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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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Code of Federal Regulations: Containing a Codification of Documents of ...

1987
...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...
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The Code of Federal Regulations of the United States of America

1997
...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...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1977
...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...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1979
...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...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1981
...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...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1997
...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...
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Repeal of Mandatory Egg and Potato Price-support Programs and Amendment of ...

United States. Congress. Senate. Agriculture and Forestry Committee - 1949 - 119 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)...
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United States Congressional Serial Set

1950
...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...
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Study of Securities and Exchange Commission: Hearings Before a ..., 1-2. daļas

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1952 - 1224 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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Bank Holding Legislation, --: Hearings Before ..., 83:1- on S. 76 and S.1118 ...

United States. Congress. Senate. Committee on Banking and Currency - 1953
...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...
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