; "(5) the rules of the association assure a fair representation of... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 108 lapas
...permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security; "(5) the rules of the association assure a fair representation of... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 lapas
...permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security] ; "(5) the rules of the association assure a fair representation... | |
 | United States. Securities and Exchange Commission - 1956 - 1172 lapas
...is permanently . . . enjoined by order, judgement, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or Bale of any security; or (D) has willfully violated any provision of the Securities Act... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 148 lapas
...permanently or temporarilv enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security] ; "(5) the rules of the association assure a fair representation... | |
 | United States. Securities and Exchange Commission - 1941 - 1124 lapas
...of the conduct of the business of a broker or dealer, or is permanently or temporarily enjoined for engaging in, or continuing any conduct or practice in connection with the purchase or sale of any security. Inasmuch as the registrant did not actually receive the notice sent... | |
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