 ... 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. Congress. Senate. Select Committee on Small Business - 1960 - 482 lapas
...dealer, or investment adviser ; (2) Is temporarily or permanently restrained or enjoined by any court from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker,... | |
 | United States. Securities and Exchange Commission - 1963 - 100 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... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 166 lapas
...dealer or investment adviser; (2) is temporarily or permanently restrained or enjoyed by any court from engaging in or continuing any conduct or practice In connection with the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 550 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 (D) has willfully... | |
 | 1964 - 574 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... | |
 | 1967 - 1182 lapas
...dealer or investment adviser; (2) Is temporarily or permanently restrained or enjoined by any court from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1967 - 132 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 "[(D)] (•*) na... | |
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