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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 any security... "
Decisions and Reports - 579. lappuse
autors: United States. Securities and Exchange Commission - 1944
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Decisions and Reports, 31. sējums

United States. Securities and Exchange Commission - 1956
...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...
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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 - 26 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...
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Trading in Unlisted Securities Upon Exchanges: Hearing Before the Committee ...

United States. Congress. Senate. Committee on Banking and Currency - 1936
...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...
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Securities Exchange Act of 1934: And Amendments Public--no. 291--73d ...

United States - 1938 - 44 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...
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Regulation of Over-the-counter Markets. Hearings Before a Subcommittee ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 89 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...
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Regulation of Over-the-counter Markets: Hearings Before a Subcommittee of ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 89 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...
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Regulation of Over-the -counter Markets, Hearings Before ..., 75-3 on S ...

United States. Congress. Senate. Banking and Currency Committee - 1938 - 131 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...
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Decisions and Reports

United States. Securities and Exchange Commission - 1956
...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...
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Decisions and Reports, 8. sējums

United States. Securities and Exchange Commission - 1941
...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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Decisions and Reports, 9. sējums

United States. Securities and Exchange Commission - 1941
...affiliated person, salesman, or employee of any Investment company, bank, or Insurance company, or from engaging In or continuing any conduct or practice In connection with any such activity or in connection with tbe purchase or sale of any security ; . . . Section 0 (b)...
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