 ... 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 - 1943 - 1160 lapas
...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)... | |
 | United States. Securities and Exchange Commission - 1962 - 1022 lapas
...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... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 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... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 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... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 lapas
...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,... | |
 | United States - 1975 - 1706 lapas
...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... | |
 | United States - 1953 - 1692 lapas
...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... | |
 | 1949 - 736 lapas
...(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... | |
 | United States. Congress. Economic Report Joint Committee - 1949 - 332 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... | |
| |
