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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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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
...affiliated person, salesman, or 19 employee of any investment company, bank, or insur20 ance 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 ; 23 or "(3) a company...
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Investment Company Act Amendments of 1967, Bank and Insurance Company ...

United States. Congress. House. Interstate and Foreign Commerce - 1968 - 167 lapas
...dealer, or 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 "(4) has willfully...
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Investment Company Act Amendments of 1967: Hearings, Ninetieth Congress ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1968
...dealer, or 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 ay such activity, or in connection with the purchase or sale of any security : or "(4) has willfully...
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Investment Company Act Amendments of 1967: Bank and Insurance Company ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1968 - 169 lapas
...afiiliated 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...
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High Interest Rates, Hearings Before ..., 91-1 ..., March 25 and 26, and ...

United States. Congress. Senate. Committee on Banking and Currency - 1969 - 127 lapas
...dealer, or 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 "(4) has willfully...
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Role of Giant Corporations: Hearings, Ninety-first Congress ..., 1-2. daļas

United States. Congress. Senate. Select Committee on Small Business. Subcommittee on Monopoly - 1969 - 5895 lapas
...director or employee of any investment company, bank, savings and loan association or insurance compa 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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Investment Company Amendments Act of 1969: Hearings, Ninety ..., 22-23. sējumi

United States. Congress. Senate. Committee on Banking and Currency - 1969 - 428 lapas
...dealer, or 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 7 the purchase or sale of any security ; or " (4) has willfully...
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Additional Consumer Protection in Corporate Takeovers and ..., 22-23. sējumi

United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities - 1970 - 156 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; or (5) Is subject to a United States Post Office fraud order. (d) No...
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Additional Consumer Protection in Corporate Takeovers and ..., 22-23. sējumi

United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities - 1970 - 156 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; or (5) Is subject to a United States Post Office fraud order. (ii)...
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Investor Protection in Corporate Takeovers: Increase in "Regulation A ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1970 - 69 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; or (5) Is subject to a United States Post Office fraud order. (d) No...
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