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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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SEC Legislation: Hearings Before a Subcommittee of the Committee on Banking ...

United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities - 1959 - 640 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...
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Small Business Investment Act -- 1960, Hearings Before ... 86-2, Review of ...

United States. Congress. Senate. Select Committee on Small Business - 1960 - 428 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,...
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General Rules and Regulations Under the Securities Act of 1933

United States. Securities and Exchange Commission - 1963
...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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Conflict of Interest Problems in SBIC's, Hearing Before a ..., 22-23. sējumi

United States. Congress. Senate. Committee on Banking and Currency - 1963 - 130 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,...
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SEC Legislation, 1963: Hearings Before a Subcommittee of the Committee on ...

United States. Congress. Senate. Committee on Banking and Currency - 1963 - 470 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...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1964
...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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Investor Protection: Hearings Before a Subcommittee of the Committee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1964 - 1418 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...
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Investor Protection: Hearings Before a Subcommittee of the Committee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1964 - 1418 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, ..r in connection with the purchase or sale of any security; or (D) lias willfully...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1967
...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,...
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Investment Company Amendments of 1967: S. 1659: Analysis of S ..., 22-23. sējumi

United States. Congress. Senate. Committee on Banking and Currency - 1967 - 117 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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