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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, 39. sējums

United States. Securities and Exchange Commission - 1962
...the public Interest and that such broker or denier Is enjoined by any court of competent jurisdiction from engaging In or 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...
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Hearings, Reports and Prints of the Senate Committee on Banking ..., 1-4. daļas

United States. Congress. Senate. Committee on Banking and Currency - 1940
...dealer, or as an affiliated person 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 the purchase or sale of any security; (3) has omitted to state...
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Investment Trusts and Investment Companies: Hearings Before a ..., 3. daļa

United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities and Exchange - 1940 - 1131 lapas
...dealer, or as an affiliated person 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 the purchase or sale of any security; (3) has omitted to state...
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Investment Trusts and Investment Companies: Hearings Before a Subcommittee ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 145 lapas
...dealer, or as an affiliated person 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 the purchase or sale of any security; or (3) has violated the...
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Investment Trusts and Investment Companies, Hearings Before a Subcommittee ...

United States. Congress. Senate. Committee on Banking and Currency - 1940
...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 the purchase or sale- of any security; (3) the application,...
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United States Code

United States - 1975
...commission merchant, or floor broker, or as an affiliated person or employee of any of the foregoing, or A " lW \ ð} d any such activity or in connection with the purchase or sale of commodities or securities; or (C) any...
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United States Code: Containing the General and Permanent Laws of the United ...

United States - 1953
...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 the purchase or sale of any security; or (3) a company any...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1949
...(e) of this section or the statement required by paragraph (g) of this section enjoining it or him from engaging in or continuing any conduct or practice in connection with the sale of any security: Provided, however, That the Commission may upon application waive the provisions of this paragraph...
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Factors Affecting Volume and Stability of Private Investment: Materials on ...

United States. Congress. Economic Report Joint Committee - 1949 - 235 lapas
...entered within three years preceding the date of filing the letter of notification, enjoining it or him from engaging in or continuing any conduct or practice in connection with the sale of any security; ((h) is deleted by amendment.) (i) Securities as to which a registration statement has been in effect...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1998
...dealer or in-vestment adviser; (2) Is temporarily or permanently re-strained or enjoined by any court J pur-chase or sale of any security or arising out of such person's conduct as an un-derwriter, broker,...
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