 ... 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
 | 1998 - 784 lapas
...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,... | |
 | 1987 - 530 lapas
...to the filing of such notification, temporarily or permanently restraining or enjoining such person from engaging in or continuing any conduct or practice in connection with the purchase or sale of securities; (5) Is subject to pending proceedings under section 8(e) of the Investment... | |
 | 1997 - 734 lapas
...to the filing of such notification, temporarily or permanently restraining or enjoining such person from engaging in or continuing any conduct or practice in connection with the purchase or sale of securities; (5) Is subject to pending proceedings under section 8(e) of the Investment... | |
 | 1977 - 970 lapas
...or employee of any Investment company, bank, savings and loan association 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 was the subject of... | |
 | 1979 - 1804 lapas
...commission merchant, or floor broker, or as an affiliated persor or employee of any of the foregoing, 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 commodities or securities or options... | |
 | 1981 - 736 lapas
...or employee of any investment company, bank, savings and loan association or insurance company; or from engaging in or continuing any conduct or practice in connection with any such activity; (iv) Identify all director committees or subcommittees. Set forth the functions... | |
 | 1997 - 608 lapas
...commission merchant, or floor broker, or as an affiliated person or employee of any of the foregoing, 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 commodities or securities or options... | |
 | United States. Congress. Senate. Agriculture and Forestry Committee - 1949 - 128 lapas
...commission merchant, or floor broker, or as an affiliated person or employee of any of the foregoing, 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 commodities or securities; or "(i)... | |
 | 1950 - 260 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.) year from the date of the last sale made pursuant to the registration... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1952 - 1246 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? N'ame and address of broker or dealer with whom previously connected... | |
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