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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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Mutual Fund Amendments: Hearings Before the Subcommittee on Commerce and ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1970 - 952 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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Reports of the United States Tax Court, 70. sējums

United States. Tax Court - 1978
...affiliated 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 felt that settlement...
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SEC Docket: A Weekly Compilation of Releases from ..., 50. sējums,1-10. izdevums

United States. Securities and Exchange Commission - 1992
...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 any such activity, or in connection with the purchase or sale of any security. The notes and the shares...
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Investment Advisers Act of 1940, as in Effect July 1, 1974

United States. Securities and Exchange Commission - 1974 - 21 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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The Commodity Futures Trading Commission Act of 1974 ....

United States. Congress. Senate. Agriculture and Forestry Committee - 1974 - 143 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 " (C)...
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Agriculture and Related Agencies Appropriations for 1976 ..., 3-4. daļas

United States. Congress. House. Committee on Appropriations. Subcommittee on Agriculture and Related Agencies - 1975
...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 "(C)...
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Securities Acts Amendments of 1975: Hearings Before the Subcommittee on ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1975 - 525 lapas
...investment company, bank, trust company, fiduciary, insurance company or other financial institution or from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase, sale or delivery of any security; (iv) has been...
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Agriculture and related agencies appropriations for 1977: hearings before a ...

United States. Congress. House. Committee on Appropriations - 1976
...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 "(C)...
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Agriculture and Related Agencies Appropriations for 1977: Hearings ..., 5. daļa

United States. Congress. House. Committee on Appropriations. Subcommittee on Agriculture and Related Agencies - 1976
...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 "(C)...
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Reports on Banks Securities Activities of the Securities and Exchange ...

United States. Securities and Exchange Commission - 1977 - 549 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. (D) has willfully violated...
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